Data Mining:

Concepts and Techniques

(3rd ed.)
Chapter 3: Data Preprocessing
Han, Kamber, and Pei
Customized by: Rekha Ramesh

1
 Chapter 3: Data Preprocessing

 Data Preprocessing: An Overview

 Data Quality

 Major Tasks in Data Preprocessing

 Data Cleaning

 Data Integration

 Data Reduction

 Data Transformation and Data Discretization

 Summary
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 Data Quality: Why Preprocess the Data?

 Measures for data quality: A multidimensional view

 Accuracy: correct or wrong, accurate or not
 Completeness: not recorded, unavailable, …
 Consistency: some modified but some not, dangling, …
 Timeliness: timely update?
 Believability: how trustable the data are correct?
 Interpretability: how easily the data can be
understood?

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 Major Tasks in Data Preprocessing
 Data cleaning
 Fill in missing values, smooth noisy data, identify or remove
outliers, and resolve inconsistencies
 Data integration
 Integration of multiple databases, data cubes, or files
 Data reduction
 Dimensionality reduction
 Numerosity reduction
 Data compression
 Data transformation and data discretization
 Normalization
 Concept hierarchy generation

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 Data Cleaning (1)

 Data in the Real World Is Dirty: Lots of

potentially incorrect data, e.g., instrument faulty,
human or computer error, transmission error
 incomplete: lacking attribute values, lacking
certain attributes of interest, or containing only
aggregate data
 e.g., Occupation=“ ” (missing data)
 noisy: containing noise, errors, or outliers
 e.g., Salary=“−10” (an error)

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 Data Cleaning (2)

 inconsistent: containing discrepancies in codes

or names, e.g.,
 Age=“42”, Birthday=“03/07/2010”
 Was rating “1, 2, 3”, now rating “A, B, C”
 discrepancy between duplicate records
 Intentional (e.g., disguised missing data)
 Jan. 1 as everyone’s birthday?

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 Incomplete (Missing) Data

 Data is not always available

 E.g., many tuples have no recorded
value for several attributes, such as
customer income in sales data
 Missing data may need to be inferred

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 Incomplete (Missing) Data

 Missing data may be due to

 equipment malfunction
 inconsistent with other recorded data and thus
deleted
 data not entered due to misunderstanding
 certain data may not be considered important
at the time of entry
 Did not register history or changes of the data

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 How to Handle Missing Data?

 Ignore the tuple: usually done when class

label is missing (when doing classification)
 not effective when the % of missing
values per attribute varies considerably

 Fill in the missing value manually: tedious +

infeasible?

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 How to Handle Missing Data?
 Fill in it automatically with
 a global constant : e.g., “unknown”, a new
class?!
 the attribute mean
 the attribute mean for all samples belonging to
the same class: smarter
 the most probable value: inference-based such
as Bayesian formula or decision tree

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 Noisy Data
 Noise: random error or variance in a measured variable
 Incorrect attribute values may be due to
 faulty data collection instruments

 data entry problems

 data transmission problems

 technology limitation

 inconsistency in naming convention

 Other data problems which require data cleaning

 duplicate records

 incomplete data

 inconsistent data

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 How to Handle Noisy Data?

 Binning
 first sort data and partition into (equal-frequency) bins

 then one can smooth by bin means, smooth by bin

median, smooth by bin boundaries, etc.

 Regression
 smooth by fitting the data into regression functions

 Clustering
 detect and remove outliers

 Combined computer and human inspection

 detect suspicious values and check by human (e.g.,

deal with possible outliers)

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 Binning Methods for Data Smoothing
 Sorted data for price (in dollars): 4, 8, 9, 15, 21, 21, 24, 25, 26,
28, 29, 34
* Partition into equal-frequency (equi-depth) bins:
- Bin 1: 4, 8, 9, 15
- Bin 2: 21, 21, 24, 25
- Bin 3: 26, 28, 29, 34
* Smoothing by bin means:
- Bin 1: 9, 9, 9, 9
- Bin 2: 23, 23, 23, 23
- Bin 3: 29, 29, 29, 29
* Smoothing by bin boundaries:
- Bin 1: 4, 4, 4, 15
- Bin 2: 21, 21, 25, 25
- Bin 3: 26, 26, 26, 34

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 Data Cleaning as a Process
 Data discrepancy detection
 Use metadata (e.g., domain, range, dependency, distribution)

 Check field overloading (squeeze new attribute definitions

into usable (bit) portions of already defined attributes )

 Check uniqueness rule, consecutive rule and null rule

 Use commercial tools

 Data scrubbing: use simple domain knowledge (e.g., postal

code, spell-check) to detect errors and make corrections

e.g. Drake, OpenRefine, Wrangler, etc.
 Data auditing: by analyzing data to discover rules and

relationship to detect violators (e.g., correlation and clustering

to find outliers)
e.g. ADAudit Plus, Open–Audit, etc.

