Methods
Study design and setting
We conducted a cohort study in the Birhan field site, including 16 villages in Amhara region,
Ethiopia, covering a population of 77,766, to estimate morbidity and mortality outcomes among
17,108 women of reproductive age and 8,554 children under-five with house-to-house
surveillance every three months. The site is a platform for community and facility-based research
and training that was established in 2018, with a focus on maternal and child health [17]. Nested
in the site is an open pregnancy and birth cohort that enrolls approximately 2,000 pregnant
women and their newborns per year with rigorous longitudinal follow-up over the first two years
of life and household data linked with health facility information [16]. The catchment area is
rural and semi-urban, covers both highland and lowland areas, and includes two different
districts, Angolela Tera, and Kewet/Shewa Robit.
We used data from the Birhan Health and Demographic Surveillance System (HDSS) and the
nested pregnancy and birth cohort, Birhan Maternal and Child Health (MCH) cohort to develop a
series of risk prediction models for preterm delivery [16,17]. The HDSS provides estimates and
trends of health and demographic outcomes including morbidity among women of reproductive
age and children under two years and births, deaths, marriages, and migration in the entire
population [17]. The pregnancy and birth cohort, generates evidence on pregnancy, birth, and
child outcomes using clinical and epidemiological data at both the community and health facility
level [16].
Study participants
The sample for this study included women enrolled during pregnancy in the MCH cohort
between December 2018 and March 2020. They were followed-up in home and facility visits
through delivery. Women who were enrolled during pregnancy and were followed up beyond 28
weeks of gestation were included in the study. This gestational age cut-off was used because in
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5
Ethiopia stillbirths are considered ≥ 28 weeks. We excluded newborns with implausible
gestational ages at birth: <28 weeks due to the definition of stillbirth, and ≥ 46 weeks.
Study variables and definitions
The outcome of this study was preterm delivery, a composite indicator defined as any delivery
occurring before 37 completed weeks of gestation, regardless of vital status of the fetus or
neonate. This includes both preterm births (live birth prior to completion of week 37 of
gestation) [18], as well as stillbirths (any fetal death after 28 completed weeks of gestation) [19]
which occurred before 37 weeks of gestation.
Gestational age was estimated using the best available method from ultrasound measurements,
reported date of last menstrual period, fundal height or maternal recall of gestational age in
months. Detailed information on these estimations can be found elsewhere [20].
The selection of potential predictors was guided by literature review and expert knowledge from
study obstetricians and pediatricians. Predictors with low prevalence rates in the sample (rare
events with
≤ 5 cases) were dropped. Over 70 socio-demographic, biological, environmental and
pregnancy-related predictors were included in the initial models. The complete list of assessed
predictors can be found in Table S1 (Online Supplementary Document 1). Dummy variables
indicating missingness for each predictor were included as additional variables, an approach that
is justified for predictive models because it reflects the complete state of knowledge available at
the time of prediction.
Analysis
Descriptive statistics
A descriptive analysis of the background characteristics of women who experienced term
compared to preterm delivery was performed using t-test for continuous variables, chi-square test
for most of the binary variables and Fisher’s exact test for multiple gestations, to test for
statistically significant differences between groups.
Prediction models
Five models were fit to predict risk of preterm delivery, including linear models and nonlinear
decision tree approaches. All five strategies were designed to predict the outcome of preterm
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6
delivery using information available at 28 weeks of gestation. The first four models were time-
to-event methods which modelled the time until delivery from the 28th week gestation mark,
accounting for left truncation and right censoring of person-time. Left truncation arises when
women are enrolled beyond 28 weeks of gestation while right censoring arises when follow-up
ceases prior to observation of the event of interest (e.g. due to outmigration or loss-to-follow-up).
The first model was a Cox proportional hazards model, fit using the R package survival [21].
Second, an accelerated failure time model was fit with a log-logistic distribution using the R
package flexsurv [22]. Third, a decision tree was fit using the R package LTRtrees that extends
previous uses of a decision tree in survival analysis to account for left truncation and right
censoring (LTRCART, left truncation right censoring classification and regression trees) [23].
