Performance of adaptive cluster sampling estimators in a multivariate setting

Adaptive cluster sampling has been proven to perform well in a univariate setting, but it may not perform well when there are several parameters of interest. The efficiency of adaptive sampling when there are several variables of interest depends on the relationship of the variables with one another.     

Comparison between Hansen-Hurwitz and Horvitz-Thompson estimators for adaptive cluster sampling

Thompson (1990) introduced the adaptive cluster sampling design. This sampling design has been shown to be a useful sampling method for parameter estimation of a clustered and scattered population (Roesch, 1993; Smith et al., 1995; Thompson and Seber, 1996). Two estimators, the modified Hansen-Hurwitz (HH) and Horvitz-Thompson (HT) estimators, are available to estimate the mean or total of a population. Empirical results from previous researches indicate that the modified HT estimator has smaller variance than the modified HH estimator. We analytically compare the properties of these two estimators. Some results are obtained in favor of the modified HT estimator so that practitioners are strongly recommended to use the HT estimator despite easiness of computations for the HH estimator.     

Application of adaptive cluster sampling to low-density populations of freshwater mussels

Freshwater mussels appear to be promising candidates for adaptive cluster sampling because they are benthic macroinvertebrates that cluster spatially and are frequently found at low densities. We applied adaptive cluster sampling to estimate density of freshwater mussels at 24 sites along the Cacapon River, WV, where a preliminary timed search indicated that mussels were present at low density. Adaptive cluster sampling increased yield of individual mussels and detection of uncommon species; however, it did not improve precision of density estimates. Because finding uncommon species, collecting individuals of those species, and estimating their densities are important conservation activities, additional research is warranted on application of adaptive cluster sampling to freshwater mussels. However, at this time we do not recommend routine application of adaptive cluster sampling to freshwater mussel populations. The ultimate, and currently unanswered, question is how to tell when adaptive cluster sampling should be used, i.e., when is a population sufficiently rare and clustered for adaptive cluster sampling to be efficient and practical? A cost-effective procedure needs to be developed to identify biological populations for which adaptive cluster sampling is appropriate.     

Asymptotics in adaptive cluster sampling

In this article we consider asymptotic properties of the Horvitz-Thompson and Hansen-Hurwitz types of estimators under the adaptive cluster sampling variants obtained by selecting the initial sample by simple random sampling without replacement and by unequal probability sampling with replacement. We develop an asymptotic framework, which basically assumes that the number of units in the initial sample, as well as the number of units and networks in the population tend to infinity, but that the network sizes are bounded. Using this framework we prove that under each of the two variants of adaptive sampling above mentioned, both the Horvitz-Thompson and Hansen-Hurwitz types of estimators are design-consistent and asymptotically normally distributed. In addition we show that the ordinary estimators of their variances are also design-consistent estimators.     

Restricted adaptive cluster sampling

Adaptive cluster sampling can be a useful design for sampling rare and patchy populations. With this design the initial sample size is fixed but the size of the final sample (and total sampling effort) cannot be predicted prior to sampling. For some populations the final sample size can be quite variable depending on the level of patchiness. Restricted adaptive cluster sampling is a proposed modification where a limit is placed on the sample size prior to sampling and quadrats are selected sequentially for the initial sample size. As a result there is less variation in the final sample size and the total sampling effort can be predicted with some certainty, which is impor- tant for many ecological studies. Estimates of density are biased with the restricted design but under some circumstances the bias can be estimated well by bootstrapping. © Rapid Science 1998     

A review of adaptive cluster sampling: 1990–2003

Adaptive cluster sampling (ACS) is an adaptive sampling scheme which operates under the rule that when the observed value of an initially selected sampling unit satisfies some condition of interest, C, other additional units in some pre-defined accompanying neighborhood are also added to the sample. In turn, if any of these additional units satisfy C, then their corresponding unit neighborhoods are added to the sample as well, and so on. This process stops when no additional units satisfying C are encountered. This paper will provide a review of the major developments and issues in ACS since its introduction by Thompson (1990) [Journal of the American Statistical Association, 85, 1050–1059].     

