Privacy Threshold Analysis (PTA)

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

PRIVACY THRESHOLD ANALYSIS (PTA)
This form serves as the official determination by the DHS Privacy Office to
identify the privacy compliance requirements for all Departmental uses of
personally identifiable information (PII).
A Privacy Threshold Analysis (PTA) serves as the document used to identify
information technology (IT) systems, information collections/forms, technologies,
rulemakings, programs, information sharing arrangements, or pilot projects that involve
PII and other activities that otherwise impact the privacy of individuals as determined by
the Chief Privacy Officer, pursuant to Section 222 of the Homeland Security Act, and to
assess whether there is a need for additional Privacy Compliance Documentation. A PTA
includes a general description of the IT system, information collection, form, technology,
rulemaking, program, pilot project, information sharing arrangement, or other Department
activity and describes what PII is collected (and from whom) and how that information is
used and managed.
Please complete the attached Privacy Threshold Analysis and submit it to your
component Privacy Office. After review by your component Privacy Officer the PTA is sent
to the Department’s Senior Director for Privacy Compliance for action. If you do not have a
component Privacy Office, please send the PTA to the DHS Privacy Office:
Senior Director, Privacy Compliance
The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
Tel: 202-343-1717
PIA@hq.dhs.gov
Upon receipt from your component Privacy Office, the DHS Privacy Office will review this
form and assess whether any privacy compliance documentation is required. If compliance
documentation is required – such as Privacy Impact Assessment (PIA), System of Records
Notice (SORN), Privacy Act Statement, or Computer Matching Agreement (CMA) – the DHS
Privacy Office or component Privacy Office will send you a copy of the relevant compliance
template to complete and return.

Privacy Threshold Analysis – IC/Form

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis (PTA)

Specialized Template for
Information Collections (IC) and Forms
The Forms-PTA is a specialized template for Information Collections and Forms. This
specialized PTA must accompany all Information Collections submitted as part of the
Paperwork Reduction Act process (any instrument for collection (form, survey,
questionnaire, etc.) from ten or more members of the public). Components may use this PTA
to assess internal, component-specific forms as well.
Form Number:
Form Title:
Component:

Federal Emergency
Management Agency
(FEMA)

Office:

IF COVERED BY THE PAPERWORK REDUCTION ACT:
Collection Title:
Click here to enter a
OMB Control
1660-0139
OMB Expiration
date.
Number:
Date:
Collection status:
Revision
Date of last PTA (if
January 22, 2015
applicable):

Name:
Office:
Phone:

Name:
Office:
Phone:

PROJECT OR PROGRAM MANAGER
Aretha Carter
Office of External Affairs
Title:
External Affairs Specialist
202-646-2643
Email:
aretha.carter.fema.dhs.gov
COMPONENT INFORMATION COLLECTION/FORMS CONTACT
Millicent Brown
Records Management
Title:
Government Information
Branch
Specialist
202-646-2814
Email:
millicent.brown.fema.dhs.gov

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

SPECIFIC IC/Forms PTA QUESTIONS
1. Purpose of the Information Collection or Form
a. Describe the purpose of the information collection or form. Please provide a
general description of the project and its purpose, including how it supports the DHS
mission, in a way a non-technical person could understand (you may use
information from the Supporting Statement).
If this is an updated PTA, please specifically describe what changes or upgrades are
triggering the update to this PTA.
The Federal Emergency Management Agency (FEMA) Office of External Affairs (OEA)
conducts focus groups on behalf of the Ready Communications campaign. These focus
groups test various creative communication concepts to see which ones resonate with
consumers and are most effective.
FEMA works with a contractor to implement the research with a third party research
vendor. FEMA’s contractor (The Ad Council) will hire a professional focus group facility
to recruit and manage the actual focus groups. The professional focus groups facility will
use its own existing database of potential participants to complete the focus groups.
Potential participants are screened using a set of pre-screening questions provided by
FEMA. Those questions ask for basic demographic information including the
respondent’s First Name (see appendix A for full screener).
Applicants who are chosen to be a part of the focus groups will be invited to a facility
provided by the professional focus group. During the focus group, individuals will be
asked questions regarding various communications produced by FEMA (television/radio
ads, banners, internet ads, etc.). The full discussion guide is provided in appendix B.

