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Efficiently Finding the Optimum Number of Clusters in a Datasetwith a New Hybrid Cellular Evolutionary Algorithm
Javier Arellano-Verdejo, Adolfo Guzman-Arenas, Salvador Godoy-Calderon, and Ricardo Barron Fernandez
Centro de Investigacion en Computacion, Instituto Politecnico Nacional, Mexico D.F.,Mexico
[email protected], [email protected], [email protected], [email protected]
Abstract. A challenge in hybrid evolutionary algorithms isto employ efficient strategies to cover all the search space,applying local search only in actually promising search areas;on the other hand, clustering algorithms, a fundamental basefor data mining procedures and learning techniques, sufferfrom the lack of efficient methods for determining the optimalnumber of clusters to be found in an arbitrary dataset. Someexisting methods use evolutionary algorithms with cluster val-idation index as the objective function. In this article, a newcellular evolutionary algorithm based on a hybrid model ofglobal and local heuristic search is proposed for the same task,and extensive experimentation is done with different datasetsand indexes.
Keywords. Clustering, cellular genetic algorithm, micro-evolutionary algorithms, particle swarm optimization, optimalnumber of clusters.
Busqueda eficiente del optimo numero degrupos en un conjunto de datos con un
nuevo algoritmo evolutivo celular hıbrido
Resumen. Un reto actual en el area de algoritmos evolutivoshıbridos es el empleo eficiente de estrategias para cubrir latotalidad del espacio de busqueda usando busqueda local soloen las regiones prometedoras. Por otra parte, los algoritmosde agrupamiento, fundamentales para procesos de minerıade datos y tecnicas de aprendizaje, carecen de metodos efi-cientes para determinar el numero optimo de grupos a formara partir de un conjunto de datos. Algunos de los metodosexistentes hacen uso de algunos algoritmos evolutivos, asıcomo una funcion para validacion de agrupamientos como sufuncion objetivo. En este artıculo se propone un nuevo algo-ritmo evolutivo celular, para abordar dicha tarea. El algoritmopropuesto esta basado en un modelo hıbrido de busqueda,tanto global como local y tras presentarlo se prueba con unaestensa experimentacion sobre diferentes conjuntos de datosy diferentes funciones objetivo.
Palabras clave. Agrupamiento, algoritmo gentico celular, mi-croalgoritmos evolutvos, optimizacin por cmulo de partculas,nmero ptimo de clases.
1 Introduction
Modern search methods for optimization consider hy-brid evolutionary algorithms (HEA) which combine evo-lutionary algorithm (EA) and local optimizers. The hy-bridism comes from the balancing of global and localsearch procedures, and the main focus of such modelsis real-world problems. In recent years, the integration ofdifferent learning and adaptation techniques in order toovercome individual limitations and achieve synergeticeffects through hybridization or fusion of these tech-niques has contributed to a large number of new hybridevolutionary algorithms [16].
On the other hand, a clustering algorithm is a proce-dure that groups data patterns according to their similar-ity [19] and [44]. Clustering is a very useful and populartask among artificial intelligence activities; consequently,numerous algorithms and procedures for solving clus-tering problems have been reported: centroid basedmethods [17], graph theory based clustering [35], fuzzy[30], probability accumulation based clustering [41], hi-erarchical [8], and kernel methods for clustering [37].
Once a dataset has been clustered, there is a certainwarranty that elements from the same cluster are moresimilar to each other than to those in other clusters,therefore, they share some common properties [44]. Byusing inductive learning procedures like those in [23],knowledge about the cluster structure of a multidimen-sional dataset can be used to construct a synthetic andcharacteristic definition of each cluster. Such character-istic definition is generally used as the core learning in-formation for a wide variety of intelligent agents, conceptgeneralization mechanisms, and all sorts of knowledge
discovery procedures [26] and [27]. That is why clus-tering algorithms are most valuable tools for data miningprocesses.
During the last few decades cluster analysis hasplayed a major role in a wide variety of research fields,including microbiology, genetics, psychology, marketing,economics, machine learning [3], computer vision [13],and many others [7]. However, a major family of cluster-ing algorithms (aka. centroid based or partitional ones),heavily depend on the number of clusters to form, andalthough several rules of thumb can be used to estimatethis number, there is no definite rule for that.
The problem of finding the optimum number k ofclusters for an arbitrary dataset has distinguished itselfas one of the most intriguing and challenging problemsin the Pattern Recognition field [10]. More than often,the choice of this number determines the behavior ofseveral learning applications such as [18], [46], and [38]and has profound implications, as well as interpretations,regarding the nature and properties of the dataset beingclustered [42]. Once this number k has been estimated,there is a wide variety of algorithms like [45] and [6]that take it as a parameter and effectively decide a wayto cluster all available data into exactly that number ofclusters. However, there is still no universal criterion oralgorithm for estimating k.
1.1 Clustering Problem
The clustering problem can be formally defined as fol-lows. Let Ω = o1, · · · ,on be a set of r dimensionalpatterns. A clustering of Ω is a partitioning of Ω into kclusters C1, · · · ,Ck satisfying the following conditions:
— The union of all clusters must be equal to theoriginal universe of discourse:
⋃kj=1 C j = Ω for all
i, j ∈ [1,k].