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 Data Cleaning as a Process
 Data migration and integration
 Data migration tools: allow transformations to
be specified
 ETL (Extraction/Transformation/Loading) tools:
allow users to specify transformations through a
graphical user interface

 Integration of the two processes

 Iterative and interactive (e.g., Potter’s Wheels)

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 Data Integration
 Data integration:
 Combines data from multiple sources into a coherent store
 Schema integration: e.g., A.cust-id  B.cust-#
 Integrate metadata from different sources
 Entity identification problem:
 Identify real world entities from multiple data sources, e.g., Bill
Clinton = William Clinton
 Detecting and resolving data value conflicts
 For the same real world entity, attribute values from different
sources are different
 Possible reasons: different representations, different scales, e.g.,
metric vs. British units
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 Handling Redundancy in Data Integration

 Redundant data occur often when integration of multiple

databases
 Object identification: The same attribute or object
may have different names in different databases

 Derivable data: One attribute may be a “derived”

attribute in another table, e.g., annual revenue

 Redundant attributes may be possible to detect by

correlation analysis and covariance analysis

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 Correlation Analysis (Nominal Data)
 Χ2 (chi-square) test
2
(Observed  Expected)
2  
Expected
 The larger the Χ2 value, the more likely the variables are
related
 The cells that contribute the most to the Χ2 value are
those whose actual count is very different from the
expected count
 Correlation does not imply causality
 # of hospitals and # of car-theft in a city are correlated
 Both are causally linked to the third variable: population

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 Chi-Square Calculation: An Example

Play chess Not play chess Sum (row)

Like science fiction 250(90) 200(360) 450

Not like science fiction 50(210) 1000(840) 1050

Sum(col.) 300 1200 1500

 Χ2 (chi-square) calculation (numbers in parenthesis are

expected counts calculated based on the data distribution
in the two categories)
2 (250  90) 2 (50  210) 2 (200  360) 2 (1000  840) 2
      507.93
90 210 360 840
 It shows that like_science_fiction and play_chess are
correlated in the group
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 Correlation Analysis (Numeric Data)

 Correlation coefficient (also called Pearson’s product

moment coefficient)
n n

rA, B 
i 1 (ai  A)(bi  B) 

i 1
(ai bi )  n AB
(n  1) A B (n  1) A B

where n is the number of tuples, A and B are the respective

means of A and B, σA and σB are the respective standard deviation
of A and B, and Σ(aibi) is the sum of the AB cross-product.
 If rA,B > 0, A and B are positively correlated. The higher,
the stronger correlation.
 rA,B = 0: independent; rAB < 0: negatively correlated

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 Covariance (Numeric Data)
 Covariance is similar to correlation

Correlation coefficient:

where n is the number of tuples,

A and B are the respective mean or expected values of A and B,
σA and σB are the respective standard deviation of A and B.

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 Covariance (Numeric Data)
 Positive covariance: If CovA,B > 0, then A and B both tend to be
larger than their expected values.

 Negative covariance: If CovA,B < 0 then if A is larger than its

expected value, B is likely to be smaller than its expected value.

 Independence: CovA,B = 0 but the converse is not true:

 Some pairs of random variables may have a covariance of 0 but are not
independent.
 Only under some additional assumptions (e.g., the data follow
multivariate normal distributions) does a covariance of 0 imply
independence

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Data Mining: Concepts and Techniques 22
 Co-Variance: An Example

 It can be simplified in computation as

 Suppose two stocks A and B have the following values in one week:
(2, 5), (3, 8), (5, 10), (4, 11), (6, 14).

 Question: If the stocks are affected by the same industry trends, will
their prices rise or fall together?

