Ordinal Trees and Random Forests: Score-Free Recursive Partitioning and Improved Ensembles

Existing ordinal trees and random forests typically use scores that are assigned to the ordered categories, which implies that a higher scale level is used. Versions of ordinal trees are proposed that take the scale level seriously and avoid the assignment of artificial scores. The construction principle is based on an investigation of the binary models that are implicitly used in parametric ordinal regression. These building blocks can be fitted by trees and combined in a similar way as in parametric models. The obtained trees use the ordinal scale level only. Since binary trees and random forests are constituent elements of the proposed trees, one can exploit the wide range of binary trees that have already been developed. A further topic is the potentially poor performance of random forests, which seems to have been neglected in the literature. Ensembles that include parametric models are proposed to obtain prediction methods that tend to perform well in a wide range of settings. The performance of the methods is evaluated empirically by using several data sets.

Co-clustering of Time-Dependent Data via the Shape Invariant Model

Multivariate time-dependent data, where multiple features are observed over time for a set of individuals, are increasingly widespread in many application domains. To model these data, we need to account for relations among both time instants and variables and, at the same time, for subject heterogeneity. We propose a new co-clustering methodology for grouping individuals and variables simultaneously, designed to handle both functional and longitudinal data. Our approach borrows some concepts from the curve registration framework by embedding the shape invariant model in the latent block model, estimated via a suitable modification of the SEM-Gibbs algorithm. The resulting procedure allows for several user-defined specifications of the notion of cluster that can be chosen on substantive grounds and provides parsimonious summaries of complex time-dependent data by partitioning data matrices into homogeneous blocks. Along with the explicit modelling of time evolution, these aspects allow for an easy interpretation of the clusters, from which also low-dimensional settings may benefit.

Similarity-Reduced Diversities: the Effective Entropy and the Reduced Entropy

The paper presents and analyzes the properties of a new diversity index, the effective entropy, which lowers Shannon entropy by taking into account the presence of similarities between items. Similarities decrease exponentially with the item dissimilarities, with a freely adjustable discriminability parameter controlling various diversity regimes separated by phase transitions. Effective entropies are determined iteratively, and turn out to be concave and subadditive, in contrast to the reduced entropy, proposed in Ecology for similar purposes. Two data sets are used to illustrate the formalism, and underline the role played by the dissimilarity types.