— Each pattern can belong to one and only one clus-ter: Ci
⋂C j = /0, for all i, j ∈ [1,k].
— There can be no empty clusters: C j 6= /0, for all i, j ∈[1,k].
However, the problem of estimating k is formally de-fined in [10] as an optimization problem. Given thefact that a dataset can be partitioned in several differentways while preserving the aforementioned properties, anobjective (target) function for the optimization process
must be defined. The problem then turns out to beone of finding a partition C∗ of optimal or near-optimaladequacy, as compared to all other feasible solutions.
The well-known intrinsic relationship between cluster-ing and optimization has attracted the attention of re-searchers in the field of meta-heuristic optimization to theproblem of estimating k for any given dataset. Numerousresearch papers have been published where all kinds ofevolutionary algorithms are used for tackling the problemof estimating k [2], [10], [36], and [42] and the problemof finding an appropriate clustering of data into exactly kclusters [1] [21], [28], [33], and [25]. In this paper we tryto provide a new best-performing algorithm, to the bestof our knowledge, for the same task.
When k is known a priori, an adequate clustering ofa dataset can be found by determining the position of allcluster representatives that minimizes the global intra-cluster variance. On the other hand, when estimating k,each possibility can only be tested with the aid of a globalstructure-related measure, such as a cluster validationindex. However, since a dataset can be clustered indifferent ways with the same number of clusters, allmeta-heuristic methods that seek to estimate k at thesame time also find the best clustering of data in thatparticular number of clusters. These methods, charac-terized by the use of an internal cluster validation indexas the fitness function, model the clustering problem asa combinatorial optimization [20].
In this article, we present a novel evolutionary al-gorithm which implements a hybrid model of heuristicsearch. We experimentally test the efficiency of theproposed algorithm for finding the optimal number ofclusters in a dataset, and compare its performance withthat of the most widely used evolutionary techniquesfor the same problem and under the same conditions.Exhaustive experimentation with synthetic datasets, aswell as the use of non-parametric statistical tests, con-vincingly shows that the proposed algorithm is the mostefficient evolutionary algorithm used for that problemso far.
2 State of the Art
In this section, the state of the art on the main tech-niques used during the development of this researchwork will be briefly described. In Section 2.1, mostrepresentative research works regarding the determina-tion of the optimal number of clusters (value of k) in a
dataset are described. Section 2.2 describes the latestadvancements in cellular genetic algorithms as well astheir different possible configurations. Finally, in Section2.3 micro-evolutionary algorithms are analyzed, and theiradvantages in convergence speed and reduced popula-tion size are discussed.
2.1 Finding Optimal Value for K
In [2] the authors proposed a genetic algorithm basedprocedure called Genetic Clustering for Unknown K(GCUK-Clustering). It was developed for finding theoptimal number of clusters in a dataset. The authorsonly reported experiments with the Davis-Boulding indexas the fitness function and with both synthetic (Data 3 2,Data 5 2, Data 6 2 and Data 4 3) and real datasets(IrisData and Breast Cancer sets from the MachineLearning Repository). The GUCK-Clustering algorithmsuccessfully found the correct number of clusters in allreported experiments.
Six years later, the authors of [10] developed a differ-ential evolution algorithm called A Classical DifferentialEvolution for clustering (ACDE) for the same purpose.This algorithm encodes the cluster representatives ineach chromosome, but it also adds, for each represen-tative, the probability of that particular representative tobe active in that individual. The ACDE algorithm alsouses the Davis-Boulding index as its fitness function,and experiments only with the IrisData, Breast-Cancerand Wine datasets from the same UCI repository werereported. Again, the correct number of clusters wasfound in all reported experiments.
Apparently, as a response to the previous paper, [36]presented another differential evolution algorithm calledADEFC (A new Differential Evolution based on FuzzyClustering) for finding the appropriate number of clustersin a fuzzy dataset. Almost with the same genotypecoding explained before, ADEFC encodes each clusterrepresentative with real numbers, but with an extra arrayof bits for activating/deactivating each representative.The authors used the Xie-Beni index as the fitness func-tion, and although in all their reported experiments theoptimal number of clusters was found correctly, almostfor the first time in this kind of research, they also usedthe Wilcoxon non-parametric ranking test to support theirexperimental results.
Lastly, the authors of [42] devised a differential evo-lution based algorithm called Automatic Clustering with
Differential Evolution; it used the cluster number Oscil-lation method (ACDE-O) which includes an oscillationmechanism. This algorithm, while having the samestructure of a canonical differential evolution, also hasthe ability to locally adjust the estimated number ofclusters based on activation of the information stored inthe individual’s genotype. The authors used the I-index(designed by Maulik and Bandyopadhyay) as the fitnessfunction. IrisData and Breast Cancer datasets were usedin reported experimentation; however, no statistical testwas used for evaluation purposes.
2.2 Cellular Evolutionary Algorithms (cEAs)
The first cGA was designed by Robertson in 1987 [216-22] for a classification system. Robertson’s idea was toconstruct a parallel genetic algorithm where each individ-ual was connected with others in its neighborhood. Hisexperimental results were quite encouraging, since thecGA got better results than a classic GA.