 E(A) = (2 + 3 + 5 + 4 + 6)/ 5 = 20/5 = 4

 E(B) = (5 + 8 + 10 + 11 + 14) /5 = 48/5 = 9.6

 Cov(A,B) = (2×5+3×8+5×10+4×11+6×14)/5 − 4 × 9.6 = 4

 Thus, A and B rise together since Cov(A, B) > 0.

 Data Reduction Strategies

 Data reduction: Obtain a reduced representation

of the data set that is much smaller in volume but
yet produces the same (or almost the same)
analytical results

 Why data reduction? — A database/data

warehouse may store terabytes of data. Complex
data analysis may take a very long time to run on
the complete data set.

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 Data Reduction Strategies

 Data reduction strategies

 Dimensionality reduction, e.g., remove unimportant attributes

 Wavelet transforms

 Principal Components Analysis (PCA)

 Feature subset selection, feature creation

 Numerosity reduction (some simply call it: Data Reduction)

 Regression and Log-Linear Models

 Histograms, clustering, sampling

 Data cube aggregation

 Data compression

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Data Reduction 1: Dimensionality Reduction
 Curse of dimensionality
 When dimensionality increases, data becomes increasingly sparse
 Density and distance between points, which is critical to clustering, outlier
analysis, becomes less meaningful
 The possible combinations of subspaces will grow exponentially
 Dimensionality reduction
 Avoid the curse of dimensionality
 Help eliminate irrelevant features and reduce noise
 Reduce time and space required in data mining
 Allow easier visualization
 Dimensionality reduction techniques
 Wavelet transforms
 Principal Component Analysis
 Supervised and nonlinear techniques (e.g., feature selection)

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 Attribute Subset Selection
 Another way to reduce dimensionality of data
 Redundant attributes
 Duplicate much or all of the information contained in
one or more other attributes
 E.g., purchase price of a product and the amount of
sales tax paid
 Irrelevant attributes
 Contain no information that is useful for the data
mining task at hand
 E.g., students' ID is often irrelevant to the task of
predicting students' GPA

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 Heuristic Search in Attribute Selection
 There are 2d possible attribute combinations of d attributes

 Typical heuristic attribute selection methods:

 Stepwise forward selection: choose by significance tests

 Stepwise backward elimination

 Combination of forward selection

 Best combined attribute selection and elimination

 Decision Tree Induction

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Attribute Creation (Feature Generation)
 Create new attributes (features) that can capture the
important information in a data set more effectively than
the original ones
 Three general methodologies
 Attribute extraction

 Domain-specific

 Mapping data to new space (see: data reduction)

 E.g., Fourier transformation, wavelet

transformation, etc
 Attribute construction

 Combining features

 Data discretization

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Data Reduction 2: Numerosity Reduction
 Reduce data volume by choosing alternative, smaller
forms of data representation
 Parametric methods (e.g., regression)
 Assume the data fits some model, estimate model

parameters, store only the parameters, and discard

the data (except possible outliers)
 Ex.: Log-linear models—obtain value at a point in m-

D space as the product on appropriate marginal

subspaces
 Non-parametric methods
 Do not assume models

 Major families: histograms, clustering, sampling, …

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 Parametric Data Reduction: Regression
and Log-Linear Models

 Linear regression
 Data modeled to fit a straight line

 Often uses the least-square method to fit the line

 Multiple regression
 Allows a response variable Y to be modeled as a

linear function of multidimensional feature vector

 Log-linear model
 Approximates discrete multidimensional probability

distributions

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 Regression Analysis y

 Regression analysis: A collective name for

Y1
techniques for the modeling and analysis
of numerical data consisting of values of a Y1’ y=x+1
dependent variable (also called
response variable or measurement) and
X1 x
of one or more independent variables (aka.
explanatory variables or predictors)
 Used for prediction
 The parameters are estimated so as to give (including forecasting of
a "best fit" of the data time-series data), inference,
hypothesis testing, and
 Most commonly the best fit is evaluated by
modeling of causal
using the least squares method, but
relationships
other criteria have also been used

