# Chapter 4: Non-Parametric Classification

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1 Chapter 4: Non-Parametric Classification Introduction Density Estimation Parzen Windows Kn-Nearest Neighbor Density Estimation K-Nearest Neighbor (KNN) Decision Rule

2 Gaussian Mixture Model A weighted combination of a small but unknown no. of Gaussians Can one recover the parameters of Gaussians from unlabeled data?

3 Introduction 2 All parametric densities are unimodal (have a single local maximum), whereas many practical problems involve multi-modal modal densities Nonparametric procedures can be used with arbitrary distributions and without the assumption that the form of the underlying densities is known Two types of nonparametric methods: Estimating class conditional densities, P P(x ω j ) Bypass class-conditional conditional density estimation and directly estimate the a-posteriori a probability Pattern Classification, Ch4 (Part 1)

4 Density Estimation 3 Basic idea: Probability that a vector x will fall in region R is: P = p( x' )dx' (1) R P is a smoothed (or averaged) version of the density function p(x). How do we estimate P? If we have a sample of size n (i.i.d from p(x)), the probability that k of the n points fall in R is: P k n = P k k ( 1 P ) n k (2) and the expected value for k is: E(k) = np (3) Pattern Classification, Ch4 (Part 1)

5 ML estimation of unknown P = θ 4 Max( Pk θ ) is achieved when θ ˆ θ = k n P Ratio k/n is a good estimate for the probability P and hence for the density function p (x) Assume p(x) is continuous and region R is so small that p does not vary significantly within it. Then R p( x' )dx' x )V where x is a point in R and V the volume enclosed by R p( (4)

6 Combining equations (1), (3) and (4) yields: 5 p( x ) k / V n Pattern Classification, Ch4 (Part 1)

7 Conditions for convergence 6 The fraction k/(nv) is a space averaged value of p(x). Convergence to true p(x) is obtained only if V approaches zero. lim V 0, k = 0 p( x ) (if This is the case where no samples are included in R lim V 0, k 0 In this case, the estimate diverges = p( 0 x ) n = = fixed) Pattern Classification, Ch4 (Part 1)

8 The volume V needs to approach 0 if we want to obtain p(x) rather than just an averaged version of it. 7 In practice, V cannot be allowed to become small since the number of samples, n, is always limited We have to accept a certain amount of averaging in p(x) Theoretically, if an unlimited number of samples is available, we can circumvent this difficulty as follows: To estimate the density of x, we form a sequence of regions R 1, R 2, containing x: the first region contains one sample, the second two samples and so on. Let V n be the volume of R n, k n be the number of samples falling in R n and p n (x) be the n th estimate for p(x): p n (x) = (k n /n)/v n (7) Pattern Classification, Ch4 (Part 1)

9 Necessary conditions for p n (x) to converge to p(x): 8 1 ) limv n 2 ) lim k n 3 ) lim k n n n n = 0 = / n = 0 Two ways of defining sequences of regions that satisfy these conditions: (a) Shrink an initial region where V n = 1/ n ; it can be shown that p n ( x ) n x ) This is called the Parzen-window estimation method (b) Specify k n as some function of n, such as k n = n; ; the volume V n is grown until it encloses k n neighbors of x. This is called the k n -nearest neighbor estimation method p( Pattern Classification, Ch4 (Part 1)

10 9 Pattern Classification, Ch4 (Part 1)

11 Parzen Windows 10 For simplicity, let us assume that the region R n is a d-d dimensional hypercube V n = h d n (h n Let ϕ(u) be the : length of 1 1 u j j = ϕ(u) = 2 0 otherwise the edge of following window 1,...,d R n ) function : ϕ((x-x i )/h n ) is equal to unity if x i falls within the hypercube of volume V n centered at x and equal to zero otherwise. Pattern Classification, Ch4 (Part 1)

12 The number of samples in this hypercube is: 11 k n = i = n i= 1 x ϕ h n x i By substituting k n in equation (7), we obtain the following estimate: p n (x) i 1 = = n n 1 V x ϕ h i= 1 n n x i P n (x) estimates p(x) as an average of functions of x and the samples x i, i = 1,,n. These functions ϕ can be of any form, e.g., Gaussian. Pattern Classification, Ch4 (Part 1)

13 12 The behavior of the Parzen-window method Case where p(x) N(0,1) Let ϕ(u) = (1/ (2π) exp(-u 2 /2) and h n = h 1 / n (n>1) Thus: (h 1 : known parameter) p n ( x ) i 1 = = n n 1 h x ϕ h i= 1 n n x i is an average of normal densities centered at the samples x i. Pattern Classification, Ch4 (Part 1)

14 13 Numerical results: For n = 1 and h 1 =1 1 1 / 2 2 p1( x ) = ϕ( x x1 ) = e ( x x1 ) N( x1 2π,1 ) For n = 10 and h = 0.1,, the contributions of the individual samples are clearly observable! Pattern Classification, Ch4 (Part 1)

15 14 Pattern Classification, Ch4 (Part 1)

16 15 Pattern Classification, Ch4 (Part 1)

17 Analogous results are also obtained in two dimensions: 16 Pattern Classification, Ch4 (Part 1)

18 17 Pattern Classification, Ch4 (Part 1)

19 Unknown density p(x) = λ 1.U(a,b) + λ 2.T(c,d) is a mixture of a uniform and a triangle density 18 Pattern Classification, Ch4 (Part 1)

20 19 Pattern Classification, Ch4 (Part 1)

21 Parzen-window density estimates

22 21 Classification example How do we design classifiers based on Parzen-window density estimation? Estimate the class-conditional conditional densities for each class; classify a test sample by the label corresponding to the maximum a posteriori density Decision region for a Parzen-window classifier depends upon the choice of window function and the window width; in practice window function chosen is Gaussian Pattern Classification, Ch4 (Part 1)

23 22 Pattern Classification, Ch4 (Part 1)

24 K n - Nearest Neighbor Density Estimation 23 Let the region volume be a function of the training data Center a region about x and let it grows until it captures k n samples (k n = f(n)) k n denotes the k n nearest-neighbors neighbors of x Two possibilities can occur: If the true density is high near x, the region will be small which provides a good resolution If the true density at x is low, the region will grow large to capture k n samples We can obtain a family of estimates by setting k n =k 1 / n and choosing different values for k 1

25

26 25 Illustration For k n = n n = 1 ; the estimate becomes: P n (x) = k n / n.v n = 1 / V 1 =1 / 2 x-x 1 Pattern Classification, Chapter 4 (Part 2)

27 26 Pattern Classification, Chapter 4 (Part 2)

28 27 Pattern Classification, Chapter 4 (Part 2)

29 28 Estimation of a-posteriori a probabilities Goal: estimate P(ω i x) from a set of n labeled samples Place a cell of volume V around x and capture k samples Suppose k i samples amongst k are labeled ω i then: p n (x, ω i ) = k i /n.v An estimate for p n (ω i x) is: p ( ω x ) = = p p ( x, ω n i n i = j c j= 1 n ( x, ω ) j ) ki k

30 29 k i /k is the fraction of the samples within the cell that are labeled ω i For minimum error rate, the most frequently represented category within the cell is selected If k is large and the cell is sufficiently small, the performance will approach the optimal Bayes rule Pattern Classification, Chapter 4 (Part 2)

31 Nearest neighbor Decision Rule 30 Let D n = {x 1, x 2,,, x n } be a set of n labeled prototypes Let x D n be the closest prototype to a test point x then the nearest-neighbor neighbor rule for classifying x is to assign it the label associated with x The nearest-neighbor neighbor rule leads to an error rate greater than the minimum possible, namely the Bayes error rate If the number of prototypes is large (unlimited), the error rate of the nearest-neighbor neighbor classifier is never worse than twice the Bayes rate (it can be proved!) If n,, it is always possible to find x sufficiently close to x so that: P(ω i x ) x P(ω i x) Pattern Classification, Chapter 4 (Part 2)

32 31 If P(ω m x) 1,, then the nearest neighbor selection is almost always the same as the Bayes selection Pattern Classification, Chapter 4 (Part 2)

33 32

34 Bound on the Nearest Neighbor Error Rate

35 k Nearest Neighbor (k-nn) Decision Rule 34 Classify the test sample x by assigning it the label most frequently represented among the k nearest samples of x Pattern Classification, Chapter 4 (Part 2)

36 35 Pattern Classification, Chapter 4 (Part 2)

37 The k-nearest Neighbor Rule The bounds on k-nn error rate for different values of k. As k increases, the upper bounds get progressively closer to the lower bound the Bayes Error rate. When k goes to infinity, the two bounds meet and k-nn rule becomes optimal.