After the focus group has been completed, the professional focus group will compile the
data into a management report that is forwarded to FEMA for analysis. This report
provides an aggregate snapshot of respondent’s responses concerning each of
communications types. This snapshot allows FEMA to determine the most effective
means of communication for future campaigns.
No raw data or PII from the initial screening or the focus group is returned to FEMA.
FEMA receives a summary data report only.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

b. List the DHS (or component) authorities to collect, store, and use this information.
If this information will be stored and used by a specific DHS component, list the
component-specific authorities.
Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93-288)

2. Describe the IC/Form
a. Does this form collect any
Personally Identifiable
Information” (PII1)?

b. From which type(s) of
individuals does this form
collect information?
(Check all that apply.)

c. Who will complete and
submit this form? (Check
all that apply.)

☐ Yes
☒ No
The individual’s first name is collected by the
professional focus group during the demographic
screening, however it is not ever provided to
FEMA.
☒ Members of the public
☒ U.S. citizens or lawful permanent
residents
☒ Non-U.S. Persons.
☐ DHS Employees
☐ DHS Contractors
☐ Other federal employees or contractors.
☐ The record subject of the form (e.g., the
individual applicant).
☐ Legal Representative (preparer, attorney,
etc.).
☐ Business entity.
If a business entity, is the only
information collected business contact
information?
☐ Yes
☐ No
☐ Law enforcement.
☒ DHS employee or contractor.

1

Personally identifiable information means any information that permits the identity of an individual to be directly or indirectly inferred, including
any other information which is linked or linkable to that individual regardless of whether the individual is a U.S. citizen, lawful permanent resident,
visitor to the U.S., or employee or contractor to the Department.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

☐ Other individual/entity/organization that is
NOT the record subject. Please describe.
Click here to enter text.
d. How do individuals
complete the form? Check
all that apply.

☐ Paper.
☒ Electronic. (ex: fillable PDF)
☐ Online web form. (available and submitted via
the internet)
Provide link:

e. What information will DHS collect on the form? List all PII data elements on the
form. If the form will collect information from more than one type of individual,
please break down list of data elements collected by type of individual.
During the screening process the contractor will collect: First Name, age, gender, number
of children, household composition and marital status.
None of this information will be passed to FEMA in raw data format. Only a summary
report will be provided to FEMA.
f. Does this form collect Social Security number (SSN) or other element that is
stand-alone Sensitive Personally Identifiable Information (SPII)? Check all that
apply.
☐ Social Security number
☐ Alien Number (A-Number)
☐ Tax Identification Number
☐ Visa Number
☐ Passport Number
☐ Bank Account, Credit Card, or other
financial account number
☐ Other. Please list:

☐ DHS Electronic Data Interchange
Personal Identifier (EDIPI)
☐ Social Media Handle/ID
☐ Known Traveler Number
☐ Trusted Traveler Number (Global
Entry, Pre-Check, etc.)
☐ Driver’s License Number
☐ Biometrics

g. List the specific authority to collect SSN or these other SPII elements.
Not Applicable – No SPII collected

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

h. How will this information be used? What is the purpose of the collection?
Describe why this collection of SPII is the minimum amount of information
necessary to accomplish the purpose of the program.
Not Applicable – No SPII collected

i.

Are individuals
provided notice at the
time of collection by
DHS (Does the records
subject have notice of
the collection or is
form filled out by
third party)?

☐ Yes. Please describe how notice is provided.
Click here to enter text.
☒ No.