Fourth, a decision tree ensemble was implemented using the eXtreme Gradient Boosting (XGB)
R package which uses a Poisson likelihood function proposed by Fu and Simonoff (2017) to
account for right censoring and left truncation [23,24]. Finally, a fifth analysis based on a XGB
classification model was fit using a binary outcome (i.e. whether delivery was preterm or not)
instead of the time-to-event. During fitting this last model, data which was either right censored
or left truncated was excluded.
Models were fit and evaluated using 5-fold cross validation due to the need to evaluate models
on out-of-sample data while reserving as much data as possible for fitting [25]. All models were
evaluated on the same held-out dataset within each fold, regardless of which data or methods
were used while fitting the model. Model performance was assessed using the AUC to assess
accuracy at binary classification, and the c-index to assess the fraction of pairs for which
predicted risk was concordant with delivery time. For both metrics, a value of 0.5 represents a
random prediction which is uncorrelated with the true outcome. Larger values indicate more
accurate predictions, and a value of 1 represents predictions which are perfectly concordant with
the true outcome.
Simulation of cervical length and fetal fibronectin
A final analysis was performed to simulate the potential impact of including CL and FFN as
predictors. These two variables were found in past work to be significantly associated with
preterm birth [26-28]. Since they are not regularly collected in the study region, we used
simulation to assess the potential gain from collecting them. The simulation used data from the
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7
MFMU PREDS study [29], a study which screened 2929 women for risk factors for preterm
birth in the United States. PREDS study identified CL and FFN as key predictors for preterm
birth [30,31]. Details on the simulation model and comparison between the simulated and real
measurements can be found in the Supplemental Methods and Results (Online Supplementary
Document 1).
Results
The sample composed 2834 pregnancies. Among those we excluded 75 (2.6%) records with
gestational age at delivery <28 and
≥ 46 weeks, and a further 266 (9.4%) pregnancies whose
follow-up did not go beyond 28th gestational week. A total of 2493 pregnancies were included in
the study. Of those, 138 (5.5%) women were lost to follow-up before delivery or did not have a
recorded gestational age at delivery, so they were treated as censored observations in the time-to-
event models and excluded from the binary classification model. A total of 968 (38.8%) women
were enrolled in the cohort after 28 weeks of gestation (left-truncation), thus, time-varying
predictors were considered missing for them since no information on those factors was available
at the time of prediction. These women were also excluded from the binary classification model.
Among the 2355 women who were included in the study and followed until delivery, 14% had a
preterm delivery. There was no difference in some background characteristics like age, body
mass index, parity or history of previous preterm births among women with term deliveries
compared to women with preterm deliveries (Table 1). However, the two groups showed
significant differences in literacy (43.3% of women with term delivery were illiterate, compared
to 50.5% of those who delivered prematurely), geographic location (42.8% of term deliveries
occurred in the highland district within Birhan field site, compared to 52.4% of preterm
deliveries), and multiple gestation (1.1% of term deliveries were multiple, compared to 3.4% of
preterm deliveries).
Some predictors had high levels of missing data, particularly where our study relied on facility
visits. Approximately 25% of participants did not attend any antenatal care visit in the study
health facilities after being enrolled in the cohort, thus, variables collected at antenatal care
visits, such as current infections or concomitant diseases were missing for these women. Further,
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8
over 70% of women who attended at least one antenatal care visit had missing data on lab and
point-of-care results such as white blood cell counts, proteinuria or bacteriuria.
The predictive performance of all models was generally poor (Table 2). The c-statistic and AUC
were highest for the XGB classification model, with an AUC of 0.60. The receiver operating
characteristic curves (ROC) depict the trade-off between the false and true positive rates
achieved by varying the threshold for classifying delivery as preterm or term (Figure 1). As an
example, at the point on this curve corresponding to a 90% true positive rate, all models had a
false positive rate of at least 75%, indicating a lack of specificity in picking out women who are
truly at higher risk.
There was substantial heterogeneity in the factors that were ultimately retained in the five models
(Table 3). Both biological and socio-demographic factors were among the top contributors of
standard time-to-event models. Regarding decision tree models, the top five predictors are
mainly biological, with neonatal sex being the predictor with the greatest importance.
The performance of several individual models improved when simulated measurements of CL
and FFN were included as features for each individual, particularly the accelerated failure time
and LTRCART decision tree models (Table 4). However, no model exceeded an estimated AUC
of 0.60 indicating that the overall predictability of preterm delivery did not change substantially
from the inclusion of these additional predictors.
