Methods for Imputing Missing Values and Synthesizing Confidential Values for Continuous and Magnitude Data

Abstract

Continuous variable is one of the major data types collected by the survey organizations. It can be incomplete such that the data collectors need to fill in the missingness. Or, it can contain sensitive information which needs protection from re-identification. One of the approaches to protect continuous microdata is to sum them up according to different cells of features. In this thesis, I represents novel methods of multiple imputation (MI) that can be applied to impute missing values and synthesize confidential values for continuous and magnitude data.

The first method is for limiting the disclosure risk of the continuous microdata whose marginal sums are fixed. The motivation for developing such a method comes from the magnitude tables of non-negative integer values in economic surveys. I present approaches based on a mixture of Poisson distributions to describe the multivariate distribution so that the marginals of the synthetic data are guaranteed to sum to the original totals. At the same time, I present methods for assessing disclosure risks in releasing such synthetic magnitude microdata. The illustration on a survey of manufacturing establishments shows that the disclosure risks are low while the information loss is acceptable.

The second method is for releasing synthetic continuous micro data by a nonstandard MI method. Traditionally, MI fits a model on the confidential values and then generates multiple synthetic datasets from this model. Its disclosure risk tends to be high, especially when the original data contain extreme values. I present a nonstandard MI approach conditioned on the protective intervals. Its basic idea is to estimate the model parameters from these intervals rather than the confidential values. The encouraging results of simple simulation studies suggest the potential of this new approach in limiting the posterior disclosure risk.

The third method is for imputing missing values in continuous and categorical variables. It is extended from a hierarchically coupled mixture model with local dependence. However, the new method separates the variables into non-focused (e.g., almost-fully-observed) and focused (e.g., missing-a-lot) ones. The sub-model structure of focused variables is more complex than that of non-focused ones. At the same time, their cluster indicators are linked together by tensor factorization and the focused continuous variables depend locally on non-focused values. The model properties suggest that moving the strongly associated non-focused variables to the side of focused ones can help to improve estimation accuracy, which is examined by several simulation studies. And this method is applied to data from the American Community Survey.

(Table 2) Contents of U, P2O5, CO2, and TOC in phosphorites from Pacific seamounts

Uranium content of in phosphorites from Pacific seamounts does not exceed 10ppm; it is significantly lower than in phosphorites from submarine continental margins and deposits on land. Phosphate is not the main carrier of uranium, which is inhomogeneously distributed in ferromanganese hydroxide-, phosphate-, silicate- and carbonate materials. Uranium associated with phosphate is not isomorphic admixture. Uranium occurs in rocks in fine particles of unknown composition. Ultramicroscopic inclusions of U(IV) oxides have been also found.

Long-term chemical characterization of aerosols at CVAO from 2007 to 2011

The first long-term aerosol sampling and chemical characterization results from measurements at the Cape Verde Atmospheric Observatory (CVAO) on the island of São Vicente are presented and are discussed with respect to air mass origin and seasonal trends. In total 671 samples were collected using a high-volume PM10 sampler on quartz fiber filters from January 2007 to December 2011. The samples were analyzed for their aerosol chemical composition, including their ionic and organic constituents. Back trajectory analyses showed that the aerosol at CVAO was strongly influenced by emissions from Europe and Africa, with the latter often responsible for high mineral dust loading. Sea salt and mineral dust dominated the aerosol mass and made up in total about 80% of the aerosol mass. The 5-year PM10 mean was 47.1 ± 55.5 µg/m**2, while the mineral dust and sea salt means were 27.9 ± 48.7 and 11.1 ± 5.5 µg/m**2, respectively. Non-sea-salt (nss) sulfate made up 62% of the total sulfate and originated from both long-range transport from Africa or Europe and marine sources. Strong seasonal variation was observed for the aerosol components. While nitrate showed no clear seasonal variation with an annual mean of 1.1 ± 0.6 µg/m**3, the aerosol mass, OC (organic carbon) and EC (elemental carbon), showed strong winter maxima due to strong influence of African air mass inflow. Additionally during summer, elevated concentrations of OM were observed originating from marine emissions. A summer maximum was observed for non-sea-salt sulfate and was connected to periods when air mass inflow was predominantly of marine origin, indicating that marine biogenic emissions were a significant source. Ammonium showed a distinct maximum in spring and coincided with ocean surface water chlorophyll a concentrations. Good correlations were also observed between nss-sulfate and oxalate during the summer and winter seasons, indicating a likely photochemical in-cloud processing of the marine and anthropogenic precursors of these species. High temporal variability was observed in both chloride and bromide depletion, differing significantly within the seasons, air mass history and Saharan dust concentration. Chloride (bromide) depletion varied from 8.8 ± 8.5% (62 ± 42%) in Saharan-dust-dominated air mass to 30 ± 12% (87 ± 11%) in polluted Europe air masses. During summer, bromide depletion often reached 100% in marine as well as in polluted continental samples. In addition to the influence of the aerosol acidic components, photochemistry was one of the main drivers of halogenide depletion during the summer; while during dust events, displacement reaction with nitric acid was found to be the dominant mechanism. Positive matrix factorization (PMF) analysis identified three major aerosol sources: sea salt, aged sea salt and long-range transport. The ionic budget was dominated by the first two of these factors, while the long-range transport factor could only account for about 14% of the total observed ionic mass.