3. How will DHS store the IC/form responses?
a. How will DHS store
☐ Paper. Please describe.
the original,
Click here to enter text.
completed IC/forms?
☒ Electronic. Please describe the IT system that will
store the data from the form.
The summary reports will be stored within the
OEA shared drives.
☐ Scanned forms (completed forms are scanned into
an electronic repository). Please describe the
electronic repository.
b. If electronic, how
does DHS input the
responses into the IT
system?

Privacy Threshold Analysis – IC/Form

☒ Manually (data elements manually entered). Please
describe.
Responses are maintained in the summary report
which is saved onto OEA shared drive by program
manager.
☐ Automatically. Please describe.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

c. How would a user
search the
information
submitted on the
forms, i.e., how is the
information
retrieved?

☐ By a unique identifier.2 Please describe. If
information is retrieved by personal identifier, please
submit a Privacy Act Statement with this PTA.
Click here to enter text.
☒ By a non-personal identifier. Please describe.
No user information can be searched. Only
summary data is provided to FEMA.
EDP-12-1 - Ad Hoc Reports
TEMPORARY. Destroy when business use ceases.

d. What is the records
retention
schedule(s)? Include
the records schedule
number.
e. How do you ensure
OEA ensures records are disposed of or deleted after
that records are
each campaign is ended.
disposed of or deleted
in accordance with
the retention
schedule?
f. Is any of this information shared outside of the original program/office? If yes,
describe where (other offices or DHS components or external entities) and why.
What are the authorities of the receiving party?
☐ Yes, information is shared with other DHS components or offices. Please describe.
Click here to enter text.

☐ Yes, information is shared external to DHS with other federal agencies, state/local
partners, international partners, or non-governmental entities. Please describe.
Click here to enter text.
☒ No. Information on this form is not shared outside of the collecting office.

2

Generally, a unique identifier is considered any type of “personally identifiable information,” meaning any information that permits the identity
of an individual to be directly or indirectly inferred, including any other information which is linked or linkable to that individual regardless of
whether the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or contractor to the Department.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

Please include a copy of the referenced form and Privacy Act Statement (if
applicable) with this PTA upon submission.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

PRIVACY THRESHOLD REVIEW
(TO BE COMPLETED BY COMPONENT PRIVACY OFFICE)
Component Privacy Office Reviewer:

Brian D. Tjarks

Date submitted to component Privacy
Office:
Date submitted to DHS Privacy Office:

December 19, 2017

Have you approved a Privacy Act
Statement for this form? (Only
applicable if you have received a
waiver from the DHS Chief Privacy
Officer to approve component Privacy
Act Statements.)

Click here to enter a date.
☐ Yes. Please include it with this PTA
submission.
☒ No. Please describe why not.
No PII is collected by FEMA during this
process

Component Privacy Office Recommendation:
Please include recommendation below, including what existing privacy compliance
documentation is available or new privacy compliance documentation is needed.
This PTA documents the process FEMA uses to conduct focus groups for media
feedback. Only the first name of respondents is collected during the screening
process, and names are not passed to FEMA.
FEMA Recommends:
No PII is collected, stored or retrieved by FEMA. This process is not privacy sensitive
and does not require PIA or SORN coverage.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

PRIVACY THRESHOLD ADJUDICATION
(TO BE COMPLETED BY THE DHS PRIVACY OFFICE)
DHS Privacy Office Reviewer:

Hannah Burgess

PCTS Workflow Number:
Date approved by DHS Privacy Office:
PTA Expiration Date

1155518
January 16, 2018
January 16, 2021

DESIGNATION
Privacy Sensitive IC or
Form:

No If “no” PTA adjudication is complete.

Determination:

☒ PTA sufficient at this time.
☐ Privacy compliance documentation determination in
progress.
☐ New information sharing arrangement is required.
☐ DHS Policy for Computer-Readable Extracts Containing SPII
applies.
☐ Privacy Act Statement required.
☐ Privacy Impact Assessment (PIA) required.
☐ System of Records Notice (SORN) required.
☐ Specialized training required.
☐ Other. Click here to enter text.

DHS IC/Forms Review:

Choose an item.