Discussion
Our study shows that risk prediction of preterm delivery remains a challenge in the absence of
data on biomarkers. Despite using a wide range of methodological approaches to adjust for
missing data, competing risk of stillbirths, and late cohort enrollments, both traditional
epidemiological and machine learning models performed poorly and had low specificity in
identifying women who delivered before 37 weeks of gestation. This low predictive performance
differs with existing models with higher predictive ability that were designed to predict preterm
birth among women at an already high risk due to obstetric conditions such as twin pregnancy
[7,8], short cervix, cervical insufficiency [10,32], or hospital admission due to preterm labor
[6,33,34]. Other higher performing algorithms used predictors that were not available or
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9
applicable in low-resource settings such as amniotic and cervical fluids [33], inflammatory
markers [35], or method of conception [5,8]. Lack of a fixed prediction time point and competing
risk of stillbirth are methodological gaps of most published studies.
To our knowledge, our study is among the few in developing risk prediction models in a low-
resource setting. Only one published study presented the development of a model for preterm
birth prediction in Ethiopia [36]. Despite reporting good model performance, this study presents
an important limitation; it predicts preterm birth retrospectively using all information available in
hindsight (e.g. events such as premature rupture of membranes), while our aim is to assess
whether early prediction is possible to inform preventive interventions, leading us to fix a time
point for prediction (28 weeks of gestation). Moreover, their study was conducted using data
from a hospital-based cohort, likely to be composed of women at higher a priori risk of adverse
outcomes.
Studies carried out in Ethiopia identified risk factors for preterm delivery including obstetric
conditions, socio-demographic characteristics, urinary and vaginal infections, and hypertensive
disorders [37,38]. We included all these factors to build the most accurate models with the
available data. Among all predictors, neonatal sex was assigned high importance in the decision
tree models despite the small difference in prevalence between boys and girls. This is consistent
with higher rates of preterm birth for male fetuses in other studies [39,40]. Nevertheless,
prediction studies like this aim to characterize prognosis and to anticipate or forecast an
outcome.
We simulated the conditional distribution of CL and FFN to test whether access to these
measurements may improve models’ predictive ability. However, the improvement of the models
was negligible, indicating that women who are identified as high-risk via CL or FFN could also
be identified as high risk via other predictors. Although both CL and FFN are among the most
used indicators to identify high risk pregnancies for preterm delivery in clinical practice, their
measurement is not always recommended in a priori low-risk populations [15,41]. Our results do
not support the allocation of resources to CL and FFN measurement in low-resource settings to
predict risk of preterm birth. Similarly, other studies observed a poor predictive power of CL and
FFN in the absence of additional maternal predictors [42].
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The results of this study have important research-related and public health implications. Given
the poor performance of all available predictive models, it is fundamental to continue research on
the underlying causes of preterm delivery, better understanding the pathways between different
risk factors and preterm birth, in order to predict and prevent preterm births in the future. Most
cases still occur among women without any known risk factor [14,15]. It is crucial to look for
new indicators and biomarkers of preterm delivery. Genetic factors, immunological biomarkers
and protein expression are showing promising results [43,44]. There may be value in exploring
the use of ‘omics’ since no biomarkers predictive of preterm birth have yet been identified [45].
While all settings can benefit from such technologies, from an equity perspective it may be
especially important to ensure availability in low-resource settings where the survival of preterm
infants is lower and identifying high-risk women can enable targeted preventative interventions.
Predictive algorithms with modest performance could be used to identify pregnancies at a very
low risk of preterm delivery, thus excluding them from interventions. However, a large
proportion of women at a low risk will still be targeted in those interventions due to the low
specificity of the models. In Ethiopia, recommending pregnant women to stay in maternity
waiting homes is part of the birth preparedness strategy, though it has not been demonstrated to
improve pregnancy outcomes [46,47]. Targeting the recommendation of staying in maternity
waiting homes to a reduced number of individuals would increase the cost-effectiveness of the
intervention and improve the pregnancy experience of some women.