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Regress Analysis and Log-Linear Models
 Linear regression: Y = w X + b
 Two regression coefficients, w and b, specify the line and are to be
estimated by using the data at hand
 Using the least squares criterion to the known values of Y1, Y2, …,
X1, X2, ….
 Multiple regression: Y = b0 + b1 X1 + b2 X2
 Many nonlinear functions can be transformed into the above
 Log-linear models:
 Approximate discrete multidimensional probability distributions
 Estimate the probability of each point (tuple) in a multi-dimensional
space for a set of discretized attributes, based on a smaller subset
of dimensional combinations
 Useful for dimensionality reduction and data smoothing
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 Histogram Analysis
 Divide data into buckets and 40
store average (sum) for each 35
bucket
30
 Partitioning rules:
25
 Equal-width: equal bucket 20
range
15
 Equal-frequency (or equal-
10
depth)
5
0
10000

20000

30000

40000

50000

60000

70000

80000

90000

100000
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 Clustering
 Partition data set into clusters based on similarity, and
store cluster representation (e.g., centroid and diameter)
only
 Can be very effective if data is clustered but not if data
is “smeared”
 Can have hierarchical clustering and be stored in multi-
dimensional index tree structures
 There are many choices of clustering definitions and
clustering algorithms

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 Sampling

 Sampling: obtaining a small sample s to represent the

whole data set N
 Allow a mining algorithm to run in complexity that is
potentially sub-linear to the size of the data
 Key principle: Choose a representative subset of the data
 Simple random sampling may have very poor
performance in the presence of skew
 Develop adaptive sampling methods, e.g., stratified
sampling:

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 Types of Sampling

 Simple random sampling

 There is an equal probability of selecting any particular
item
 Sampling without replacement
 Once an object is selected, it is removed from the
population
 Sampling with replacement
 A selected object is not removed from the population

 Stratified sampling:
 Partition the data set, and draw samples from each
partition (proportionally, i.e., approximately the same
percentage of the data)
 Used in conjunction with skewed data

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Sampling: With or without Replacement

Raw Data
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Sampling: Cluster or Stratified Sampling

Raw Data Cluster/Stratified Sample

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 Data Cube Aggregation
 The lowest level of a data cube (base cuboid)
 The aggregated data for an individual entity of interest
 E.g., a customer in a phone calling data warehouse
 Multiple levels of aggregation in data cubes
 Further reduce the size of data to deal with
 Reference appropriate levels
 Use the smallest representation which is enough to
solve the task
 Queries regarding aggregated information should be
answered using data cube, when possible
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Sales data for a given branch of
AllElectronics

A data cube for sales at AllElectronics

 Data Reduction 3: Data Compression
 String compression
 There are extensive theories and well-tuned algorithms

 Typically lossless, but only limited manipulation is

possible without expansion

 Audio/video compression
 Typically lossy compression, with progressive refinement

 Sometimes small fragments of signal can be

reconstructed without reconstructing the whole

 Time sequence is not audio
 Typically short and vary slowly with time

 Dimensionality and numerosity reduction may also be

considered as forms of data compression
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 Data Compression

Original Data Compressed

Data
lossless

Original Data
Approximated

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 Data Transformation
 A function that maps the entire set of values of a given attribute to a
new set of replacement values s.t. each old value can be identified
with one of the new values
 Methods
 Smoothing: Remove noise from data
 Attribute/feature construction
 New attributes constructed from the given ones
 Aggregation: Summarization, data cube construction
 Normalization: Scaled to fall within a smaller, specified range
 min-max normalization
 z-score normalization
 normalization by decimal scaling
 Discretization: Concept hierarchy climbing 44
 Normalization
 Min-max normalization: to [new_minA, new_maxA]
v  minA
v'  (new _ maxA  new _ minA)  new _ minA
maxA  minA
 Ex. Let income range $12,000 to $98,000 normalized to [0.0,
73,600  12,000
1.0]. Then $73,000 is mapped to 98,000  12,000 (1.0  0)  0  0.716
 Z-score normalization (μ: mean, σ: standard deviation):
v  A
v'
 A

73,600  54,000
 Ex. Let μ = 54,000, σ = 16,000. Then 16,000
 1.225

 Normalization by decimal scaling

v
v'  j Where j is the smallest integer such that Max(|ν’|) < 1
10
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 Discretization
 Three types of attributes
 Nominal—values from an unordered set, e.g., color, profession
 Ordinal—values from an ordered set, e.g., military or academic
rank
 Numeric—real numbers, e.g., integer or real numbers
 Discretization: Divide the range of a continuous attribute into intervals
 Interval labels can then be used to replace actual data values
 Reduce data size by discretization
 Supervised vs. unsupervised
 Split (top-down) vs. merge (bottom-up)
 Discretization can be performed recursively on an attribute
 Prepare for further analysis, e.g., classification