In 1991, Davidor [58-27] experimented with cGA andbi-dimensional grids as a means for structuring the pop-ulation into 8-individual neighborhoods. He used theproportional selection method to select ancestors forrecombination and to reinsert individuals into the neigh-borhood with a probability based on their fitness value.Davidor concluded that cGA with the aforementionedcharacteristics had faster convergence speeds than thetraditional cGA.
In 1994, Gordon et al. [110-28] studied the behavior ofcGAs with different types of neighborhoods. They usedcGA on a wide variety of optimization problems, bothcontinuous and discreet, and concluded that neighbor-hoods with bigger neighborhood radius work better withsimple problems. However, for more complex problems,cGAs with smaller neighborhood radius work better.
In 2002, Alba et al. [19-28] performed a compar-ative research of different individual update criteria inboth synchronous and asynchronous modes. Exper-imental results obtained by them suggest that asyn-chronous cGAs show a higher selection pressure thansynchronous cGAs, so their convergence speed is alsofaster and they find solutions faster in less complex prob-lems. On the other hand, synchronous cGAs show abetter performance when facing complex problems.
Also in 2002, Ekund [84-28] made an extensive em-pirical research in order to determine the best selectioncriterion for cGAs as well as the optimal shape and size
for neighborhoods. He concluded that shape and sizeof the neighborhoods directly depend on the size of thepopulation. He also showed that any selection criterioncan lead to good results as long as an elitism criterion isalso used to preserve the best solutions found.
2.3 Micro-Evolutionary Algorithms (µEAs)
In 1989, [24] presented the first implementation of a µEAin the form of a micro-Genetic Algorithm (µGA) with avery small population and with elitism. He tested hisµGA against a conventional Genetic Algorithm (GA) andfound that the µGA was able to get better results whendealing with stationary functions as well as in certaincontrol engineering problems.
That same year Goldberg suggested in [15], basingon some theoretical results, a µGA that starts with areduced population and applies recombination operatorssuch as crossover and mutation until the populationreaches a state of nominal convergences. This algorithmrandomly reinitializes the population but keeps the bestfitted individuals from the last generation. All the aboveprocesses are repeated until a certain termination condi-tion is met. Following his experimental results, Goldbergfound that a population with only three individuals isenough to ensure the algorithm’s convergence, indepen-dently from the length of the chromosomes.
As described in the state of the art, µEAs can beclassified into two classes: (1) those that are modifiedversions of original EAs and (2) those specifically de-signed to work with small populations [40]. The mostrepresentative algorithms of the first class are µGA [24],µPSO [4], and µDE [34]. On the other hand, one ofthe few known algorithms in the second class is ElitistEvolution (EEv) designed in 2009 [39].
Concerning more recent studies, in 2010 Coello etal. proposed a µPSO for multi-objective problems(µMOPSO) [5]. In this algorithm, the swarm’s leaderselection is made with the Pareto efficiency parameter,a density-based neighborhood estimator, a mutation op-eration, and a re-initialization process. The experimen-tal results show that for all tested objective functions,their algorithm finds better solution and with a fasterconvergence time than the NSGA-II algorithm [12], arepresentative multi-objective algorithm.
2.4 Hybrid Evolutionary Algorithms (HEA)
Even though evolutionary computation has clearlyshown its advantages for tackling difficult practical op-timization problems, there are many reported cases inwhich the performance yielded by direct evolutionaryalgorithms turns out to be marginal at best. On sev-eral other occasions the practical complexity in select-ing parameter values and appropriate representationshighlight the limitations of the direct approach. All thesefacts clearly illustrate the need for hybrid approachesto optimize the performance of the direct evolution-ary approach. Recently, hybridization of evolutionaryalgorithms has become popular due to their capabili-ties in handling several real world problems involvingcomplexity, noisy environment, imprecision, uncertainty,and vagueness.
Several hybridization approaches have been used toimprove the general efficiency of evolutionary algorithms.The most widely used technique is the hybridizationof one evolutionary algorithm with another one havingdifferent exploration/exploitation capabilities. Examplesof such approach include neural network assisted EA,swarm assisted EA, and ant colony assisted EA. Stillanother popular approach is the hybridization of someEA and other heuristics such as local search, taboosearch, simulated annealing, hill climbing, etc.
Noteworthy is the case of [32], where the authors pro-pose a new hybrid EA for clustering tasks. The proposedHEA combines an ACO with a Simulated Annealing(SA) algorithm for ACO-SA. Although it is very similar instructure to the hybridization technique used during thisresearch, the marked difference between the objectivesof both studies as well as their distinct experimentalevaluation processes make them virtually impossible tocompare. On the one hand, in [32] the HEA is used forclustering tasks and the desired total number of clustersis received as a user parameter. On the other hand,in [32] the evaluation process is based on a MinimalSquared Error (MSE). The primary objective of our re-search is to estimate the total number of clusters to befound in a dataset and not to directly cluster such data.