Our findings should be interpreted considering some limitations. Similar to most longitudinal
studies, there was study attrition. To address loss to follow-up, we adjusted time-to-event models
for censoring and created a “missing” category for all predictors with missing data. The use of a
composite outcome that included all preterm deliveries regardless of vital status of the fetus or
neonate did not enable the models to separately predict the risk of having a live preterm baby
from the risk of having a preterm stillbirth. However, the use of a combined outcome allows us
to address competing risks of preterm stillbirths, a common limitation of other available
prediction models. Despite these limitations, our study fills an evidence gap by exploring
prediction of preterm delivery during the first 28 weeks of gestation in a resource-limited setting
with important restrictions in data availability. We considered a comprehensive selection of >70
predictors and tested five different algorithms: Accelerated Failure Time, Cox, LTRCART and
two decision tree ensembles. We acknowledge that the classification tree ensemble is not
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11
recommended for data with censoring or truncation. However, we fit this model together with the
other four algorithms for the purpose of being fully exhaustive in our effort to explore all
potential methodological options to achieve our study aim of developing an accurate algorithm.
The results of all of them show that the difficulty of predicting preterm delivery is robust to
potential variation in the process of constructing risk models.
In settings with low coverage of antenatal care and limited resources to perform ultrasound and
biomarker measurements, predicting risk of preterm delivery remains a major challenge. New
indicators of preterm delivery may be necessary to enable targeted interventions.
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47 van Lonkhuijzen L, Stekelenburg J, van Roosmalen J. Maternity waiting facilities for
improving maternal and neonatal outcome in low-resource countries. The Cochrane
Library. 2012;10(10):CD006759.
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17
TABLES
Table 1. Characteristics of the study sample
Variables Total* Term delivery Preterm delivery
N mean SD N mean SD N mean SD p-value
Maternal age (years) 2487 27.3 6.1 2030 27.3 6 319 27.2 6.4 0.69
Body mass index
(preconception)
1108 22.0 3.1 930 22.0 3.2 138 21.9 2.6 0.60
N n % N n % N n % p-value
Illiterate 2488 1105 44.4 2031 880 43.3 319 161 50.5 0.02
Location: highland
district (Angolela
Tera)
2489 1075 43.2 2032 870 42.8 319 167 52.4 <0.01
Primiparous 2493 793 31.8 2034 627 30.8 321 108 33.6 0.34
History of a previous
preterm birth
2493 47 1.9 2034 38 1.9 321 7 2.2 0.87
Multiple gestation 2408 35 1.5 2034 23 1.1 321 11 3.4 <0.01
Neonatal sex: female 2355 1144 48.6 2034 993 48.8 321 151 47.0 0.59
*Total counts include censored study participants with unknown pregnancy outcome or date of delivery
SD – Standard Deviation
Table 2. Performance metrics of the different predictive models
Model AUC (95%CI) c statistic (95% CI)
Accelerated failure time 0.57 (0.54, 0.61) 0.53 (0.52, 0.55)
Cox 0.51 (0.47, 0.54) 0.52 (0.50, 0.53)
LTRCART 0.54 (0.51, 0.58) 0.53 (0.51, 0.55)
XGBoost (classification) 0.60 (0.57, 0.63) 0.54 (0.52, 0.55)
XGBoost (survival) 0.52 (0.49, 0.56) 0.52 (0.50, 0.53)
AUC – Area Under the r eceiver operating characteristic Curve; CI – Confidence Interval;
LTRCART – Left Truncation Right Censoring Classification And Regression Trees; XGBoost – eXtreme
Gradient Boosting
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is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.(which was not certified by peer review)preprint
The copyright holder for thisthis version posted December 24, 2022. ; https://doi.org/10.1101/2022.11.04.22281948doi: medRxiv preprint
18
Table 3. Top 5 predictors for each model: model coefficients and feature importance scores
Model Top predictors
1 2 3 4 5
Accelerated
failure time:
Accelerator
factor
Multiple
gestation
Lymphocyte %
= NA
Vaginal
bleeding
History of
pre-
eclampsia
Maternal age =
NA
0.74 1.26 1.22 0.83 0.83
Cox:
Hazard ratio
(95%CI)
Multiple
gestation
History of
diabetes
Maternal age
= NA
Lymphocyte
% = NA
History of pre-
eclampsia
3.15 (0.61,
16.21)
0.33 (0.03,
3.61)
2.79 (1.72,
