Various Demographic Pretesting Activities

Generic Clearence for Questionnaire Pretesting Research

OMB1026ACSSpanishenc4

Various Demographic Pretesting Activities

OMB: 0607-0725

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 0607-0725 can be found here:

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ACS English CATI/CAPI Protocol Guide

Phase 4 – Round 1

ACS Project D, Part2 – CATI/CAPI Instrument Testing

Protocol Guide – Phase 4, Round 1

English - Final

June 22, 2010

Participant ID #: |___|___|___|___|___|___|___| (Int’s initials / 3-digit sequential # / Location)

Date: |___|___| / |___|___| / |_2_|_0_|_1_|__0__| (mm/dd/yyyy)

Interviewer (Check One): □1 RQ □2 GM □3 SR □4 AS

□5 LA □6 MB □7 DC □8 YF □9 PM

Location (Check One): □1 NC □2 IL □3 FL □4 TX □5 MA □6 __ __

Participant: □1 Monolingual – English

 Start Time: _____ : _____ AM / PM Mode (Check One): □1 CAPI □2 CATI

Introduction

Before we start, I’d like to give you a little background information about the Census Bureau and the survey we’re testing. The Census Bureau collects data about the entire population every 10 years. In order to provide data more frequently, they also conduct the American Community Survey every year. This information is used to determine the amount of government money neighborhoods receive for schools, employment services, roads, and many other programs. The survey we’re testing today is conducted (CAPI: in person/ CATI: by telephone).

The Census Bureau has hired us, RTI /RSS, to see how well some of the questions in the American Community Survey are working. Today, I would like to try out some of the questions with you and then I would like to ask for your thoughts on what they mean to you, whether they make sense, etc.

For example, I might ask you what a certain word means to you. The reason for this is to see if people from different parts of the country use different words or interpret things differently. We are interviewing people from as many different backgrounds as possible so that we can find the terms and questions that will work best for everyone.

Your participation in this interview is very important because it will help the Census Bureau improve the questionnaire.

 PLACE THE CONSENT FORM IN FRONT OF PARTICIPANT

Section I. Informed Consent

Here is a consent form. Let’s go over it together. This document explains the following:

As I mentioned, the purpose of the interview is to help the Census Bureau review some of the questions in the American Community Survey to ensure the questions are well understood.
The interview will take between 60 and 75 minutes. At the end of the interview you will receive $40 for your participation in the study.
There are no right or wrong answers. Your participation is voluntary, you may stop at any time, and you may choose not to answer any questions you don’t want to answer.
All information you give us will be kept confidential and you will not be identified as an individual on any of our reports. Your identifying information is protected by Title 13 of the United States Code.
IF OBSERVER: With your permission, a member of the Census Bureau is here today to observe the interviews to see how well the questions work. Will that be OK with you? [IF R IS RELUCTANT TO BE OBSERVED, ASK OBSERVER TO STEP OUT OF ROOM.]
If you have any questions about the study, you may contact Rosanna Quiroz at 1-800-334-8571 ext. 27172. If you have any questions about your rights as a research participant in this study, you may call 1-866-214-2043. Both numbers are toll free.
In addition, the back page asks for your permission to have this session audio recorded.

If you have any questions, please let me know. When you’re ready, I ask that you sign and date both sections on the form.

1. DID PARTICIPANT HAVE ANY QUESTIONS OR CONCERNS?

□1 Yes  PLEASE SPECIFY BELOW:

□2 No

2. DID PARTICIPANT READ AND SIGN CONSENT FORM?

□1 Yes  (GIVE A COPY TO PARTICIPANT, KEEP SIGNED FORM)

□2 No  (END INTERVIEW)

3. DID PARTICIPANT AGREE TO AUDIO-TAPE?

□ 1 Yes

□2 No  (SKIP TO SECTION II ON PAGE 2)

4. TURN ON THE TAPE RECORDER, THEN SAY: Now I would like to confirm on tape that it is fine with you to record the interview.

Section II. Cognitive Interview

Now, if you’re ready, I’d like to get started asking you some of the questions from the American Community Survey. This is the type of survey where an interviewer (CAPI: would knock on your door/ CATI: would call you on the phone) and ask you the survey questions (CAPI: in person at your home). As I ask the questions, please imagine that you are in your home answering these questions.

During the survey questions, I’ll ask the questions just like a Census Bureau interviewer would ask them. After I go through some of the survey questions I will ask you some additional questions about your opinions on certain words and questions.

CATI MODE ONLY: One of the questions will refer to your telephone number. For this exercise, let’s pretend that your telephone number is 321-1234.

OK, now let’s begin with the questions from the survey as if I were a Census Bureau interviewer.

INTERVIEWER:

1^st READ ACS QUESTIONS AND RESPONSE OPTION IN SHADED BOXES ALOUD,

2^nd RECORD RESPONSES ON THIS PROTOCOL GUIDE, THEN

3^rd ASK SCRIPTED PROBES.

4^th ADD SPONTANEOUS, FOLLOW-UP PROBES AS NEEDED FOR CLARIFICATION.