Rao-Blackwell versions of the Horvitz-Thompson and Hansen-Hurwitz in adaptive cluster sampling

Thompson (1990) introduced the adaptive cluster sampling design and developed two unbiased estimators, the modified Horvitz-Thompson (HT) and Hansen-Hurwitz (HH) estimators, for this sampling design and noticed that these estimators are not a function of the minimal sufficient statistics. He applied the Rao-Blackwell theorem to improve them. Despite having smaller variances, these latter estimators have not received attention because a suitable method or algorithm for computing them was not available. In this paper we obtain closed forms of the Rao-Blackwell versions which can easily be computed. We also show that the variance reduction for the HH estimator is greater than that for the HT estimator using Rao-Blackwell versions. When the condition for extra samples is 0$$ " align="middle" border="0"> , one can expect some Rao-Blackwell improvement in the HH estimator but not in the HT estimator. Two examples are given.     

Adaptive two-stage one-per-stratum sampling

We briefly describe adaptive cluster sampling designs in which the initial sample is taken according to a Markov chain one-per-stratum design (Breidt, 1995) and one or more secondary samples are taken within strata if units in the initial sample satisfy a given condition C. An empirical study of the behavior of the estimation procedure is conducted for three small artificial populations for which adaptive sampling is appropriate. The specific sampling strategy used in the empirical study was a single random-start systematic sample with predefined systematic samples within strata when the initially sampled unit in that stratum satisfies C. The bias of the Horvitz-Thompson estimator for this design is usually very small when adaptive sampling is conducted in a population for which it is suited. In addition, we compare the behavior of several alternative estimators of the standard error of the Horvitz-Thompson estimator of the population total. The best estimator of the standard error is population-dependent but it is not unreasonable to use the Horvitz-Thompson estimator of the variance. Unfortunately, the distribution of the estimator is highly skewed hence the usual approach of constructing confidence intervals assuming normality cannot be used here.     

Variance decomposition in two-stage plot sampling: theoretical and empirical results

The statistical properties of two-stage plot sampling estimators of abundance are considered. In the first stage, some spatial units are selected over the whole study area according to a suitable sampling design, while in the second stage, the selected units are surveyed with floating plot sampling to estimate the abundance within. Some insights into the accuracy of the resulting estimators are obtained by splitting the sample variance into the first and second-stage components, while performance is empirically checked by means of a simulation study. Simulation results show that, in most situations, a relevant amount of the overall variance is due to the second stage sampling.     

Estimator bias and efficiency for adaptive cluster sampling with order statistics and a stopping rule

Practical problems facing adaptive cluster sampling with order statistics (acsord) are explored using Monte Carlo simulation for three simulated fish populations and two known waterfowl populations. First, properties of an unbiased Hansen-Hurwitz (HH) estimator and a biased alternative Horvitz-Thompson (HT) estimator are evaluated. An increase in the level of population aggregation or the initial sample size increases the efficiencies of the two acsord estimators. For less aggregated fish populations, the efficiencies decrease as the order statistic parameter r (the number of units about which adaptive sampling is carried out) increases; for the highly aggregated fish and waterfowl populations, they increase with r. Acsord is almost always more efficient than simple random sampling for the highly aggregated populations. Positive bias is observed for the HT estimator, with the maximum bias usually occurring at small values of r. Secondly, a stopping rule at the Sth iteration of adaptive sampling beyond the initial sampling unit was applied to the acsord design to limit the otherwise open-ended sampling effort. The stopping rule induces relatively high positive bias to the HH estimator if the level of the population aggregation is high, the stopping level S is small, and r is large. The bias of HT is not very sensitive to the stopping rule and its bias is often reduced by the stopping rule at smaller values of r. For more aggregated populations, the stopping rule often reduces the efficiencies of the estimators compared to the non-stopping-rule scheme, but acsord still remains more efficient than simple random sampling. Despite its bias and lack of theoretical grounding, the HT estimator is usually more efficient than the HH estimator. In the stopping rule case, the HT estimator is preferable, because its bias is less sensitive to the stopping level.     

Habitat association studies in conjunction with adaptive cluster samples

Habitat association studies investigate the relationships between habitat characteristics and animal usage of study regions. These studies are often conducted in conjunction with surveys designed primarily to estimate population totals. This paper shows that habitat association studies may proceed from surveys using adaptive cluster sampling. The manner in which units appear in the sample turns out not be relevant to the habitat association study, which proceeds as though the units came from a simple random sample. However, it is also shown that the information about the habitat association parameters is greater than one would expect from a simple random sample of the same general size.     