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 Data Discretization Methods
 Typical methods: All the methods can be applied recursively
 Binning
 Top-down split, unsupervised
 Histogram analysis
 Top-down split, unsupervised
 Clustering analysis (unsupervised, top-down split or
bottom-up merge)
 Decision-tree analysis (supervised, top-down split)
 Correlation (e.g., 2) analysis (unsupervised, bottom-up
merge)

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 Simple Discretization: Binning

 Equal-width (distance) partitioning

 Divides the range into N intervals of equal size: uniform grid
 if A and B are the lowest and highest values of the attribute, the
width of intervals will be: W = (B –A)/N.
 The most straightforward, but outliers may dominate presentation
 Skewed data is not handled well

 Equal-depth (frequency) partitioning

 Divides the range into N intervals, each containing approximately
same number of samples
 Good data scaling
 Managing categorical attributes can be tricky
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 Binning Methods for Data Smoothing
 Sorted data for price (in dollars): 4, 8, 9, 15, 21, 21, 24, 25, 26,
28, 29, 34
* Partition into equal-frequency (equi-depth) bins:
- Bin 1: 4, 8, 9, 15
- Bin 2: 21, 21, 24, 25
- Bin 3: 26, 28, 29, 34
* Smoothing by bin means:
- Bin 1: 9, 9, 9, 9
- Bin 2: 23, 23, 23, 23
- Bin 3: 29, 29, 29, 29
* Smoothing by bin boundaries:
- Bin 1: 4, 4, 4, 15
- Bin 2: 21, 21, 25, 25
- Bin 3: 26, 26, 26, 34
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 Discretization by Classification &
Correlation Analysis
 Classification (e.g., decision tree analysis)
 Supervised: Given class labels, e.g., cancerous vs. benign
 Using entropy to determine split point (discretization point)
 Top-down, recursive split
 Correlation analysis (e.g., Chi-merge: χ2-based discretization)
 Supervised: use class information
 Bottom-up merge: find the best neighboring intervals (those
having similar distributions of classes, i.e., low χ2 values) to merge
 Merge performed recursively, until a predefined stopping condition

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 Concept Hierarchy Generation

 Concept hierarchy organizes concepts (i.e., attribute values)

hierarchically and is usually associated with each dimension in a data
warehouse
 Concept hierarchies facilitate drilling and rolling in data warehouses to
view data in multiple granularity
 Concept hierarchy formation: Recursively reduce the data by collecting
and replacing low level concepts (such as numeric values for age) by
higher level concepts (such as youth, adult, or senior)
 Concept hierarchies can be explicitly specified by domain experts
and/or data warehouse designers
 Concept hierarchy can be automatically formed for both numeric and
nominal data. For numeric data, use discretization methods shown.

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 Concept Hierarchy Generation
for Nominal Data
 Specification of a partial/total ordering of attributes
explicitly at the schema level by users or experts
 street < city < state < country
 Specification of a hierarchy for a set of values by explicit
data grouping
 {Urbana, Champaign, Chicago} < Illinois
 Specification of only a partial set of attributes
 E.g., only street < city, not others
 Automatic generation of hierarchies (or attribute levels) by
the analysis of the number of distinct values
 E.g., for a set of attributes: {street, city, state, country}
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 Automatic Concept Hierarchy Generation
 Some hierarchies can be automatically generated based on
the analysis of the number of distinct values per attribute in
the data set
 The attribute with the most distinct values is placed at
the lowest level of the hierarchy
 Exceptions, e.g., weekday, month, quarter, year

country 15 distinct values

province_or_ state 365 distinct values

city 3567 distinct values

street 674,339 distinct values

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 What is Concept Description?