Multivariate Techniques in Biomechanical Analysis

This work outlines the theoretical advantages of multivariate methods in biomechanical data, validates the proposed methods and outlines new clinical findings relating to knee osteoarthritis that were made possible by this approach. New techniques were based on existing multivariate approaches, Partial Least Squares (PLS) and Non-negative Matrix Factorization (NMF) and validated using existing data sets. The new techniques developed, PCA-PLS-LDA (Principal Component Analysis – Partial Least Squares – Linear Discriminant Analysis), PCA-PLS-MLR (Principal Component Analysis – Partial Least Squares –Multiple Linear Regression) and Waveform Similarity (based on NMF) were developed to address the challenging characteristics of biomechanical data, variability and correlation. As a result, these new structure-seeking technique revealed new clinical findings. The first new clinical finding relates to the relationship between pain, radiographic severity and mechanics. Simultaneous analysis of pain and radiographic severity outcomes, a first in biomechanics, revealed that the knee adduction moment’s relationship to radiographic features is mediated by pain in subjects with moderate osteoarthritis. The second clinical finding was quantifying the importance of neuromuscular patterns in brace effectiveness for patients with knee osteoarthritis. I found that brace effectiveness was more related to the patient’s unbraced neuromuscular patterns than it was to mechanics, and that these neuromuscular patterns were more complicated than simply increased overall muscle activity, as previously thought.

Testing After Worked Example Study Does Not Enhance Delayed Problem-Solving Performance Compared to Restudy

Four experiments investigated whether the testing effect also applies to the acquisition of problem-solving skills from worked examples. Experiment 1 (n=120) showed no beneficial effects of testing consisting of isomorphic problem solving or example recall on final test performance, which consisted of isomorphic problem solving, compared to continued study of isomorphic examples. Experiment 2 (n=124) showed no beneficial effects of testing consisting of identical problem solving compared to restudying an identical example. Interestingly, participants who took both an immediate and a delayed final test outperformed those taking only a delayed test. This finding suggested that testing might become beneficial for retention but only after a certain level of schema acquisition has taken place through restudying several examples. However, experiment 2 had no control condition restudying examples instead of taking the immediate test. Experiment 3 (n=129) included such a restudy condition, and there was no evidence that testing after studying four examples was more effective for final delayed test performance than restudying, regardless of whether restudied/tested problems were isomorphic or identical. Experiment 4 (n=75) used a similar design as experiment 3 (i.e., testing/restudy after four examples), but with examples on a different topic and with a different participant population. Again, no evidence of a testing effect was found. Thus, across four experiments, with different types of initial tests, different problem-solving domains, and different participant populations, we found no evidence that testing enhanced delayed test performance compared to restudy. These findings suggest that the testing effect might not apply to acquiring problem-solving skills from worked examples

Orbital and strongly orbital spaces

We say that a (countably dimensional) topological vector space X is orbital if there is T∈L(X) and a vector x∈X such that X is the linear span of the orbit {Tnx:n=0,1,…}. We say that X is strongly orbital if, additionally, x can be chosen to be a hypercyclic vector for T. Of course, X can be orbital only if the algebraic dimension of X is finite or infinite countable. We characterize orbital and strongly orbital metrizable locally convex spaces. We also show that every countably dimensional metrizable locally convex space X does not have the invariant subset property. That is, there is T∈L(X) such that every non-zero x∈X is a hypercyclic vector for T. Finally, assuming the Continuum Hypothesis, we construct a complete strongly orbital locally convex space.

As a byproduct of our constructions, we determine the number of isomorphism classes in the set of dense countably dimensional subspaces of any given separable infinite dimensional Fréchet space X. For instance, in X=ℓ2×ω, there are exactly 3 pairwise non-isomorphic (as topological vector spaces) dense countably dimensional subspaces.

Free Resolutions from Involutive Bases

We show that the theory of involutive bases can be combined with discrete algebraic Morse Theory. For a graded k[x0 ...,xn]-module M, this yields a free resolution G, which in general is not minimal. We see that G is isomorphic to the resolution induced by an involutive basis. It is possible to identify involutive bases inside the resolution G. The shape of G is given by a concrete description. Regarding the differential dG, several rules are established for its computation, which are based on the fact that in the computation of dG certain patterns appear at several positions. In particular, it is possible to compute the constants independent of the remainder of the differential. This allows us, starting from G, to determine the Betti numbers of M without computing a minimal free resolution: Thus we obtain a new algorithm to compute Betti numbers. This algorithm has been implemented in CoCoALib by Mario Albert. This way, in comparison to some other computer algebra system, Betti numbers can be computed faster in most of the examples we have considered. For Veronese subrings S(d), we have found a Pommaret basis, which yields new proofs for some known properties of these rings. Via the theoretical statements found for G, we can identify some generators of modules in G where no constants appear. As a direct consequence, some non-vanishing Betti numbers of S(d) can be given. Finally, we give a proof of the Hyperplane Restriction Theorem with the help of Pommaret bases. This part is largely independent of the other parts of this work.

Modelo institucional do processo de estruturação de empresas de desenvolvimento de software: um estudo de múltiplos casos

Some authors have shown the need of understanding the technological structuring process in contemporary firms. From this perspective, the software industry is a very important element because it provides products and services directly to many organizations from many fields. In this case, the Brazilian software industry has some peculiarities that distinguish it from other industries located in developed countries, which makes its understanding even more relevant. There is evidence that local firms take different strategies and structural configurations to enter into a market naturally dominated by large multinational firms. Therefore, this study aims to understand not only the structural configurations assumed by domestic firms but also the dynamic and the process that lead to these different configurations. To do so, this PhD dissertation investigates the institutional environment, its entities and the isomorphic movements, by employing an exploratory, descriptive and explanatory multiple cases study. Eight software development companies from the Recife's information technology Cluster were visited. Also, a form was applied and an interview with one of the main firm s professional was conducted. Although the study is predominantly qualitative, part of the data was analyzed through charts and graphs, providing a companies and environment overview that was very useful to analysis done through the interviews interpretation. As a result, it was realized that companies are structured around hybrids business models from two ideal types of software development companies, which are: software factory and technology-based company. Regarding the development process, it was found that there is a balanced distribution between the traditional and agile development paradigm. Among the traditional methodologies, the Rational Unified Process (RUP) is predominant. The Scrum is the most used methodology among the organizations based on the Agile Manifesto's principles. Regarding the structuring process, each institutional entity acts in such way that generates different isomorphic pressure. Emphasis was given to entities such as customers, research agencies, clusters, market-leading businesses, public universities, incubators, software industry organizations, technology vendors, development tool suppliers and manager s school and background because they relate themselves in a close way with the software firms. About this relationship, a dual and bilateral influence was found. Finally, the structuring level of the organizational field has been also identified as low, which gives a chance to organizational actors of acting independently

Coevolução e as práticas isomórficas de gestão: um estudo sobre os processos de mudanças institucionais no Instituto Federal de Educação, Ciência e Tecnologia do RN

The Federal Institution for Education, Science and Technology, in its historical path, has been living different changes. The transformations occurred along the way have been determined by coercive forces from the institutional environment, which has became more and more broad and complex throughout the time, obtaining diverse characteristics and new elements such as non institutional factors1 which started to contribute with the other changes. In this context, this work aims to study the isomorphic practices of the managers in the institutional changes process of the IFRN in 1998 and 2008, as of a theoretical coevolutionary perspective (CHILD; RODRIGUES; LEWIN; CARROL; VOLBERDA, 2003). This theory brings a new point of view for the organization analysis to the organizational studies, since it offers a non deterministic and non linear lection of the evolution process, which means, a coevolution. Thus, the organizations and their institutional and non institutional environment auto evolve, auto organize and auto reproduce. Therefore, the institutional and non institutional factors of the macro environment keep a continuous interdependence relationship with the organizations. For the means of this study, it is important to understand that is impossible to comprehend the object, the isomorphic practices, without considering that the previous institutional changes and its evolutions, its continuations and discontinuations, important in the coevolution process. As such, to call upon the institutional historical track is a fundamental aspect to materialize this study, for the recursive movement is indeed present in the coevolution. Another important point to make this research effective is that it is not possible to abdicate from the hologramatic view2 of this study, which considers the object, the isomorphic practices, part of the whole and this whole is also in the parts, therefore it is impossible to comprehend the object of study outside the context where it belongs. With this, as of the objective previously proposed, it is necessary to describe the characteristics of coevolution of the institutional changes related in 1998 and 2008; analyze the dynamic of the isomorphic mechanisms in its respective institutional change process; and describe the lessons learned which the isomorphic practices left to the IFRN, regarding its benefits and difficulties. All these transformations happened through coercive forces3 of the institutional environment. As of the Nineties, these forces became stronger, the environment became broader and more complex, with the emergency of new environmental factors. This study proposed to study the managing process and its practices, related to the micro environment, although it is required to articulate these actions, the demands and requirements from the macro environment. To make this research effective, semi structured interviews have been conducted with the managers who participated in both institutional change processes. In the results analysis, it has been possible to verify the particularity of each change, the one from 1998 with a strong normative action of the managers against coercive forces from the government for the search of recognition and the institutional legitimation and the one in 2008, which has been characterized by the normative action by managers in agreement with the coercive forces from the government, in favor of the government policy for the technological professional education. However, the results analysis it is possible to notice the evidence of a belonging feeling from the interviewed managers

Monogenic polynomials of four variables with binomial expansion

In the recent past one of the main concern of research in the field of Hypercomplex Function Theory in Clifford Algebras was the development of a variety of new tools for a deeper understanding about its true elementary roots in the Function Theory of one Complex Variable. Therefore the study of the space of monogenic (Clifford holomorphic) functions by its stratification via homogeneous monogenic polynomials is a useful tool. In this paper we consider the structure of those polynomials of four real variables with binomial expansion. This allows a complete characterization of sequences of 4D generalized monogenic Appell polynomials by three different types of polynomials. A particularly important case is that of monogenic polynomials which are simply isomorphic to the integer powers of one complex variable and therefore also called pseudo-complex powers.

Towards Proactive Context-aware Computing and Systems

A primary goal of context-aware systems is delivering the right information at the right place and right time to users in order to enable them to make effective decisions and improve their quality of life. There are three key requirements for achieving this goal: determining what information is relevant, personalizing it based on the users’ context (location, preferences, behavioral history etc.), and delivering it to them in a timely manner without an explicit request from them. These requirements create a paradigm that we term as “Proactive Context-aware Computing”. Most of the existing context-aware systems fulfill only a subset of these requirements. Many of these systems focus only on personalization of the requested information based on users’ current context. Moreover, they are often designed for specific domains. In addition, most of the existing systems are reactive - the users request for some information and the system delivers it to them. These systems are not proactive i.e. they cannot anticipate users’ intent and behavior and act proactively without an explicit request from them. In order to overcome these limitations, we need to conduct a deeper analysis and enhance our understanding of context-aware systems that are generic, universal, proactive and applicable to a wide variety of domains. To support this dissertation, we explore several directions. Clearly the most significant sources of information about users today are smartphones. A large amount of users’ context can be acquired through them and they can be used as an effective means to deliver information to users. In addition, social media such as Facebook, Flickr and Foursquare provide a rich and powerful platform to mine users’ interests, preferences and behavioral history. We employ the ubiquity of smartphones and the wealth of information available from social media to address the challenge of building proactive context-aware systems. We have implemented and evaluated a few approaches, including some as part of the Rover framework, to achieve the paradigm of Proactive Context-aware Computing. Rover is a context-aware research platform which has been evolving for the last 6 years. Since location is one of the most important context for users, we have developed ‘Locus’, an indoor localization, tracking and navigation system for multi-story buildings. Other important dimensions of users’ context include the activities that they are engaged in. To this end, we have developed ‘SenseMe’, a system that leverages the smartphone and its multiple sensors in order to perform multidimensional context and activity recognition for users. As part of the ‘SenseMe’ project, we also conducted an exploratory study of privacy, trust, risks and other concerns of users with smart phone based personal sensing systems and applications. To determine what information would be relevant to users’ situations, we have developed ‘TellMe’ - a system that employs a new, flexible and scalable approach based on Natural Language Processing techniques to perform bootstrapped discovery and ranking of relevant information in context-aware systems. In order to personalize the relevant information, we have also developed an algorithm and system for mining a broad range of users’ preferences from their social network profiles and activities. For recommending new information to the users based on their past behavior and context history (such as visited locations, activities and time), we have developed a recommender system and approach for performing multi-dimensional collaborative recommendations using tensor factorization. For timely delivery of personalized and relevant information, it is essential to anticipate and predict users’ behavior. To this end, we have developed a unified infrastructure, within the Rover framework, and implemented several novel approaches and algorithms that employ various contextual features and state of the art machine learning techniques for building diverse behavioral models of users. Examples of generated models include classifying users’ semantic places and mobility states, predicting their availability for accepting calls on smartphones and inferring their device charging behavior. Finally, to enable proactivity in context-aware systems, we have also developed a planning framework based on HTN planning. Together, these works provide a major push in the direction of proactive context-aware computing.

Structure learning of context-specific graphical models

Abstract The ultimate problem considered in this thesis is modeling a high-dimensional joint distribution over a set of discrete variables. For this purpose, we consider classes of context-specific graphical models and the main emphasis is on learning the structure of such models from data. Traditional graphical models compactly represent a joint distribution through a factorization justi ed by statements of conditional independence which are encoded by a graph structure. Context-speci c independence is a natural generalization of conditional independence that only holds in a certain context, speci ed by the conditioning variables. We introduce context-speci c generalizations of both Bayesian networks and Markov networks by including statements of context-specific independence which can be encoded as a part of the model structures. For the purpose of learning context-speci c model structures from data, we derive score functions, based on results from Bayesian statistics, by which the plausibility of a structure is assessed. To identify high-scoring structures, we construct stochastic and deterministic search algorithms designed to exploit the structural decomposition of our score functions. Numerical experiments on synthetic and real-world data show that the increased exibility of context-specific structures can more accurately emulate the dependence structure among the variables and thereby improve the predictive accuracy of the models.

Efficient Solution of Rational Conics

We present efficient algorithms for solving Legendre equations over Q (equivalently, for finding rational points on rational conics) and parametrizing all solutions. Unlike existing algorithms, no integer factorization is required, provided that the prime factors of the discriminant are known.

Extended formulations, nonnegative factorizations, and randomized communication protocols

An extended formulation of a polyhedron P is a linear description of a polyhedron Q together with a linear map π such that π(Q)=P. These objects are of fundamental importance in polyhedral combinatorics and optimization theory, and the subject of a number of studies. Yannakakis’ factorization theorem (Yannakakis in J Comput Syst Sci 43(3):441–466, 1991) provides a surprising connection between extended formulations and communication complexity, showing that the smallest size of an extended formulation of $$P$$P equals the nonnegative rank of its slack matrix S. Moreover, Yannakakis also shows that the nonnegative rank of S is at most 2^c, where c is the complexity of any deterministic protocol computing S. In this paper, we show that the latter result can be strengthened when we allow protocols to be randomized. In particular, we prove that the base-2 logarithm of the nonnegative rank of any nonnegative matrix equals the minimum complexity of a randomized communication protocol computing the matrix in expectation. Using Yannakakis’ factorization theorem, this implies that the base-2 logarithm of the smallest size of an extended formulation of a polytope P equals the minimum complexity of a randomized communication protocol computing the slack matrix of P in expectation. We show that allowing randomization in the protocol can be crucial for obtaining small extended formulations. Specifically, we prove that for the spanning tree and perfect matching polytopes, small variance in the protocol forces large size in the extended formulation.

Multiple-Retrieval Case-Based Reasoning for Course Timetabling Problems

The structured representation of cases by attribute graphs in a Case-Based Reasoning (CBR) system for course timetabling has been the subject of previous research by the authors. In that system, the case base is organised as a decision tree and the retrieval process chooses those cases which are sub attribute graph isomorphic to the new case. The drawback of that approach is that it is not suitable for solving large problems. This paper presents a multiple-retrieval approach that partitions a large problem into small solvable sub-problems by recursively inputting the unsolved part of the graph into the decision tree for retrieval. The adaptation combines the retrieved partial solutions of all the partitioned sub-problems and employs a graph heuristic method to construct the whole solution for the new case. We present a methodology which is not dependant upon problem specific information and which, as such, represents an approach which underpins the goal of building more general timetabling systems. We also explore the question of whether this multiple-retrieval CBR could be an effective initialisation method for local search methods such as Hill Climbing, Tabu Search and Simulated Annealing. Significant results are obtained from a wide range of experiments. An evaluation of the CBR system is presented and the impact of the approach on timetabling research is discussed. We see that the approach does indeed represent an effective initialisation method for these approaches.