Chapter 3.

Data
Preprocessing
HUI-YIN CHANG (張彙音)

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

2
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

4
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
5
Data Cleaning
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)
◦ 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 be due to
◦ equipment malfunction (故障)
◦ 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
◦ not register history or changes of the data
Missing data may need to be inferred

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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?
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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Data Cleaning as a Process
Data discrepancy (差異) detection
◦ Use metadata (e.g., domain, range, dependency, distribution)
◦ Check field overloading
◦ 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
◦ Data auditing: by analyzing data to discover rules and relationship to detect violators (e.g.,
correlation and clustering to find outliers)
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 陶輪)
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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

12
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 (中/英文名字)
◦ Derivable data: One attribute may be a “derived” attribute in
another table, e.g., annual revenue (月薪vs年薪)
Redundant attributes may be able to be detected by correlation
analysis and covariance analysis
Careful integration of the data from multiple sources may help
reduce/avoid redundancies and inconsistencies and improve
mining speed and quality

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Correlation Analysis (Nominal Data)
Χ2 (chi-square) test
For nominal data, a correlation relationship between two
attributes, A and B, can be discovered by a Χ2 (chi-square) test .

ID Gender Book Type

1 male fiction
2 female non_fiction
3 male non_fiction
4 female fiction
5 female fiction
… … …
1500 male non_fiction

We can use X2 to calculate the correlation between the two attributes.

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Correlation Analysis (Nominal Data)
Χ2 (chi-square) test (hypothesis that A and B are independent -> no correlation
between them)

2
(𝑂𝑏𝑠𝑒𝑟𝑣𝑒𝑑 − 𝐸𝑥𝑝𝑒𝑐𝑡𝑒𝑑) 𝑐𝑜𝑢𝑛𝑡 𝐴 = 𝑎𝑖 × 𝑐𝑜𝑢𝑛𝑡 𝐵 = 𝑏𝑖
𝜒2 = ෍ 𝑒𝑖𝑗 =
𝐸𝑥𝑝𝑒𝑐𝑡𝑒𝑑 𝑛

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
male female Sum (row) 300 × 450
𝑒11 = = 90
fiction 250(90) 200(360) 450 1500
non_fiction 50(210) 1000(840) 1050 𝑒21 =
300 × 1050
= 210 𝑒12 =
1200 × 450
= 360
1500 1500
Sum(col.) 300 1200 1500
1200 × 1050
𝑒22 = = 840
1500

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

counts calculated based on the data distribution in the two
categories)
(250 − 90) 2 (50 − 210) 2 (200 − 360) 2 (1000 − 840) 2
 =
2
+ + + = 507.93
90 210 360 840

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Chi-Square Calculation: An Example

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Correlation Analysis (Numeric Data)
Correlation coefficient (also called Pearson’s product moment
coefficient)
i=1 (ai − A)(bi − B) 
n n
(ai bi ) − n AB
rA, B = = i =1
(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 (A’s values increase as

B’s). The higher, the stronger correlation.
rA,B = 0: independent; rAB < 0: negatively correlated

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Visually Evaluating Correlation

Scatter plots
showing the
similarity from
–1 to 1.

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 Correlation (viewed as linear relationship)
Correlation measures the linear relationship between objects
To compute correlation, we standardize data objects, A and B, and then take their dot product

a'k = (ak − mean( A)) / std ( A)

b'k = (bk − mean( B)) / std ( B)

correlation( A, B) = A'• B'

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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.
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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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) =𝐴ҧ = (2 + 3 + 5 + 4 + 6)/ 5 = 20/5 = 4
◦ E(B) = 𝐵ത = (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.

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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

24
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.
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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Mapping Data to a New Space
◼ Fourier transform
◼ Wavelet transform

Two Sine Waves Two Sine Waves + Noise Frequency

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What Is Wavelet Transform?
Decomposes a signal into different
frequency subbands
◦ Applicable to n-dimensional
signals
Data are transformed to preserve
relative distance between objects at
different levels of resolution
Allow natural clusters to become
more distinguishable
Used for image compression

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Principal Component Analysis (PCA)
Find a projection that captures the largest amount of variation in data
The original data are projected onto a much smaller space, resulting in
dimensionality reduction. We find the eigenvectors of the covariance matrix,
and these eigenvectors define the new space

x2

x1
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Principal Component Analysis (Steps)
Given N data vectors from n-dimensions, find k ≤ n orthogonal vectors (principal
components) that can be best used to represent data
◦ Normalize input data: Each attribute falls within the same range
◦ Compute k orthonormal (unit) vectors, i.e., principal components
◦ Each input data (vector) is a linear combination of the k principal component
vectors
◦ The principal components are sorted in order of decreasing “significance” or
strength
◦ Since the components are sorted, the size of the data can be reduced by
eliminating the weak components, i.e., those with low variance (i.e., using the
strongest principal components, it is possible to reconstruct a good
approximation of the original data)

Works for numeric data only

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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 (啟發式) Search in Attribute Selection
There are 2d possible attribute combinations of d attributes
Typical heuristic attribute selection methods:
◦ Best single attribute under the attribute independence
assumption: choose by significance tests
◦ Best step-wise feature selection:
◦ The best single-attribute is picked first
◦ Then next best attribute condition to the first, ...

◦ Step-wise attribute elimination:

◦ Repeatedly eliminate the worst attribute

◦ Best combined attribute selection and elimination

◦ Optimal branch and bound:
◦ Use attribute elimination and backtracking

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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, manifold approaches (not covered)

◦ Attribute construction
◦ Combining features (see: discriminative frequent patterns in Chapter 7)
◦ 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
Regression analysis: A collective name for y
techniques for the modeling and analysis of
numerical data consisting of values of a dependent Y1
variable (also called response variable or
measurement) and of one or more independent Y1’
variables (aka. explanatory variables or predictors)
y=x+1

The parameters are estimated so as to give a "best

fit" of the data X1 x

Most commonly the best fit is evaluated by using Used for prediction (including
the least squares method, but other criteria have forecasting of time-series data),
inference, hypothesis testing, and
also been used
modeling of causal relationships

36
 Histogram Analysis
40
Divide data into buckets and store
average (sum) for each bucket 35
30
Partitioning rules:
◦ Equal-width: equal bucket range 25

◦ Equal-frequency (or equal-depth) 20

15
10
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 (塗抹)”

Can have hierarchical clustering and be stored in multi-

dimensional index tree structures

There are many choices of clustering definitions and clustering

algorithms

Cluster analysis will be studied in depth in Chapter 10

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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:

Note: Sampling may not reduce database I/Os (page at a time)

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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

41
Sampling: Cluster or Stratified (分層) Sampling

Raw Data Cluster/Stratified Sample

42
 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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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 (e.g., JPEG/.jpg)
◦ 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

45
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

46
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

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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, 1.0].
73,600 − 12,000
Then $73,000 is mapped to (1.0 − 0) + 0 = 0.716
98,000 − 12,000

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 = 1.225
16,000

Normalization by decimal scaling (e.g., 紙鈔幣值有如玩具鈔票！委內瑞拉貨幣砍6個零百萬紙鈔變成1塊錢)

v
v'= j Where j is the smallest integer such that Max(|ν’|) < 1
10 48
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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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

◦ Details to be covered in Chapter 7

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.

53
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 (厄巴納), Champaign (香檳), 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}

54
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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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

56
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Thanks for Your Attention
Q&A

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