3 Theoretical Background
A description of the theoretical framework for the meth-ods and techniques used during this research is brieflypresented in this section. Section 3.1 describes the
interconnection topology and the neighborhoods of theproposed cGA. Section 3.2 shows the PSO used forlocal search including its pseudocode. Finally, Section3.3 describes the cluster validation indexes used as thefitness function for the proposed cGA.
3.1 Cellular Genetic Algorithm
Cellular Genetic Algorithms (cGA), like many other evo-lutionary algorithms, search for the solution to a prob-lem by evolving a population of candidate solutions.However, cGAs model the evolutionary process in amore individual-oriented perspective rather than thepopulation-oriented perspective typical for many othermodels like genetic algorithms, evolutionary strategies,and differential evolution. In a cGA, a grid providesstructure for the population (see Fig. 1).
Fig. 1. cGA population structure
The grid, along with the selection of a neighbor-hood model, sets the interaction and communicationprocesses to take place during the population evolu-tion. Unlike what happens in population-oriented meta-heuristics, in a cGA each individual can only recom-bine with those that are part of its local neighborhood.Such behavior significantly modifies the properties of theevolutionary meta-heuristic search. On the one hand,the relatively small size of an individual’s neighborhoodcauses its diversity to decrease quite rapidly during theevolutionary process. On the other hand, since all neigh-borhoods overlap, an individual has as much chance ofbeing replaced as the number of neighborhoods of whichit is part. The size of the overlap sets the relative speedat which the best solutions are propagated through thewhole population or takeover (see Fig. 2).
The exploration/exploitation capabilities of a cGA canbe regulated by varying the size and topology of theneighborhoods. There are two classical ways to define a
Fig. 2. Neighborhoods overlapping
neighborhood: the Cn compact form and the Ln linearform (see Fig. 3), where n indicates the size of theneighborhood in both cases. The behavior of a cGAnotoriously depends on its individual replacement policyas well as on other parameters such as the size andgeometry of neighborhoods, see the pseudocode of thecanonical cGA algorithm 1. Here, in lines 1 and 2, theinitial population is created, initialized and evaluated. Af-terwards, for each individual in line 5, the neighborhoodof the current individual is calculated. Line 6 selectsboth parents to be recombined (line 7) and mutated (line8). In line 10, the current individual is replaced with thebest-fitted mutated descendant. The whole process isrun while the stop-condition is not met (line 3).
a) b) c)
Fig. 3. Typically used neighborhoods: a) L5, B) C9, c) C13
3.2 MicroPSO with Local Search
A Particle Swarm Optimization algorithm (PSO) is apopulation meta-heuristic inspired by the social behaviorobserved in flocks of birds or shoals of fish. This kindof algorithm follows a biological model known as socialmetaphor [22], which states that when individuals takepart in a society, their opinions emerge partly from theirown experience and partly from their society’s set ofbeliefs (the search space).
A µPSO is a PSO with a very small population (typ-ically between 3 and 5 individuals). Unlike classicalswarm algorithms, a µPSO operates along two loops(see the pseudocode 2 for µPSO algorithm): the inner
Algorithm 1 Pseudocode of the cGA1: p← generateInitialPopulation()2: evaluate(population)3: while not terminationConditionMeet do4: for each individual in p do5: neighboors← getNeighborhood(p, individual)6: parents← selection(neighboors)7: offspring← recombination(parents)8: offspring← mutation(offspring)9: evaluate(offspring)
10: ptemp ← replacement(individual,offspring)11: end for12: p← ptemp13: end while14: return bestSolutionFound
loop (lines 7 to 16) works exactly as in a canonicalPSO until it finds a best solution; the outer loop (line4) re-initializes the swarm with a preset frequency (line18). The re-initialization of the swarm yields new ran-dom individuals and preserves the best fitted individualfrom the previous swarm, thus promoting the explorationcapabilities of the algorithm.
Algorithm 2 Pseudocode of the µPSO-LS1: swarm← initSwarm()2: bestParticlePosition← getBestParticlePosition()3: globalBest ← getGlobalBest()4: while not terminationConditionMeet do5: while not nominalConvergenceMeet do6: for each particle in swarm do7: v← calculateVelocity(particle)8: x← calculatePosition(particle,v )9: x← localSearch(x)
10: if fitness(x) ≥ fitness(bestParticlePosition) then11: bestParticlePosition← x12: if fitness(x) ≥ fitness(globalBest) then13: globalBest ← x14: end if15: end if16: end for17: end while18: swarm← restartSwarm(swarm, globalBest)19: end while20: return bestSolutionFound
3.3 Cluster Validation Indexes
Different clustering algorithms can deliver very differentresults on the same dataset [29]. The aim of the clustervalidity is to find the partitioning that best fits the un-derlying data. Many validation indexes exist; however,
only three of them will be used for this research: theDavis-Bouldin (DB) index, the Xie-Beni (XB) index, andthe I-index (I).
In the DB index [11], Equation 1, a similarity measurebetween the clusters Ci and C j is defined based on ameasure of dispersion of a cluster Ci and a comparisonwith the separation between both clusters. DB is theaverage similarity between each cluster Ci and its mostsimilar one:
DB =1k
k
∑i=1
maxj=1..kj 6=i
Disp(Ci)+Disp(C j)
Sep(Ci,C j)
, (1)
where Disp(Ci) is the dispersion of class Ci calcu-lated as
Dist (Ci) =
√√√√√ 1|Ci| ∑
Oi,O j∈Cii6= j
∥∥oi,o j∥∥2
(2)
and Sep(Ci,C j) is the separation between class i andclass j, measured with any appropriate linkage function(single, complete, average, etc.).