 Descriptive vs. predictive data mining

 Descriptive mining: describes concepts or task-relevant

data sets in concise, summarative, informative,

discriminative forms
 Predictive mining: Based on data and analysis,

constructs models for the database, and predicts the

trend and properties of unknown data
 Concept description:
 Characterization: provides a concise and succinct

summarization of the given collection of data

 Comparison: provides descriptions comparing two or

more collections of data

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54
 Data Generalization and Summarization-
based Characterization
 Data generalization
 A process which abstracts a large set of task-relevant
data in a database from a low conceptual levels to
higher ones.
1
2
3
4
Conceptual levels
 Approaches: 5

 Data cube approach(OLAP approach)

 Attribute-oriented induction approach

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55
 Attribute-Oriented Induction
 Proposed in 1989 (KDD ‘89 workshop)
 Not confined to categorical data nor particular measures
 How it is done?
 Collect the task-relevant data (initial relation) using a
relational database query
 Perform generalization by attribute removal or
attribute generalization
 Apply aggregation by merging identical, generalized
tuples and accumulating their respective counts
 Interactive presentation with users

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56
Basic Principles of Attribute-Oriented Induction

 Data focusing: task-relevant data, including dimensions,

and the result is the initial relation
 Attribute-removal: remove attribute A if there is a large set
of distinct values for A but (1) there is no generalization
operator on A, or (2) A’s higher level concepts are
expressed in terms of other attributes
 Attribute-generalization: If there is a large set of distinct
values for A, and there exists a set of generalization
operators on A, then select an operator and generalize A
 Attribute-threshold control: typical 2-8, specified/default
 Generalized relation threshold control: control the final
relation/rule size
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57
 Attribute-Oriented Induction: Basic
Algorithm
 InitialRel: Query processing of task-relevant data, deriving
the initial relation.
 PreGen: Based on the analysis of the number of distinct
values in each attribute, determine generalization plan for
each attribute: removal? or how high to generalize?
 PrimeGen: Based on the PreGen plan, perform
generalization to the right level to derive a “prime
generalized relation”, accumulating the counts.
 Presentation: User interaction: (1) adjust levels by drilling,
(2) pivoting, (3) mapping into rules, cross tabs,
visualization presentations.

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58
 Example

 DMQL: Describe general characteristics of graduate

students in the Big-University database
use Big_University_DB
mine characteristics as “Science_Students”
in relevance to name, gender, major, birth_place,
birth_date, residence, phone#, gpa
from student
where status in “graduate”
 Corresponding SQL statement:
Select name, gender, major, birth_place, birth_date,
residence, phone#, gpa
from student
where status in {“Msc”, “MBA”, “PhD” }
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 Class Characterization: An Example
Name Gender Major Birth-Place Birth_date Residence Phone # GPA

Initial Jim M CS Vancouver,BC, 8-12-76 3511 Main St., 687-4598 3.67

Woodman Canada Richmond
Relation Scott M CS Montreal, Que, 28-7-75 345 1st Ave., 253-9106 3.70
Lachance Canada Richmond
Laura Lee F Physics Seattle, WA, USA 25-8-70 125 Austin Ave., 420-5232 3.83
… … … … … Burnaby … …
…
Removed Retained Sci,Eng, Country Age range City Removed Excl,
Bus VG,..
Gender Major Birth_region Age_range Residence GPA Count
Prime M Science Canada 20-25 Richmond Very-good 16
Generalized F Science Foreign 25-30 Burnaby Excellent 22
Relation … … … … … … …

Birth_Region
Canada Foreign Total
Gender
M 16 14 30
F 10 22 32
Total 26 36 62

02/09/20
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 Presentation of Generalized Results
 Generalized relation:
 Relations where some or all attributes are generalized, with counts
or other aggregation values accumulated.
 Cross tabulation:
 Mapping results into cross tabulation form (similar to contingency
tables).
 Visualization techniques:
 Pie charts, bar charts, curves, cubes, and other visual forms.
 Quantitative characteristic rules:
 Mapping generalized result into characteristic rules with quantitative
information associated with it, e.g.,
grad ( x)  male ( x) 
birth _ region ( x) "Canada "[t :53 %]  birth _ region ( x) " foreign"[t : 47%].
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 Summary
 Data quality: accuracy, completeness, consistency, timeliness,
believability, interpretability
 Data cleaning: e.g. missing/noisy values, outliers
 Data integration from multiple sources:
 Entity identification problem

 Remove redundancies

 Detect inconsistencies

 Data reduction
 Dimensionality reduction

 Numerosity reduction

 Data compression

 Data transformation and data discretization

 Normalization

 Concept hierarchy generation

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 References
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Transformation, VLDB’2001
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