Markov Chain Monte Carlo on optimal adaptive sampling selections

Under a Bayesian population model with a given prior distribution, the optimal sampling strategy with a fixed sample size n is an n-phase adaptive one. That is, the selection of the next sampling units should sequentially depend on the information obtained from the previously selected units, including the observed values of interest. Such an optimal strategy is in general not executable in practice due to its intensive computation. In many survey sampling situations, an important problem is that one would like to select a set of units in addition to a certain number of sampling units which have been observed. If the optimal strategy is an adaptive one, the selection of the additional units should take both the labels and the observed values of the already selected units into account. Hence, a simpler optimal two-phase adaptive sampling strategy under a Bayesian population model is proposed in this article for practical interest. A Markov chain Monte Carlo method is used to approximate the posterior joint distribution of the unobserved population units after the first phase sampling, for the optimal selection of the second phase sample. This approximation method is found to be successful to select the optimal second-phase sample. Finally, this optimal strategy is applied to a set of data from a study of geothermal CO₂ emissions in Yellowstone National Park as a practical illustrative example.     

Regression-type estimators for adaptive two-stage sequential sampling

Adaptive two-stage sequential sampling (ATSSS) design was developed to observe more rare units and gain higher efficiency, in the sense of having a smaller variance estimator, than conventional sampling designs with equal effort for rare and spatially cluster populations. For certain rare populations, incorporating auxiliary variables into a sampling design can further improve the observation of rare units and increase efficiency. In this article, we develop regression-type estimators for ATSSS so that auxiliary variables can be incorporated into the ATSSS design when warranted. Simulation studies on two populations show that the regression-type estimators can significantly increase the efficiency of ATSSS and the detection of more rare units as compared to conventional sampling counterparts. Simulation of sampling of desert shrubs in Inner Mongolia (one of the two populations studied) showed that by incorporating a GIS auxiliary variable into ATSSS with the regression estimators resulted in a gain in efficiency over ATSSS without the auxiliary variable. Further, we found that the use of the GIS auxiliary variable in a conventional two-stage design with a regression estimator did not show a gain in efficiency.     

Phased sampling for soil remediation

In phased sampling, data obtained in one phase is used to design the sampling network for the next phase. GivenN total observations, 1, ...,N phases are possible. Experiments were conducted with one-phase, two-phase, andN-phase design algorithms on surrogate models of sites with contaminated soils. The sampling objective was to identify through interpolation, subunits of the site that required remediation. The cost-effectiveness of alternate methods was compared by using a loss function. More phases are better, but in economic terms, the improvement is marginal. The optimal total number of samples is essentially independent of the number of phases. For two phase designs, 75% of samples in the first phase is near optimal; 20% or less is actually counterproductive.The U.S. Environmental Protection Agency (EPA) through its Office of Research and Development (ORD), partially funded and collaborated in the research described here. It has been subjected to the Agency's peer review and has been approved as an EPA publication. The U.S. Government has a non-exclusive, royalty-free licence in and to any copyright covering this article.     

Ranked set sampling: an annotated bibliography

The paper provides an up-to-date annotated bibliography of the literature on ranked set sampling. The bibliography includes all pertinent papers known to the authors, and is intended to cover applications as well as theoretical developments. The annotations are arranged in chronological order and are intended to be sufficiently complete and detailed that a reading from beginning to end would provide a statistically mature reader with a state-of-the-art survey of ranked set sampling, including historical development, current status, and future research directions and applications. A final section of the paper gives a listing of all annotated papers, arranged in alphabetical order by author.This paper was prepared with partial support from the United States Environmental Protection Agency under a Cooperative Agreement Number CR-821531. The contents have not been subject to Agency review and therefore do not necessarily reflect the views or policies of the Agency and no official endorsement should be inferred.     