In the Xie-Beni index [43], Equation 3, the fuzzy de-viation of xi from cluster j is defined as the distancebetween xi and the center of the cluster weighted by itsfuzzy membership to that same cluster j:
XB =∑
kj=1 ∑
ni=1 µi j
∥∥oi,u j∥∥2
n
minp=1..k
p6= j
∥∥u j,up∥∥2 , (3)
where µi j is the membership of object i in class j andu j is the selected class representative object (class cen-troid) of class j.
Finally, in the I-index [31], Equation 4, the first factornormalizes each index value by the overall number ofclusters k, the second term sets the overall error sumof squares of the complete dataset in relation to theintra-cluster error of a given clustering. Lastly, the thirdfactor incorporates the maximum observed differencebetween two of the k clusters. The index computationincludes a variable parameter p ∈ R to control the con-trast between the different cluster configurations. Theauthors recommend a value of p = 2:
I =(
1k· E1
Ek·Dk
)p
, (4)
where Ek is the weighted variance of class j, E1 is theglobal non-weighted variance of all patterns, and Dk isthe maximum distance between classes. Variable p isthe only scale factor which authors recommend to be 2.
4 Hybrid cGA
The algorithm herein proposed is a Hybrid Cellular Ge-netic Algorithm for finding the optimal number of clus-ters in a dataset. The proposed algorithm incorporatesa local search technique taken from the Micro-ParticleSwarm Optimization model which increases the effi-ciency with respect to the works discussed in the stateof the art. In addition, our proposal is very simple tounderstand and implement (Occam’s razor); we test it ona superset of problems taken from the mentioned litera-ture and assess the statistical validation of our results.This, we guess, represents a self-contained model andhopefully, a useful contribution for future research in awide variety of domains using clustering.
This section presents the proposed cellular geneticalgorithm for finding the optimal number of clusters in anygiven dataset including the computational representationfor individuals (4.1), the fitness function (4.2), as well asdatasets, configuration, statistical and analysis results(Sections 5, 5.1, and 5.5).
The proposed algorithm is a hybrid evolutionary algo-rithm made up of two heuristics: a cGA and a µPSOLS(see algorithms 1 and 2 in Section 3.1 and 3.2).
The upper part of Fig. 4 shows a cGA, with itspopulation structured by a toroidal grid, and where eachindividual represents one possible solution (one value fork). The lower part of the same figure shows that a µPSO,with local search capabilities (LS), is used to determinethe optimal clustering of objects for the individual’s valueof k.
[2,4] [4,2] [5,5]
Centroid-1
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Fig. 4. Architecture of the proposed CGA
4.1 Computational Representation
As stated in the previous paragraph, the cGA works overa population structured with a completely connected grid(toroid). Each individual has a different value within thesearch range for k. The µPSO uses an array of length kto represent each individual. Each position in such array,codes the centroid’s position for each of the k clustersrepresented by a cGA individual.
4.2 Fitness Function
Fig. 5 shows a graphical representation of the proposedfitness evaluation mechanism. The µPSO takes a k valueas input (from the cGA) and returns an optimal partitionof the objects with exactly that number of clusters. Thepartition is then assessed by using a cluster validationindex (see Section 2) which in turn yields the fitnessvalue required by the cGA.
Cluster Index Validation
PSOu
Fitness
K
Fig. 5. Individual evaluation mechanism for the CGA
In order to enhance the performance of the µPSO, alocal search was included within its evolutionary process.The left part of Fig. 6 shows the µPSO representation ofone particular centroid for a cluster. After performing thelocal search procedure, the position of the centroid is ad-justed to better fit the cluster. Such adjustment inducesan increase in the algorithm convergence speed, as itcan be seen in the experimental results section.
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Fig. 6. µPSO local search
4.3 The cGA/µPSOLS Algorithm
As it can be seen in the pseudocode 1, the algorithmgenerates the initial population with a uniform randomdistribution (line 1 of the pseudocode). Using the methodexplained in Section 4.2, the whole generated populationis evaluated (line 2). The specific tour to be performedon the population is determined in line 4 of the algorithm.For this research, a lineal tour was performed, from theupper-left corner to the opposite lower-right corner of thegrid. For each individual in the tour a neighborhood isspecified (line 6), from which the ancestors for recombi-nation are selected (line 7). The resulting offspring aregenerated, mutated, and then evaluated in order to setthe next generation (lines 8, 9 and 10). A buffer will storethe best fitted individuals, and the whole process will runwhile the stop condition is not met (line 3).