General Probes (to be used as necessary):

Please tell me what you are thinking.
How did you choose your answer or how did you arrive at that answer?
Could you tell me more about that?
Could you tell me more about your situation with _____?
I’m not asking you to give me an answer, but could you tell me why you don’t want to answer that question?
I noticed that you were smiling/doubting/paused when answering the question. Could you tell what you were thinking?

INTRODUCTORY QUESTIONS

CAPI:

INTRO_CP

Hello. I'm... from the United States Census Bureau. We are conducting the American Community Survey to collect current population and housing information. I have some questions to ask you. Did you receive our mailings?

1. Yes

2. No

CATI:

VERIFY DIALED NUMBER

This is ______ of the US Census Bureau. Have I reached 321-1234?

(ALWAYS ASSUME R ANSWERS ‘YES’)

INTRO PRE

The Census Bureau is conducting the American Community Survey to collect current population and housing information. We are calling since we have not received your form yet.

Did you receive our mailings on the American Community Survey?

1. Yes

2. No

FN_PG1

I am going to be asking some questions about everyone who is living or staying at this address. First, let’s create a list of the people starting with you. What is your name? / What is the name of the next adult living or staying here? / What is the name of the next person living or staying here? (RECORD UP TO 10 NAMES BELOW.)

1. RESPONDENT’S NAME (OR INITIALS): ___________________________________________

2. 2^ND PERSON’S NAME (OR INITIALS): _____________________________________________

3. __________________________________ 4. _______________________________

5. __________________________________ 6. _______________________________

7. __________________________________ 8. _______________________________

9. __________________________________ 10. _______________________________

FOLLOW-UP QUESTIONS WILL ONLY BE ASKED ABOUT RESPONDENT (#1) AND PERSON #2.)

FN_PG2

The following questions are to make sure this list is as complete as possible...

Does anyone else live or stay here, such as roommates, foster children, boarders, or live-in employees?

1. Yes

2. No

FN_PG3

Is there anyone else staying here even for a short time, such as a friend or relative?

1. Yes

2. No

HHOLDER

Of the people you named, who owns or rents this place? (IF NECESSARY: What name(s) are on the deed or lease? Is there anyone 15 years or older?)

NAME (OR INITIALS): _____________________________________________

CAPI

RELP-1

ONLY ASK IF R IS NOT HOUSEHOLDER

HAND R CARD A

(Using Card A in this packet,) How are you related to <HHolder name>?

<1> Husband or wife

<2> Biological son or daughter

<3> Adopted son or daughter

<4> Stepson or stepdaughter

<5> Brother or sister

<6> Father or mother

<7> Grandchild

<8> Parent-in-law

<9> Son-in-law or daughter-in-law

<10> Other relative

<11> Roomer or boarder

<12> Housemate or roommate

<13> Unmarried partner

<14> Foster child

<15> Other nonrelative

RELP-2

ONLY ASK IF <PERSON 2> IS NOT HOUSEHOLDER (HAND R CARD A)

(Using Card A in this packet,) How is <Person 2> related to {<HHolder name>/you}?

<1> Husband or wife

<2> Biological son or daughter

<3> Adopted son or daughter

<4> Stepson or stepdaughter

<5> Brother or sister

<6> Father or mother

<7> Grandchild

<8> Parent-in-law

<9> Son-in-law or daughter-in-law

<10> Other relative

<11> Roomer or boarder

<12> Housemate or roommate

<13> Unmarried partner

<14> Foster child

<15> Other nonrelative

CATI

RELT-1

ONLY ASK IF R IS NOT HOUSEHOLDER

How are you related to <HHolder name>?

<1> Husband or wife

<2> Son or daughter

<3> Brother or sister

<4> Father or mother

<5> Grandchild

<6> Parent-in-law

<7> Son-in-law or daughter-in-law

<8> Other relative

<9> Roomer or boarder

<10> Housemate or roommate

<11> Unmarried partner

<12> Foster child

<13> Other nonrelative

RELT-2

ONLY ASK IF <PERSON 2> IS NOT HOUSEHOLDER

How is < Person 2> related to {<HHolder name>/you}?

<1> Husband or wife

<2> Son or daughter

<3> Brother or sister

<4> Father or mother

<5> Grandchild

<6> Parent-in-law

<7> Son-in-law or daughter-in-law

<8> Other relative

<9> Roomer or boarder

<10> Housemate or roommate

<11> Unmarried partner

<12> Foster child

<13> Other nonrelative

AGE-1

How old were you on your last birthday?

AGEASK-1

What is your best estimate of your age?

_______ Years

____ years old

DK/REF  GO TO ASKAGE-1

AGE-2

How old was <Person 2> on his/her last birthday?

AGEASK-2

What is your best estimate of < Person 2>'s age?

_______ Years

_____ years old

DK/REF  GO TO ASKAGE-2

HISPANIC QUESTION (CAPI/CATI)

HISA-1

Are you of Hispanic, Latino, or Spanish origin?

RECORD VERBATIM: _______________________

1. Yes

2. No

3. Don’t Know

HISA-2

Is <Name of Person 2> of Hispanic, Latino, or Spanish origin?

RECORD VERBATIM: _______________________

1. Yes

2. No

3. Don’t Know

HISA-1 PROBES

Now, I’d like to ask your opinion about some of those questions from the survey. Again, this is just so we know how different people understand the survey questions. First, I will re-read the question, and then I’d like you to tell me what you thought about it.

I asked, “Are you of Hispanic, Latino, or Spanish origin?”

You answered: [VERBATIM RESPONSE]. What were you thinking about when you decided on your answer?

_____________________________________________________________________________________

Was there anything confusing about this question? If so, what was it?

_____________________________________________________________________________________

PLACE OF WORK QUESTIONS (CAPI)

[CATI INTERVIEWS: SKIP TO PAGE 16 FOR EQUIVALENT QUESTIONS]

The next series of questions refer to your work. First let me ask you this: do you work for pay at a job or business? (IF YES, READ PRESENT TENSE. IF NO, READ PAST TENSE. IF R NEVER WORKED, GO TO INCOME PG 24)

CAPI

(1) COWCP

The next series of questions are about the type of business you [work/worked] for and the type of work that you [do/did]…

Using CARD H, please pick the category that best describes who you [work/worked] for.

(If you had more than 1 job, describe the one at which the most hours were worked. If you did not work last week, give information for the last job or business in the past five years.)

<1> An employee of a PRIVATE FOR PROFIT company or business, or of an individual for wages, salary, or commissions? GO TO (3) INW2

<2> An employee of a PRIVATE NOT-FOR-PROFIT, tax-exempt, or charitable organization? GO TO (3) INW2

<3> A local GOVERNMENT employee (city, county, [municipio,] etc.)? GO TO (3) INW2

<4> A state GOVERNMENT employee? GO TO (3) INW2

<5> An active duty U.S. Armed Forces member? GO TO (2) INMIL

<6> A federal GOVERNMENT employee (excluding active duty military)? GO TO (3) INW2

<7> SELF-EMPLOYED in own NOT INCORPORATED business, professional practice, or farm? GO TO (3) INW2

<8> SELF-EMPLOYED in own INCORPORATED business, professional practice, or farm? GO TO (3) INW2

<9> Working WITHOUT PAY in family business or farm? GO TO (3) INW2

(2) INMIL (if COWCP=5)

Which branch of the Armed Forces do you work for?

 U.S. Army GO TO (6) OCW1

 U.S. Navy GO TO (6) OCW1

 U.S. Air Force GO TO (6) OCW1

 U.S. Marine Corps GO TO (6) OCW1

 U.S. Coast Guard GO TO (6) OCW1

(3) INW2

What [is/ was] the name of your company, business or other employer?

_________________________________________________________________ GO TO (4) INW3

(4) INW3

What kind of business or industry [is/was] this?

(For example: hospital, newspaper publishing, mail order house, auto engine manufacturing, bank)

_______________________________________________________________  GO TO (5) INX4

(5) INX4

Is this business mainly -- manufacturing, wholesale trade, retail trade or some other kind of business?

 Manufacturing  GO TO (6) OCW1

Wholesale trade  GO TO (6) OCW1

Retail trade  GO TO (6) OCW1

Other (agriculture, construction, service, government, etc.)  GO TO (6) OCW1

(6) OCW1

What kind of work [are/were] you doing at this job?

(For example: registered nurse, personnel manager, supervisor of order department, secretary, accountant)

__________________________________________________________________ GO TO (7) OCW2

(7) OCW2

What [are/were] your most important activities or duties?

(For example: patient care, directing hiring policies, supervising order clerks, typing and filing, reconciling financial records)

___________________________________________________________________________________

___________________________________________________________GO TO COWCP PROBES

COWCP – OCW2 PROBES (CAPI)

(1) COWCP PROBES (CAPI)

Now, I’d like to ask your opinion about the questions from the survey. Again, this is just so we know how different people understand the survey questions. First, I will re-read the question, and then I’d like you to tell me what you thought about it.

The first question I asked in this series was about the type of business and the type of work that you [do/did]. I asked you to pick the category that best describes who you [work/worked] for. 1) Please tell me in your own words what you think this question was asking. 2) Did you have any difficulty answering this question? Please explain.

______________________________________________________________________________________

IF NOT MENTIONED: “What do you think they mean by “the type of business you [work/worked] for”?

______________________________________________________________________________________

Was that phrase easy or difficult for you to understand? IF YES: Why was it difficult? Is there a different way you might say that?

______________________________________________________________________________________

IF NOT MENTIONED: What do you think they mean by “the type of work that you [do/did]”?

______________________________________________________________________________________

Was that phrase easy or difficult for you to understand? IF YES: Why was it difficult? Is there a different way you might say that?

______________________________________________________________________________________

[SHOW R CARD AGAIN] Then I showed you CARD H and asked you to pick a category from the list that best describes who you [work/worked] for.

You answered [ANSWER FROM PAGE 7]. How sure are you of your answer? IF R NOT SURE: Why are you not sure?

______________________________________________________________________________________

PRIVATE FOR PROFIT PROBES (CAPI)

The first category on the card says “An employee of a PRIVATE FOR PROFIT company or business, or of an individual for wages, salary, or commissions.” 1) What do you think they mean by that? 2) Can you give me an example of this type of company? 3) Were these terms easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

Please tell me in your own words what each of the following terms mean to you:

1) Wages: ______________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

2) Salary: _______________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

3) Commissions: _________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

PRIVATE NOT-FOR-PROFIT PROBES (CAPI)

Then, the second response option said: “An employee of a PRIVATE NOT-FOR PROFIT, tax-exempt, or charitable organization.” 1) What do you think they mean by that? 2) Can you give me an example of this type of company? 3) Was this option easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

Please tell me in your own words what each of the following terms mean to you:

1) Private not-for-profit organization:_________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that?_____________________________________

2) Tax-exempt organization:_________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

3) Charitable organization:__________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

LOCAL & STATE GOVERNMENT PROBES (CAPI)

The third option on the list was “A local GOVERNMENT employee (city, county, etc.)” 1) What do you think they mean by that? 2) Was this term easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

________________________________________________________________________________________

And what about option #4, when we ask if you were “A state GOVERNMENT employee”? 1) What do you think they mean by that? 2) Was this term easy or difficult to understand? Why/why not?

________________________________________________________________________________________

U.S. ARMED FORCES PROBE (CAPI)

Option #5 asked if you were “An active duty U.S. Armed Forces member.” 1) What do you think they mean by “active duty”? 2) Was this easy or difficult to understand? Why/why not?

________________________________________________________________________________________

(2) INMIL PROBES (CAPI)

When people say they work for the “US Armed Forces (active duty),” they are asked if they work for the “U.S. Army,” “U.S. Navy,” “U.S. Air Force,” “U.S. Marine Corps,” or the “U.S. Coast Guard.”

Do you understand these terms?

_______________________________________________________________________________________

IF ANY TERM IS NOT UNDERSTOOD, PROBE ON SPECIFIC TERM AS NECESSARY.

_______________________________________________________________________________________

FEDERAL GOVERNMENT PROBE (CAPI)

Then, option #6 asked if you were “A federal GOVERNMENT employee (excluding active duty military).” 1) What do you think they mean by that? IF NOT MENTIONED: 2) What do you think they mean by “excluding active duty military”? 2) Was this easy or difficult to understand? Why/why not?

________________________________________________________________________________________

SELF-EMPLOYMENT PROBES (CAPI)

Option #7 asked if you were “SELF-EMPLOYED in own NOT INCORPORATED business, professional practice, or farm.” 1) What do you think this option is asking? 2) Was this easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

IF NOT MENTIONED ABOVE ASK: What do you think they are referring to when they say: “NOT INCORPORATED business, professional practice, or farm”? IF R UNDERSTANDS: Is there a different way you might say this?

_______________________________________________________________________________________

Option #8 asked if you were “SELF-EMPLOYED in own INCORPORATED business, professional practice, or farm.” 1) What do you think this option is asking? 2) Was this easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

IF NOT MENTIONED BEFORE: What do you think the difference is between “NOT INCORPORATED” and “INCORPORATED”? IF R UNDERSTANDS SAY: Is there a different way you might say that?

______________________________________________________________________________________

WORKING WITHOUT PAY PROBE (CAPI)

The last option asked if you were “working WITHOUT PAY in family business or farm.” 1) In your own words, what does this mean to you? 2) Was this easy or difficult to understand? Why/why not? 3) Is there a different way you might say this?

_______________________________________________________________________________________

(4) INW3 PROBE (CAPI)

When people say they have/had a job, they are asked “What kind of business or industry is/was this?”

What do you think this question is asking?

_______________________________________________________________________________________

IF NOT MENTIONED: What do you think they mean by “business or industry” in this question?

_______________________________________________________________________________________

(5) INX4 PROBES

Then, people who also have/had a job are also asked if the type of business is mainly “manufacturing,” “wholesale trade,” “retail trade,” or “some other kind of business.”

In your own words, please tell what do these terms mean to you?

Manufacturing: _________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

Wholesale trade: ________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

Retail trade: ____________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

(6) OCW1 & (7) OCW2 PROBES (CAPI)

People who have/had a job are also asked: “What kind of work they are/were doing at this job” and then we ask them “What are/were their most important activities or duties.”

What do you think they mean by “What kind of work they are/were doing at this job”?

________________________________________________________________________________________

IF R MENTIONS ACTIVITIES RATHER THAN A JOB TITLE SAY: For people who are not sure what this question means, a list of examples is provided to them: “For example: registered nurse, personnel manager, supervisor of order department, secretary, accountant.” Does this list help clarify what the question is looking for? Please explain.

________________________________________________________________________________________

Another question they ask is “What are/were your most important activities or duties.” Was this different from the prior question “What kind of work are/were you doing at this job”? Please explain.

________________________________________________________________________________________

PLACE OF WORK QUESTIONS (CATI)

CATI

(1) COWA

The next series of questions are about the type of business you [work/worked] for and the type of work that you [do/did]...

I am going to read 5 categories. Please pick the one that best describes who you [work/worked] for - a private organization or company, government, the US Armed Forces (active duty), self-employed, or working without pay in a family business.

(If you had more than 1 job, describe the one at which the most hours were worked. If you did not work last week, give information for the last job or business in the past five years.)

(1) Private organization or company  GO TO (2) COWB

(2) Government  GO TO (3) COWC

(3) US Armed Forces (active duty)  GO TO (7) INMIL

(4) Self-employed  GO TO (5) COWD

(5) Working without pay in a family business  GO TO (6) INW2

(2) COWB

[Is/Was] this a non-profit organization or a for profit company?

 Non-profit organization  GO TO (5) INW2

 For profit company  GO TO (5) INW2

(3) COWC

[Is/ Was] this for Local, State, or the Federal Government?

 Local  GO TO (5) INW2

 State  GO TO (5) INW2

 Federal  GO TO (5) INW2

(4) COWD

[Is/Was] this self-employment incorporated or not incorporated?

 Incorporated  GO TO (5) INW2

 Not incorporated  GO TO (5) INW2

(5) INMIL (if COWA=3)

Which branch of the Armed Forces do you work for?

 U.S. Army  GO TO OCW1

 U.S. Navy  GO TO OCW1

 U.S. Air Force  GO TO OCW1

 U.S. Marine Corps GO TO OCW1

 U.S. Coast Guard  GO TO OCW1

(6) INW2

What [is/ was] the name of your company, business or other employer?

_____________________  GO TO (7) INW3

(7) INW3

What kind of business or industry [is/was] this?

(For example: hospital, newspaper publishing, mail order house, auto engine manufacturing, bank)

________________________________________________________________  GO TO (8) INX4

(8) INX4

Is this business mainly -- manufacturing, wholesale trade, retail trade or some other kind of business?

 Manufacturing  GO TO (9) OCW1

 Wholesale trade GO TO (9) OCW1

 Retail trade  GO TO (9) OCW1

 Other (agriculture, construction, service, government, etc.)  GO TO (9) OCW1

(9) OCW1

What kind of work (are/were) you doing at this job?

(For example: registered nurse, personnel manager, supervisor of order department, secretary, accountant)

__________________________________________________________________  GO TO (10) OCW2

(10) OCW2

What (are/were) your most important activities or duties?

(For example: patient care, directing hiring policies, supervising order clerks, typing and filing, reconciling financial records)

______________________________________________________________________________________

COWA – OCW2 PROBES (CATI)

(1) COWA PROBES (CATI)

The first question I asked in this series was about the type of business and the type of work that you (do/did). I asked you to pick the category that best describes who you (work/worked) for. 1) Please tell me in your own words what you think this question was asking. 2) Did you have any difficulty answering this question? Please explain.

______________________________________________________________________________________

IF NOT MENTIONED: “What do you think they mean by “the type of business you (work/worked) for”?

______________________________________________________________________________________

Was that phrase easy or difficult for you to understand? IF YES: Why was it difficult? Is there a different way you might say that?

______________________________________________________________________________________

IF NOT MENTIONED: What do you think they mean by “the type of work that you (do/did)”?

______________________________________________________________________________________

Was that phrase easy or difficult for you to understand? IF R SAYS DIFFICULT ASK: Why was it difficult? Is there a different way you might say that?

______________________________________________________________________________________

Then I read to you 5 different categories and asked you to pick the one that best describes who you [work/worked] for: “a private organization or company, government, the US Armed Forces (active duty), self-employed, or working without pay in a family business.”

You answered [ANSWER FROM PAGE 16]. How sure are you of your answer? IF R NOT SURE: Why are you not sure?

______________________________________________________________________________________

The first category I read to you was “Private organization or company.” 1) What do you think they mean by that? 2) Can you give me an example of this type of company? 3) Was this term easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

The second category I read to you was: “Government.” 1) What do you think they mean by that? 2) Was this term easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

The third option on the list I read was “US Armed Forces (active duty).” 1) What do you think they mean by “active duty”? 2) Was this easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

________________________________________________________________________________________

The next option, #4, was: “Self-employed.” 1) What do you think they mean by that? 2) Can you give me an example of this type of company? 3) Was this term easy or difficult to understand? Why/why not?

________________________________________________________________________________________

The last option I read to you was “Working without pay in a family business.” 1) In your own words, what does this mean to you? 2) Was this term easy or difficult to understand? Why/why not? 3) Is there a different way you might say this?

________________________________________________________________________________________

(2) COWB PROBES (CATI)

When people say they work or worked for a “Private organization or company,” they are asked if it is or was a “non-profit organization” or “a for profit company.”

1) What do you think they mean by “non-profit organization”? 2) Can you give me an example of this type of company? 3) Was this term easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

1) What do you think they mean by “a for profit company”? 2) Can you give me an example of this type of company? 3) Was this term easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

(3) COWC PROBES (CATI)

When people say they work for the “Government,” they are asked if it is or was for “Local, State, or the Federal Government.” 1) In your own words, please tell what do think the differences are among these terms? 2) Is there a different way you might say any of these?

_______________________________________________________________________________________

(4) COWD PROBES (CATI)

When people say they are/were “Self-employed,” they are asked if this self-employment is/was “incorporated” or “not incorporated.”

1) What do you think they mean by “incorporated self-employment”? 2) Can you give me an example of this type of company? 3) Was this term easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

1) What do you think they mean by “not-incorporated self-employment”? 2) Can you give me an example of this type of company? 3) Was this term easy or difficult to understand? Why/why not?

_______________________________________________________________________________________

(5) INMIL PROBES (CATI)

Do you understand these terms?

_______________________________________________________________________________________

IF ANY TERM IS NOT UNDERSTOOD, PROBE ON SPECIFIC TERM AS NECESSARY.

_______________________________________________________________________________________

(7) INW3 (CATI)

When people say they have/had a job, they are asked “What kind of business or industry is/was this?”

What do you think this question is asking?

_______________________________________________________________________________________

IF NOT MENTIONED: What do you think they mean by “business or industry” in this question?

_______________________________________________________________________________________

(8) INX4 PROBES (CATI)

In your own words, please tell what do these terms mean to you?

Manufacturing: _________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

Wholesale trade: ________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

Retail trade: ____________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

(9) OCW1 & (10) OCW2 PROBES (CATI)

People who have/had a job are also asked “What kind of work they are/were doing at this job” and then we ask them “What are/were their most important activities or duties.”

What do you think they mean by “What kind of work they are/were doing at this job”?

________________________________________________________________________________________

IF R MENTIONS ACTIVITIES RATHER THAN A JOB TITLE SAY: For people who are not sure what this question means, a list of examples is provided to them: “For example: registered nurse, personnel manager, supervisor of order department, secretary, accountant.” Does this list help clarify what the question is looking for? Please explain.

________________________________________________________________________________________

Another question they ask if “What are/were your most important activities or duties.” Was this different from the prior question “What kind of work are/were you doing at this job”? Please explain.

________________________________________________________________________________________

INCOME QUESTIONS (PART I) (CAPI/CATI)

Now I have another series of questions.

(1) WAGX

The next few questions are about income DURING THE PAST 12 MONTHS…

Did you receive any wages, salary, tips, bonuses or commissions?

 Yes

 No GO TO (3) SEMX

(2) WAG

How much did you] receive?

(Report amount from all jobs before any deductions for taxes, bonds or other items.)

$__________.00 [INTERVIEWER: WRITE AMOUNT ON SEPARATE WORKSHEET]

(3) SEMX

Did you receive any self-employment income DURING THE PAST 12 MONTHS?

(Report income from own businesses [farm or non-farm] including proprietorships and partnerships.)

 Yes

 No GO TO (5) INTRX

(4) SEM

What was the amount?

(Report net income after operating expenses. Include earnings as a tenant farmer or sharecropper.)

NOTE: IF NET INCOME WAS A LOSS PRECEDE AMOUNT WITH A '-'. BREAKEVEN = 1.

$__________.00 [INTERVIEWER: WRITE AMOUNT ON SEPARATE WORKSHEET]

(5) INTRX (CAPI)

(The next few questions are about income during the PAST 12 MONTHS…)

Did you receive any interest, dividends, net rental income, royalty income, or income from estates and trusts?

Report even small amounts credited to an account.

 Yes

 No  GO TO PROBES

(5) INTRX (CATI)

Did you receive any interest, dividends, net rental income, royalty income, or income from estates and trusts DURING THE PAST 12 MONTHS?

Report even small amounts credited to an account.

 Yes

 No  GO TO PROBES

(6) INTR

What was the amount received?

NOTE: IF INCOME WAS A LOSS, PRECEDE AMOUNT WITH A '-'. BREAKEVEN = 1.

$__________.00 [INTERVIEWER: WRITE AMOUNT ON SEPARATE WORKSHEET]

INCOME (1) PROBES

(1) WAGX PROBES

The first question in this series was “The next few questions are about income DURING THE PAST 12 MONTHS… Did you receive any wages, salary, tips, bonuses or commissions”? 1) What do you think this question was asking? 2) Was it difficult to answer? Why/why not?

_________________________________________________________________________________________

What does the term “tips” mean to you in this question? IF R UNDERSTANDS SAY: Is there a different way you might say this?

________________________________________________________________________________________

What does the term “bonuses” mean to you in this question? IF R UNDERSTANDS SAY: Is there a different way you might say this?

________________________________________________________________________________________

What does the term “commissions” mean to you in this question? IF R UNDERSTANDS SAY: Is there a different way you might say this?

________________________________________________________________________________________

This question referred to income received “during the past 12 months.” Please tell me what you think this specific period would be – that is, from what month and year to what month and year?

________________________________________________________________________________________

(2) WAG PROBES

[IF WAG WAS ASKED ON PAGE 24] When I asked you “How much did you receive?” you said [ANSWER TO WAG ON PAGE 24]. What were you thinking about when you decided on your answer?

2) Were you sure about what to include? IF NOT SURE ASK: Why not?

_______________________________________________________________________________________

[ASK OF EVERYONE] When people are asked how much they received as income during the past 12 months, the following statement is read to them when they are not sure about what to report: “Report amount from all jobs before any deductions for taxes, bonds or other items." 1) In your own words, what do you think this statement is saying? 2) IF NOT MENTIONED ASK: What does the term “before any deductions for taxes, bonds or other items" mean to you in this statement? 3) Do you think think this statement would help people clarify the question about what they should report as income? Why or Why not?

________________________________________________________________________________________

(3) SEMX PROBES

The next question I asked you was “Did you receive any self-employment income DURING THE PAST 12 MONTHS?” 1) What do you think this question was asking? 2) Was it easy or difficult to understand? 3) IF R SAYS DIFFICULT ASK: Why was it difficult?

________________________________________________________________________________________

We also read the following statement when asking people if they received any self-employment income during the past 12 months: “Report income from own businesses [farm or non-farm] including proprietorships and partnerships" 1) What do you think this statement is saying? 2) IF NOT MENTIONED ASK: What do you think they mean by “proprietorships and partnerships”? 3) Do you think that statement would help people clarify the question?

_______________________________________________________________________________________

(4) SEM PROBES

[IF SEM WAS ASKED ON PAGE 24] When I asked you “What was the amount?” you said [ANSWER TO SEM ON PAGE 24]. What were you thinking about when you decided on your answer? 2) Were you sure about what to include? IF NOT SURE ASK: Why not?

_______________________________________________________________________________________

[ASK OF EVERYONE] When people report receiving any self-employment income, we also read the following statement when they are not sure about what to report: “Report net income after operating expenses. Include earnings as a tenant farmer or sharecropper." 1) In your own words, what do you think this statement is saying? 2) IF NOT MENTIONED ASK: What does the term “net income after operating expenses" mean to you in this statement? 3) And what do you think they mean by “Include earnings as a tenant farmer or sharecropper"? Do you think think this statement would help people clarify the question about what they should report as income? Why or Why not?

________________________________________________________________________________________

(5) INTRX PROBES

CAPI

You were also asked the following:

(The next few questions are about income during the PAST 12 MONTHS…) Did you receive any interest, dividends, net rental income, royalty income, or income from estates and trusts? Report even small amounts credited to an account.

1) What do you think this question was asking? 2) Is it easy or difficult to understand? IF R SAYS DIFFICULT ASK: Why?

CATI

You were also asked the following:

Did you receive any interest, dividends, net rental income, royalty income, or income from estates and trusts DURING THE PAST 12 MONTHS?

Report even small amounts credited to an account.

1) What do you think this question was asking? 2) Is it easy or difficult to understand? IF R SAYS DIFFICULT ASK: Why?

_______________________________________________________________________________________

[IF NOT ALREADY MENTIONED ASK] What do the following terms mean to you?

Interest: _______________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

Dividends: _____________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

Net rental income: ______________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? __________________________________

Royalty income: ________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ___________________________________

Income from estate and trusts: ____________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? __________________________________

The question also says: “Report even small amounts credited to an account?” 1) What do you think they mean by this? 2) What would this include?

_________________________________________________________________________________________

INCOME QUESTIONS (PART II) (CAPI/CATI)

Now I have the last series of questions.

(1) SSX

Did you receive any Social Security or Railroad Retirement benefits DURING THE PAST 12 MONTHS?"

 Yes

 No  GO TO (3) SSIX

(2) SS

What was the amount?

$__________.00 [INTERVIEWER: WRITE AMOUNT ON SEPARATE WORKSHEET]

(3) SSIX

Did you receive any Supplemental Security Income (SSI) payments DURING THE PAST 12 MONTHS?"

 Yes

 No  GO TO (5) PAX

(4) SSI

What was the amount?

$__________.00 [INTERVIEWER: WRITE AMOUNT ON SEPARATE WORKSHEET]

(5) PAX

Did you receive any public assistance or public welfare payments from the state or local welfare office DURING THE PAST 12 MONTHS?

 Yes

 No  GO TO (7) RETX

(6) PA

What was the amount?

(Do not include SSI.)

$__________.00 [INTERVIEWER: WRITE AMOUNT ON SEPARATE WORKSHEET]

(7) RETX

Did you receive any retirement, survivor, or disability pensions DURING THE PAST 12 MONTHS?

 Yes

 No  GO TO (9) OIX

(8) RET

What was the amount?

(Do not include Social Security.)

$__________.00

(9) OIX

Did you receive income on a REGULAR basis from any other sources such as Veteran's Administration (VA) payments, unemployment compensation, child support or alimony DURING THE PAST 12 MONTHS?

 Yes

 No  GO TO (11) TICALC

(10) OI

What was the amount from all sources?

(Do not include lump sum payments such as money from an inheritance or sale of a home.)

$__________.00

(11) TICALC

[INTERVIEWER: USE WORKSHEET WHEN ASKING THIS QUESTION. DK/RE FOR ANY SOURCE, ASSUME $0 FOR THAT SOURCE.]

IF TOTAL > $0: According to my calculations you have received $ <sum of WAG, SEM, INTR, SS, SSI, PA, RET, OI> from all income sources.

IF TOTAL = $0: I have recorded that you received no income over the PAST 12 MONTHS. Is this correct?

 Yes

 No $_____________.00

INCOME (II) PROBES

(1) SSX PROBES

The first question I asked you was: “Did you receive any Social Security or Railroad Retirement benefits DURING THE PAST 12 MONTHS?” 1) What did you think this question was asking? 2) Was this question easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

[IF NOT ALREADY MENTIONED] Please tell me what you think the following terms mean:

Social Security benefits: ___________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

Railroad Retirement benefits: ______________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

(2) SS PROBE

[IF SS WAS ASKED (PAGE 30)] You answered the amount you received for any Social Security or Railroad Retirement benefits was [ANSWER]. What exactly did you include?

_______________________________________________________________________________________

_______________________________________________________________________________________

________________________________________________________________________________________

(3) SSIX PROBES

The next question I asked you was “Did you receive any Supplemental Security Income (SSI) payments DURING THE PAST 12 MONTHS?” 1) What did you think this question was asking? 2) Was this question easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

[IF NOT ALREADY MENTIONED] Please tell me what you think the following terms mean:

Supplemental Security Income (SSI) payments: _______________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

(4) SSI PROBE

[IF SSI WAS ASKED (PAGE 30)] You answered the amount you received for Supplemental Security Income (SSI) payments was [ANSWER]. What exactly did you include?

_______________________________________________________________________________________

_______________________________________________________________________________________

________________________________________________________________________________________

(5) PAX PROBES

The next question I asked you was “Did you receive any public assistance or public welfare payments from the state or local welfare office DURING THE PAST 12 MONTHS?” 1) What did you think this question was asking? 2) Was this question easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

[IF NOT ALREADY MENTIONED] Please tell me what you think the following meant by “any public assistance or public welfare payments.” IF UNDERSTOOD ASK: Is there a different way you might say that?

_________________________________________________________________________________________

_________________________________________________________________________________________

(6) PA PROBE

[IF PA WAS ASKED (PAGE 30)] You answered the amount you received for public assistance or public welfare payment was [ANSWER]. What exactly did you include?

_______________________________________________________________________________________

_______________________________________________________________________________________

________________________________________________________________________________________

(7) RETX PROBES

The following question I asked you was: “Did you receive any retirement, survivor, or disability pensions DURING THE PAST 12 MONTHS?” 1) What did you think this question was asking? 2) Was this question easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

[IF NOT ALREADY MENTIONED] Please tell me what you think the following terms mean:

Retirement pension:_______________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

Survivor pensions: ________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

Disability pensions: _______________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

(8) RET PROBE

[IF RET WAS ASKED (PAGE 31)] You answered the amount you received for retirement, survivor, or disability pensions was [ANSWER]. What exactly did you include?

_______________________________________________________________________________________

_______________________________________________________________________________________

(9) OIX PROBES

Another question was: “Did you receive income on a REGULAR basis from any other sources such as Veteran’s Administration (VA) payments, unemployment compensation, child support or alimony DURING THE PAST 12 MONTHS?” 1) What did you think this question was asking? 2) Was this question easy or difficult to understand? Why/why not?

_________________________________________________________________________________________

[IF NOT ALREADY MENTIONED] Please tell me what you think the following terms mean:

Veteran’s Administration (VA) payments:____________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

Unemployment compensation:_______________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

Child support: ____________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

Alimony: ________________________________________________________________________________

IF UNDERSTOOD: Is there a different way you might say that? ____________________________________

(10) OI PROBE

[IF OI WAS ASKED (PAGE 31)] I also asked you “What was the amount from all sources.” You answered the amount was [ANSWER]. What exactly did you include?

_______________________________________________________________________________________

_______________________________________________________________________________________

________________________________________________________________________________________

[ASK OF EVERYONE)] When people mention the amount they have received from all sources, a statement is also read to them as an additional explanation: “Do not include lump sum payment such as money from an inheritance or sale of a home.” 1) In your own words, what do you think this statement is saying? 2) Do you think think the statement would help people clarify the question about what they should report as income? Why or Why not?

_______________________________________________________________________________________

IF NOT MENTIONED ABOVE ASK: 1) What does the term “lump sum payment" mean to you in this statement? 2) What does “inheritance" mean to you ? 3) Is there a different way you might say these terms?

_______________________________________________________________________________________

(11) TICALC PROBE

The last question I asked you was ("According to my calculations you have received $ <sum of WAG, SEM, INTR, SS, SSI, PA, RET, OI> from all income sources.” OR “I have recorded that you received no income over the PAST 12 MONTHS.”)

Did you find this question helpful to confirm that you included all the sources of income? Why/why not?

_______________________________________________________________________________________

(12) TI PROBE

Now I will read another question that is sometimes asked in this series. “What was your TOTAL income during the PAST 12 MONTHS?”

What do you think this question was asking? 2) Do you think it would be easy or difficult to answer? Why/why not?

_______________________________________________________________________________________

(13) TIEST PROBE

Another question that we ask some people if they are not sure about all sources of income is: “What is your best estimate of the total income you have received from all sources OVER THE PAST 12 MONTHS?”

What do you think this question was asking? 2) Do you think it would be easy or difficult to answer? Why/why not?

_______________________________________________________________________________________

Section III. Conclusion

These are all my questions. Thank you very much for your opinions.

Do you have any overall opinions about the questions?

________________________________________________________________________

Do you have any other comments or concerns?

________________________________________________________________________

After hearing all of my questions, do you have any questions for me?

________________________________________________________________________

I want to thank you very much for your participation. I will now give you $40 and I will ask you to sign a receipt form verifying that you received the money.

INTERVIEWER:

TURN OFF THE TAPE RECORDER.
HAND THE CASH INCENTIVE TO THE PARTICIPANT.
BE SURE TO TAKE SIGNED CONSENT AND INCENTIVE RECEIPT

 End Time: ____________ AM / PM

RTI Project 0209182.018.001.001.004

File Type	application/msword
File Title	Cognitive Interview Protocol Guide
Author	RTI Staff
Last Modified By	demai001
File Modified	2010-07-06
File Created	2010-07-06