Design- and Model-Based Approaches to Small-Area Estimation in a Low and Middle Income Country Context: Comparisons and Recommendations

TL;DR

This study evaluates different small-area estimation methods using simulated and real data from Kenya, highlighting the importance of accounting for survey design and introducing a novel spatial smoothing model for improved inference.

Contribution

It compares traditional and new modeling approaches for small-area estimation in low and middle income countries, including a novel spatial smoothing prior.

Findings

Including stratification and cluster effects improves predictions.

Spatially smoothed estimates are robust to priors and survey design.

Continuous spatial models perform well with fine-scale variation.

Abstract

The need for rigorous and timely health and demographic summaries has provided the impetus for an explosion in geographic studies, with a common approach being the production of pixel-level maps, particularly in low and middle income countries. In this context, household surveys are a major source of data, usually with a two-stage cluster design with stratification by region and urbanicity. Accurate estimates are of crucial interest for precision public health policy interventions, but many current studies take a cavalier approach to acknowledging the sampling design, while presenting results at a fine geographic scale. In this paper we investigate the extent to which accounting for sample design can affect predictions at the aggregate level, which is usually the target of inference. We describe a simulation study in which realistic sampling frames are created for Kenya, based on population and demographic information, with a survey design that mimics a Demographic Health Survey (DHS). We compare the predictive performance of various commonly-used models. We also describe a cluster level model with a discrete spatial smoothing prior that has not been previously used, but provides reliable inference. We find that including stratification and cluster level random effects can improve predictive performance. Spatially smoothed direct (weighted) estimates were robust to priors and survey design. Continuous spatial models performed well in the presence of fine scale variation; however, these models require the most "hand holding". Subsequently, we examine how the models perform on real data; specifically we model the prevalence of secondary education for women aged 20-29 using data from the 2014 Kenya DHS.