Fig. 7. Synthetic datasets used for experimentation
Table 1. Dataset characteristics
Dataset Instances Attributes Classes4 2 1288 2 45 2 250 2 56 2 300 2 69 2 900 2 910 2 500 2 10
5 Experiments and Results
To show the performance of the proposed algorithm,five synthetic datasets were selected to test the al-gorithm. Each dataset was tested with three dif-ferent fitness functions and five different evolution-ary algorithms. The synthetic datasets (see Fig.7) were taken from the repository on the personalweb page of S. Bandyopadhyay, which is available athttp://www.isical.ac.in/sanghami/data.html. Those fivedatasets were designed to show different configurationsfor cluster geometry, compactness and separation. Table1 shows the characteristics of each dataset.
Table 2. Configuration parameters for experiments
Parameter ValuecGA grid size 5 × 5cGA generations 50cGA recombination probability 0.8cGA mutation probability 0.01cGA neighborhood tour linealcGA neighborhood type compact, linealcGA neighborhood size 1,2,5cGA parent selection center, binary tournamentPSO inertia [0.1 . . . 0.9]PSO cognitive weight 0.8PSO Social weight 1.6PSO popualtion size 5PSO generations 30PSO velocity [-0.1 . . . 0.1]PSO survivors 2PSO reset generations 5
5.1 Configuration Parameters
All experiments were performed on a 16 PC clusterwith 64 bits Ubuntu Linux v12.10 operating system, anIntel(R) Core(TM)2 Quad processor running at 2.66 GHzand with 4 GB of RAM. For each one of the algorithms,one hundred independent runs were performed. Threecluster validation indexes and 5 datasets were usedamounting to a total of 7500 experiments; all algorithmswere programmed with Matlab 2012b for Unix.
The parameterization of the studied algorithms is de-scribed in Table 2. Specifically, we study two cGAs:the cGACenter+BT and cGABT+BT. The two cGAs differfrom each other in the selection method for the firstparent: in cGACenter+BT the first parent is the currentindividual itself, while in the case of cGABT+BT the firstparent is selected by binary tournament, exactly as theother parent. The algorithms were tested using differentneighborhoods and sizes: C9 represents a compacttopology with nine neighbors while L5 represents a lineartopology with five neighbors.
As a first important result, we show that the pro-posed algorithm, like its predecessors, is also capableof achieving 100% accuracy in all reported experiments.Table 3 presents the summary of the results obtained byrunning the proposed algorithm with each of the indexesused as fitness functions, to find the optimal number ofgroups in each dataset. As it can be seen, the bestresults were obtained using the I-index.
Table 3. Number of clusters found with the proposed algorithmfor each experiment
Data Set No. Clusters I-Index Xie-Beni DB4 2 4 4 4 45 2 5 5 5 56 2 6 6 4 49 2 9 9 9 410 2 10 10 10 8
5.2 Selection of Type of Parents
As discussed before, two parental selection methodswere used by the cGA we experimented with: Center (C)and binary tournament (BT). Those algorithms labeledas cGACenter+BT select the first parent from the centerof a neighborhood, and the second parent is selectedusing BT on the rest of the neighborhood. The inclusionof the central individual in each neighborhood ensuresthat all individuals will be part of the recombination pro-cess. On the other hand, those algorithms labeled ascGABT+BT select both parents using the BT method. Asit can be seen in the experimental results provided (seeFigures 8 and 9), the selection method has the overalleffect of increasing or decreasing the selection pressureof the cGA. This change on the selection pressure setsdifferent priorities to the exploration/exploitation capa-bilities of the algorithm causing it to converge fasteror slower. The best experimental results were alwaysachieved when both parents were selected with the BTmethod. This means that by increasing the selectionpressure (aka. the exploration capability), the cGA isable to better traverse its search space (see statisticalresults table).
5.3 Type of Neighborhood
Once the selection method is decided for a particularproblem, the type of neighborhood that best suits theproblem must be specified. Two of the most commontypes of neighborhoods were tested: compact neigh-borhood and linear neighborhood (see Fig. 3). AsFigures 10 and 11 show, the fastest convergence timesfor datasets 6 2 and 9 2 were achieved with linear neigh-borhoods. The same experiments were performed withall available datasets and the results were always thesame (see statistical results table), which compels us to
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Evaluations of the fitness function
CGACenter-BT vs CGABT-BT (data 4-2)
CGACenter-BTCGABT-BT
Fig. 8. Type of parents selection (dataset 4 2)
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ess v
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Evaluations of the fitness function
CGACenter-BT vs CGABT-BT (data 10-2)
CGACenter-BTCGABT-BT
Fig. 9. Type of parents selection (dataset 10 2)
draw the conclusion that linear neighborhoods are theones to induce the best performance.
It can be empirically observed that, when compactneighborhoods are used for the studied problem, the se-lection pressure promotes exploitation over exploration,which in turn reduces the convergence speed of thealgorithm. Since the probability of selecting a parent thatforms part of two overlapping neighborhoods increases,the probability of selecting an exploration-promoting in-dividual on that same search space naturally decreases.