38 Metric Nearest neighbor rule relies on a metric or a distance function between the patterns A metric D(.,.) is a function that takes two vectors a and b as arguments, and returns a scalar function. For a function D(.,.) to be called a metric, it needs to satisfy the following properties for any given vectors a, b and c.

39 Metrics and Nearest-neighbors A metric remains a metric even when each dimension is scaled (in fact, under any positive definite linear transformation). Left plot shows a scenario where the black point is closer to x. Scaling the x 1 axis by 1/3, however, brings the red point closer to x than the black point.

40 Minkowski metric Example Metrics K = 1 gives the Manhattan distance K = 2 gives the Euclidean distance K = gives the max-distance (maximum value of the absolute differences between the elements of the two vectors) Tanimoto metric: used for finding distance between sets

41 Computational Complexity of K-NN K Rule 40 Complexity both in terms of time (search) and space (storage of prototypes) has received a lot of attention Suppose we are given n labeled samples in d dimensions and we seek the sample closest to a test point x. Naïve approach would require calculating the distance of x to each stored point and then find the closest. Three general algorithmic techniques for reducing the computational burden computing partial distances Pre-structuring editing the stored prototypes Pattern Classification, Chapter 4 (Part 2)

42 Nearest-Neighbor Neighbor Editing For each given test point, k-nn k has to make N distance computations, followed by selection of k-closest k neighbors. Imagine a billion web-pages, or a million images. Different ways to reduce search complexity Pre-structuring the data. (Eg. Divide 2D data uniformly distributed in [-1[ 1 1] 2 into quadrants and compare the given example to points only in that quadrant) Build search trees Nearest neighbor editing Nearest-neighbor editing eliminates useless prototypes Eliminate prototypes that are surrounded by training examples of the same category label Leaves the decision boundaries intact

43 Nearest neighbor editing: Algorithm The complexity of this algorithm is O(d 3 n [d/2] ln n), where [d/2] is the floor of d/2.

44 A Branch and Bound Algorithm for Computing k-nearest Neighbors K. Fukunga & P. Narendra, IEEE Trans. Computers, July 1975

45 KNN K-NN generally requires large number of computations for large n (number of training samples) Several solutions to reduce complexity Hart s method: condense the training dataset size while retaining most of the samples that provide sufficient discriminatory information between classes Fischer and Patrick: re-order the examples such that many distance computations can be eliminated Fukunaga and Narendra: hierarchically decompose the design samples into disjoint subsets and apply a branch-and-bound algorithm for searching through the hierarchy.

46 Stage 1: Hierarchical Decomposition Given a dataset of n samples, divide it into l groups, and recursively divide each of the l-groups further into l-groups each. Partitioning must be done such that similar samples are placed in the same group. K-means algorithm is used to divide the dataset, since it scales well to large datasets.

47 Searching the Tree For each node in the tree, evaluate the following quantities S p N p M p Set of samples associated with node p Number of samples at node p Sample mean of samples at node p r p Farthest distance from mean M p Use two rules for eliminating examples for nearest neighbor computation.

48 Rule 1 Rule 1: No sample x i in S p can be nearest neighbor to test point x if where B is the distance to the current nearest neighbor. Proof: For any point x i in S p if test point x is in the same node, by triangle inequality, we have Since d(x i,m p ) < r p by definition, Therefore x i cannot be nearest neighbor to x if

49 Rule 2 Rule 2: A sample x i in S p cannot be a nearest neighbor to x if Proof: On similar lines as the previous proof using triangle inequality. This rule is applied only on the leaf nodes. The distances d(x i,m p ) are computed for all the points in the leaf nodes; only requires additional storage of n real numbers.

50 Branch and Bound Search Algorithm 1. Set B =. Current level L = 1, and Node = Expansion:Place all nodes that are immediate successors of current node in the active set of nodes. 3. For each node, test Rule 1. Remove nodes that fail. 4. Pick the closest node to the test point xand expand using step 2. If you are at the final level, go to step Apply Rule 2 to all the points in the last node. 1. For all the points that fail, do not compute the distance to x. 2. For points that succeed, compute the distances. 6. Pick the closest point using the computed distances.

51 Extension to k-nearest Neighbors The same algorithm may be applied with B representing the distance to the k-th closest point in the dataset. When a distance is actually calculated in Step 5, it is compared against distances to its current k-nearest neighbors, and the current k-nearest neighbor table is updated as necessary.

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