4.55)
2.68 (0.10,
1.63)
2.29 (1.44, 3.62)
LTRCART:
Split level
Neonatal sex Multiple
gestation
NA NA NA
1 2 - - -
XGBoost
classification:
Location
(district)
Parity Family size =
top quintile
Neonatal
sex
Systolic blood
pressure
Gain 0.11 0.10 0.10 0.09 0.08
XGBoost
survival:
Neonatal sex NA NA NA NA
Gain 1.00 - - - -
LTRCART – Left Truncation Right Censoring Classification And Regression Trees; NA – Not
Applicable/missing data; XGBoost – eXtreme Gradient Boosting
Table 4. Performance metrics of the models with simulated measurements
Model AUC (95%CI) c statistic (95% CI)
Accelerated failure time 0.60 (0.56, 0.63) 0.55 (0.53, 0.57)
Cox 0.55 (0.52, 0.59) 0.53 (0.50, 0.55)
LTRCART 0.60 (0.56, 0.64) 0.55 (0.52, 0.57)
XGBoost (classification) 0.60 (0.56, 0.64) 0.55 (0.52, 0.56)
XGBoost (survival) 0.48 (0.45, 0.51) 0.50 (0.48, 0.51)
AUC – Area Under the r eceiver operating characteristic Curve; CI – Confidence Interval;
LTRCART – Left Truncation Right Censoring Classification And Regression Trees; XGBoost – eXtreme
Gradient Boosting
. CC-BY 4.0 International licenseIt is made available under a
is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.(which was not certified by peer review)preprint
The copyright holder for thisthis version posted December 24, 2022. ; https://doi.org/10.1101/2022.11.04.22281948doi: medRxiv preprint
19
FIGURES
Figure 1. ROC curves for each model.
AFT – Accelerated Failure Time; LTRCART – Left Truncation Right Censoring Classification And
Regression Trees; ROC - Receiver Operating Characteristic Curve; XGB – eXtreme Gradient Boosting
. CC-BY 4.0 International licenseIt is made available under a
is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.(which was not certified by peer review)preprint
The copyright holder for thisthis version posted December 24, 2022. ; https://doi.org/10.1101/2022.11.04.22281948doi: medRxiv preprint
20
AUTHORSHIP CONTRIBUTIONS
CPD, BW, SH and GJC conceptualized and designed the study. GJC is the study PI, she obtained
funding for the study, and supervised all study activities. DB is the co-PI of the study, he helped
to obtain funding for the study and led data collection team. BMH, DB and GJC participated in
data collection. CPD and BW conducted the data analysis. SH oversaw the data analysis. FGBG
curated the data for this study. CPD and BW drafted the first version of the manuscript. All
authors critically revised the manuscript for important intellectual content. All authors approved
the final version of the manuscript.
ACKNOWLEDGMENTS
We thank all the mothers and children who participated in the study (HDSS and MCH cohort)
and the community of the Birhan field site. We also thank data collectors, supervisors,
coordinators, and the HaSET team for their contributions.
ETHICAL CONSIDERATIONS
Ethical clearance was obtained from the Ethics Review Board (IRB) of Saint Paul’s Hospital
Millennium Medical college, (Addis Ababa, Ethiopia), and Harvard T.H. Chan School of Public
Health (Boston, United States). Signed informed consent was obtained from all participants.
COMPETING INTERESTS
No competing interests.
FUNDING
This work has been supported by the Bill & Melinda Gates Foundation (grants INV-010382 and
INV-003612 to Dr Chan).
. CC-BY 4.0 International licenseIt is made available under a
is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity.(which was not certified by peer review)preprint
The copyright holder for thisthis version posted December 24, 2022. ; https://doi.org/10.1101/2022.11.04.22281948doi: medRxiv preprint
21
The funder had no role in the design and conduct of the study; collection, management, analysis,
and interpretation of the data; preparation, review, or approval of the manuscript; and decision to
submit the manuscript for publication.
ACCESS TO DATA
Data are available upon reasonable request. Data use is governed by the Birhan Data Access
Committee (DAC) and follows Birhan’s data sharing policy. All researchers who wish to access
Birhan data can complete a Birhan data request form and submit it for decision by the Birhan
DAC. Datasets will only be provided with deidentified data to maintain confidentiality of study
participants.
SUPPLEMENTARY DOCUMENTS
- Online Supplementary Document 1
Table S1. Predictors assessed for inclusion in the models
Supplemental Methods and Results. Simulation of cervical length and foetal fibronectin: