arXiv:2606.18972stat.MLcs.LG2026-06

FOSC-X可高效找出层次聚类中多个最优的非水平切分方案。

FOSC-X: An Extended Framework for Optimal Local Cuts and Non-Horizontal Cluster Selection from Clustering Hierarchies

  • 基于动态规划,从子树中选取局部最优解并组合成全局最优解。
  • 在不限制聚类数时,可在多项式时间内求出前M个最优解。
  • 支持聚类数约束,且仍保证最优排名,适合需要多方案对比的场景。

从层次聚类树中提取扁平聚类解是实际聚类分析中的常见任务,可建模为优化问题。现有方法仅关注单一最优解。本文提出FOSC-X框架,用于从局部非水平切割中提取前M个全局最优扁平聚类解,并可选地施加聚类数量约束。该方法能自动识别多个高质量替代聚类方案,揭示不同层次结构特征。无约束时,可通过动态规划在多项式时间内求解,利用子树中局部最优候选可组合成全局最优解的性质,自动确定聚类数。但此方式可能导致聚类数过多,不适用于特定应用场景。引入聚类数约束会破坏动态规划的最优性,因局部最优解可能无法组合成可行全局解。FOSC-X通过维护带上下可行性边界的小型可行候选集,剪枝不可行或劣解,确保在有无约束下均能线性时间(与节点数和数据集规模呈线性)获得前M个最优解的严格排序。实验表明,该方法能高效发现单解法忽略的替代聚类结构。

原文摘要 · Abstract (English)

Extracting a flat clustering solution from a hierarchy is a common task in practical cluster analysis and can be formulated as an optimisation problem. Existing approaches focus on finding a single optimal solution. We introduce FOSC-X, a framework for extracting the top-M globally optimal flat clusterings from local, non-horizontal cuts of a hierarchical cluster tree, while optionally enforcing constraints on the number of clusters. This enables automatic identification of multiple high-quality alternative clusterings that capture different aspects of the hierarchical structure. Without constraints, the top-M problem can be solved in polynomial time using dynamic programming, exploiting the property that locally optimal partial candidates within subtrees can be combined to form globally optimal solutions while automatically determining the number of clusters. However, this can lead to solutions with numbers of clusters that are ultimately undesirable -- e.g., too large to be meaningful or practically analysed within a particular application domain. Imposing cluster-count constraints breaks the optimality property underlying the unconstrained dynamic programming approach, since locally optimal partial candidates may no longer combine into feasible globally optimal solutions. FOSC-X addresses this challenge through a dynamic programming strategy that maintains compact sets of feasible candidates using lower and upper feasibility bounds while pruning infeasible or dominated combinations. The resulting method guarantees optimal rankings of the top-M solutions with linear-time complexity in the number of cluster nodes and dataset size, both with and without cluster-count constraints. Experiments show that FOSC-X efficiently reveals alternative clustering structures overlooked by single-solution extraction methods.

聚类分析动态规划层次聚类多解提取

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