5.4 Size of Neighborhood
Until this point, based on the experiments performed, aselection method and a neighborhood type have beenpicked up, that bring the proposed cGA to its best pos-sible performance. To bluntly conclude this research,
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Evaluations of the fitness function
CGABT-BTL5 vs CGABT-BTC9 (data 6-2)
CGABT-BTC9CGABT-BTL5
Fig. 10. Type of neighborhood (dataset 6 2)
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Evaluations of the fitness function
CGABT-BTL5 vs CGABT-BTC9 (data 9-2)
CGABT-BTC9CGABT-BTL5
Fig. 11. Type of neighborhood (dataset 9 2)
the length (radius) of the best possible neighborhoodwas also searched for. Since the structuring grid forall experiments has a size of 5x5 individuals, lengthsof 5, 9, and 13 individuals were tested. Figures 12and 13 show that the bigger difference resulted whencomparing the performance of neighborhoods with 5 and9 individuals as well as with 5 and 13 individuals. Thismeans that neighborhoods of size 5 show the worseperformance, including the lowest fitness of all testedalgorithms. Also, the performance of algorithms with 9and 13-sized neighborhoods are nearly the same, so theconclusion is drawn as follows.
Since the structuring grid is toroidal, an overlapping isalways present between individuals from different neigh-borhoods, and the neighborhood of size 13 always in-cludes the central individual from a neighborhood of size9. Consequently, both cases promote a relaxation on
pressure selection of the algorithm, and a decrease inthe convergence speed.
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ess v
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Evaluations of the fitness function
CGABT-BTL5 vs CGABT-BTL9 vs CGABT-BTL13 (data 5-2)
CGABT-BTL5CGABT-BTL9CGABT-BTL13
Fig. 12. Size of neighborhood (dataset 5 2)
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Evaluations of the fitness function
CGABT-BTL5 vs CGABT-BTL9 vs CGABT-BTL13 (data 9-2)
CGABT-BTL5CGABT-BTL9CGABT-BTL13
Fig. 13. Size of neighborhood (dataset 9 2)
5.5 Statistical Results
In order to be able to compare the experimental re-sults from all tested algorithm variants and their param-eters, two statistical analyses were performed. The firstone involves all classical statistical indicators (maximum,mean, median, standard deviation, etc.), which allowan initial comparison. The second analysis involvesnon-parametric indexes based on hypothesis tests whichdetect and alert if there is a significant difference amongperformances of the tested algorithms as well as help toidentify the best performing test.
Table 4 shows that the worst performance was thatfrom the cGACenter+BTL1 algorithm, since it had the
lowest fitness value in all experiments. The algo-rithm with the lower standard deviation was cGACen-ter+BTC5, undoubtedly caused by the selection pres-sure induced by its type of neighborhood. The best per-formance among all five tested algorithms was achievedby cGABT+BTL9 and cGABT+BTL13. This can also beexplained by the type and size of the neighborhood thosealgorithms used. Therefore, from the data showed inTable 4 it can be concluded that for the currently studiedproblem, the best performing algorithms are those thatselect parents by the BT method and with neighborhoodsof size between 9 and 13 individuals.
5.6 Statistical Analysis of Experimental Results
Non-parametric statistical tests have emerged as an ef-fective, affordable, and robust way for evaluating newproposals of meta-heuristic and evolutionary algorithms[14]. The validation and comparison of new algorithmsoften requires the definition of a comprehensive exper-imental framework, including a range of problems andstate of the art algorithms. A critical part of these com-parisons lies in the statistical validation of the results,contrasting the differences between methods.
To analyze the obtained experimental results, twonon-parametric statistical tests have been used. Par-ticularly, the Aligned Friedman Test was applied, andalso the Multi-compare Holm test was used as a posthoc procedure to find out which algorithms have worseperformance than the proposed algorithm.
The Friedman Test [9] assigns a ri j ranking to theresults obtained by each algorithm i over each data setj. Each ranking is a real number 1≤ ri j ≤ k , where k isthe total number of algorithms to compare. Rankings areassigned in an ascending way, so 1 is the best possiblerank, and it gets worse as the assigned rank grows.
The null hypothesis, established for the performedpost hoc study, assumes that all three compared algo-rithms have a statistically similar behavior. The Holmtest, with α = 0.05, aims at succeeding in 95% or moreof the analyzed results, having a Gaussian (normal)distribution as its point of reference.
Holm’s procedure rejects those hypotheses that havean unadjusted p-value ≤ 0.016667.