Empirical likelihood confidence intervals for adaptive cluster sampling

Adaptive cluster sampling (ACS) is an efficient sampling design for estimating parameters of rare and clustered populations. It is widely used in ecological research. The modified Hansen-Hurwitz (HH) and Horvitz-Thompson (HT) estimators based on small samples under ACS have often highly skewed distributions. In such situations, confidence intervals based on traditional normal approximation can lead to unsatisfactory results, with poor coverage properties. Christman and Pontius (Biometrics 56:503–510, 2000) showed that bootstrap percentile methods are appropriate for constructing confidence intervals from the HH estimator. But Perez and Pontius (J Stat Comput Simul 76:755–764, 2006) showed that bootstrap confidence intervals from the HT estimator are even worse than the normal approximation confidence intervals. In this article, we consider two pseudo empirical likelihood functions under the ACS design. One leads to the HH estimator and the other leads to a HT type estimator known as the Hájek estimator. Based on these two empirical likelihood functions, we derive confidence intervals for the population mean. Using a simulation study, we show that the confidence intervals obtained from the first EL function perform as good as the bootstrap confidence intervals from the HH estimator but the confidence intervals obtained from the second EL function perform much better than the bootstrap confidence intervals from the HT estimator, in terms of coverage rate.     

The application of adaptive cluster sampling for rare subtidal macroalgae

Adaptive cluster sampling (ACS) is a targeting sampling method that provides unbiased abundance estimators for populations of rare species that may be inadequately sampled with simple random sampling (SRS). ACS has been used successfully to estimate abundances of rockfish and sardine larvae from shipboard surveys. In this study, we describe the application of ACS for subtidal macroalgae. Using SCUBA, we measured abundances of Codium mamillosum, C. pomoides, and Halimeda cuneata at three islands and two levels of wave exposure. The three species were relatively patchy and could be sampled with ACS at one site per dive. Their distributions differed among islands and with exposure to wave energy, with H. cuneata found at only one island. ACS is a useful tool for understanding the spatial distribution and abundance of populations of rare benthic species, but, as was the case in this study, may not be as efficient as sampling with SRS with comparable replication.     

Designing an efficient adaptive cluster sample

The choice of neighborhood definition and critical value in adaptive cluster sampling is critical for designing an efficient survey. In designing an efficient adaptive cluster sample one should aim for a small difference between the initial and final sample size, and a small difference between the within-network and population variances. However, the two aims can be at odds with each other because small differences between initial and final sample size usually means small within-network variance. One way to help in designing an efficient survey is to think in terms of small network sizes since the network size is a function of both critical value and neighborhood definition. One should aim for networks that are small enough to ensure the final sample size is not excessively large compared with the initial sample size but large enough to ensure the within-network variance is a reasonable fraction of the population variance. In this study surveys that had networks that were two to four units in size were the most efficient.     

Network inclusion probabilities and Horvitz-Thompson estimation for adaptive simple Latin square sampling

Consider a survey of a plant or animal species in which abundance or presence/absence will be recorded. Further assume that the presence of the plant or animal is rare and tends to cluster. A sampling design will be implemented to determine which units to sample within the study region. Adaptive cluster sampling designs Thompson (1990) are sampling designs that are implemented by first selecting a sample of units according to some conventional probability sampling design. Then, whenever a specified criterion is satisfied upon measuring the variable of interest, additional units are adaptively sampled in neighborhoods of those units satisfying the criterion. The success of these adaptive designs depends on the probabilities of finding the rare clustered events, called networks. This research uses combinatorial generating functions to calculate network inclusion probabilities associated with a simple Latin square sample. It will be shown that, in general, adaptive simple Latin square sampling when compared to adaptive simple random sampling will (i) yield higher network inclusion probabilities and (ii) provide Horvitz-Thompson estimators with smaller variability.     

Estimation of rare and clustered population mean using stratified adaptive cluster sampling

For many clustered populations, the prior information on an initial stratification exists but the exact pattern of the population concentration may not be predicted. Under this situation, the stratified adaptive cluster sampling (SACS) may provide more efficient estimates than the other conventional sampling designs for the estimation of rare and clustered population parameters. For practical interest, we propose a generalized ratio estimator with the single auxiliary variable under the SACS design. The expressions of approximate bias and mean squared error (MSE) for the proposed estimator are derived. Numerical studies are carried out to compare the performances of the proposed generalized estimator over the usual mean and combined ratio estimators under the conventional stratified random sampling (StRS) using a real population of redwood trees in California and generating an artificial population by the Poisson cluster process. Simulation results show that the proposed class of estimators may provide more efficient results than the other estimators considered in this article for the estimation of highly clumped population.