Table 4. Statistical results of all instances
Dataset Std. Measure CGACenter-BTL5 CGABT-BTC9 CGABT-BTL5 CGABT-BTL9 CGABT-BTL13
dataset 4 2
Min 0.3065 0.3744 0.3491 0.3775 0.3806Max 0.4782 0.5236 0.5167 0.5294 0.5280
Mean 0.4032 0.4779 0.4643 0.4846 0.4823Median 0.4190 0.5035 0.4952 0.5155 0.5124
Std 0.0703 0.0612 0.0693 0.0638 0.0622
dataset 5 2
Min 11.0240 13.3710 12.6400 13.7200 13.2270Max 16.8240 18.8230 18.5080 18.9530 18.9970
Mean 14.2902 17.2230 16.5132 17.3764 17.3008Median 14.6990 18.1450 17.4400 18.5630 18.5230
Std 2.3241 2.2519 2.3847 2.2277 2.4392
dataset 6 2
Min 304.3400 395.4500 375.5600 400.0800 393.1600Max 554.6600 613.9900 611.8800 619.8500 619.0700
Mean 440.6040 550.9820 534.7240 558.0380 557.2960Median 449.2300 593.4200 582.0900 604.3500 612.2000
Std 101.0624 90.9416 98.7067 92.7730 97.0172
dataset 9 2
Min 3.7629 4.2465 4.2168 4.2525 4.3572Max 4.8965 4.9932 4.9823 5.0017 5.0026
Mean 4.4627 4.7928 4.7415 4.8018 4.8267Median 4.5980 4.9452 4.8690 4.9681 4.9705
Std 0.4548 0.3143 0.3147 0.3197 0.2745
dataset 10 2
Min 234.2100 257.9200 254.1300 258.9300 255.7700Max 289.1000 299.1100 296.5500 299.5700 299.7000
Mean 266.2940 287.8440 283.6300 288.8460 287.7800Median 270.5600 295.5000 291.7100 297.8500 297.7400
Std 21.8989 17.2526 17.7088 17.3374 18.7831
Table 5. Post Hoc comparison for α = 0.05
i algorithm z = (R0−Ri)/SE p Holm1 CGABT-BTL13 0.042967 0.965728 0.0500002 CGABT-BTC9 0.386702 0.698977 0.0250003 CGABT-BTL5 1.203073 0.228948 0.0166674 CGACenter-BTL5 3.093616 0.001977 0.012500
Table 6. Average rankings of the algorithms (Aligned Fried-man Test)
Algorithm RankingCGABT-BTL9 8.6CGABT-BTL13 8.8CGABT-BTC9 10.4CGABT-BTL5 14.2CGACenter-BTL5 23
6 Conclusions
A new Hybrid Cellular Genetic Algorithm (HcGA) wasproposed for finding the optimal number of clusters in adataset. Several selection methods, as well as types andlengths of neighborhoods were tested for the proposedalgorithm. The best experimental results were achievedwhen using BT as the parent selection method, and a lin-ear neighborhood of size 9. The choice of the selectionmethod has a direct effect over the algorithm’s selectionpressure, which in turn causes the convergence speed
to significantly improve when both parents are selectedwith the BT method. Also, the effect induced by thechoice of different neighborhoods was also researched,and the best performance was achieved by linear neigh-borhoods where the probability of selecting the same twoparents for two overlapped neighborhoods decreases.Finally, statistical analysis show that selecting between9 and 13 individuals to form neighborhoods also leads tothe best possible performance. The non-parametric sta-tistical analysis confirms that cGABT+BTL9 behaves in avery similar way to cGABT+BTL13, while cGABT+BTC5performs better in 97.5% of experiments, and even in99% of experiments when compared with cGABT+BTL5and cGACenter+BTL5.
7 Future Work
All experiments were performed with synthetic datasets,so testing the proposed algorithm with real datasets isfirst thing on the list. Also, an exhaustive comparative
study with synchronous and asynchronous cGAs usingdiverse routes will be sought.
Finally, a parallel implementation of all tested algo-rithms (over GPUs or multi-core CPUs) will be useful forstatistically assessing their viability.
Acknowledgements
The authors would like to express their gratitude to SIP-IPN, CONACyT and ICyT-DF for their economic sup-port of this research, particularly, through grants SIP-20130932 and ICyT-PICCO-10-113.
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Javier Arellano-Verdejo recievedhis Master’s degree in Science fromTecnologico de Estudios Superi-ores de Ecatepec, Mexico, in 2008.He is currently pursing the Ph.D.degree in Computer Science at theComputing Research Center, Na-tional Polytechnic Institute, Mexico
City. His current research interests include parallel bioin-spired heuristics, estimation of distribution algorithmsand pattern recognition.
Adolfo Guzman-Arenas is a Com-puter Science professor at theComputing Research Center, Na-tional Polytechnic Institute (CIC-IPN), Mexico City, of which he wasFounding Director. He holds aB.Sc. in Electronics from ESIME-IPN, and a Ph.D. from MIT. He is
an ACM Fellow, IEEE Life Fellow Member, member ofMIT Educational Council, member of the EngineeringAcademy and the National Academy of Sciences (Mex-ico). From the President of Mexico, he received theNational Prize in Science and Technology (1996) andthe Jaime Torres Bodet National Award for Excellence(2006). He works in semantic information processing
and AI techniques, often with distributed information sys-tems. More at http://alum.mit.edu/www/aguzman.
Salvador Godoy-Calderon holds aPh.D. in Computer Science fromCIC-IPN and a Master’s degree inC.S. from CINVESTAV-IPN. He isa full time researcher and Head ofthe Artificial Intelligence Laboratoryat CIC-IPN with research interestsincluding pattern recognition, evo-
lutionary computation, strategic and tactical knowledgesystems, and formal logics.
Ricardo Barron Fernandez holdsa Ph.D. in Computer Science fromCIC-IPN and a Master’s degree inC.E. from CIC-IPN. He is a full timeresearcher at the Artificial Intelli-gence Laboratory of CIC-IPN withresearch interests including patternrecognition, GPU computing, evolu-
tionary computation, parallel systems.
Article received on 07/10/2013, accepted on 15/12/2013.