Date IC/Form Approved Click here to enter a date.
by PRIV:
IC/Form PCTS Number: Click here to enter text.
Privacy Act
Choose an item.
Statement:
Click here to enter text.
PTA:
Choose an item.
Click here to enter text.
PIA:
Choose an item.
If covered by existing PIA, please list: Click here to enter text.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

If a PIA update is required, please list: Click here to enter text.
SORN:
Choose an item.
If covered by existing SORN, please list: Click here to enter text.
If a SORN update is required, please list: Click here to enter text.
DHS Privacy Office Comments:
Please describe rationale for privacy compliance determination above.
FEMA is submitting this PTA to discuss the Ready Communications campaign focus
group screening and discussion surveys (FEMA Form 008-0-21 and 008-0-22,
respectively), which are part of OMB collection 1660-0139. FEMA’s Ready
Communications campaign works with focus groups to test various communication
concepts to see which ones resonate with the public and are most effective.
FEMA uses a contractor to conduct research with a third party focus group facility.
The focus group facility draws on its own database of potential participants to
conduct the initial screening, using questions provided by FEMA. Individuals who
are chosen to be part of the focus group discussion participate in a discussion using
FEMA-provided questions about various methods of communication and emergency
preparedness.
Following the discussion, the professional focus group compiles the data into a
summary report that is sent to FEMA. The report summarizes key themes from the
group discussion, and does not include any raw data or PII from the initial screening
or the focus group. No information other than the summary report is sent to FEMA.
The DHS Privacy Office agrees that this collection is non privacy sensitive, and does
not require PIA or SORN coverage. No Privacy Notice is required; nevertheless PRIV
recommends that the initial screening questionnaire and discussion questions
include some sort of statement so that participants are aware of the purpose of
collecting their responses and how the responses will be used.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

APPENDIX A – SCREENER QUESTIONS
Sample Recruiting Specifications:
·
Parents/Guardians with school-age children (ages 6-17) in the home
·
25-54 years old
·
Live in area at-risk for natural disaster or other emergency
·
Mix of gender
·
Mix of race/ethnicity to reflect market, household income, and age across groups
·
Does not work in following industries: marketing, advertising, or emergency/first responder (fire fighter,
EMT, etc)
·
Has not participated in market research study in past 6 months
·
Have not created and discussed a specific `meeting' plan for family
Spanish language respondents should be dominant Spanish speakers who consume most media in Spanish Must be
comfortable (and articulate) sharing his/her opinion

Screener phone script
[ASK TO SPEAK TO SOMEONE 18 YEARS OR OLDER LIVING IN THE HOUSEHOLD]
Introduction
Hello, my name is (insert name) calling from (insert name), an independent marketing research firm. We are
interested in talking to individuals living in your area to gather insights to help the U.S. government better
understand how to best communicate about readiness for disasters. We are looking for individuals to participate in
research and share their opinions. Please be assured that we are not selling anything and that the information will
remain confidential and used for research purposes. Also, if you qualify, you will be eligible to participate in a
research project for which you will be paid $75 for your time.
[Interviewer note: if necessary, read:] Public reporting burden for this form is estimated to average 8 minutes
per response. This collection of information is voluntary. You are not required to respond to this collection of
information unless a valid OMB control number is provided.

To see if you qualify for the study, I need to ask you some preliminary questions. Would you be
interested? 01 Yes (CONTINUE)
02 No (THANK AND TERMINATE)
2.
01
02

RECORD GENDER (CODE, DO NOT ASK):
Male
(RECRUIT MIX FOR ALL INTERVIEWS/GROUPS)
Female (RECRUIT MIX FOR ALL INTERVIEWS/GROUPS)

3.
02
03
04

Which of the following groups does your age fall into? 01
25-34
(RECRUIT A MIX FOR ALL INTERVIEWS/GROUPS)
35-54
(RECRUIT A MIX FOR ALL INTERVIEWS/GROUPS)
55+ (TERMINATE)

4.
01
03
04

Would you say your race is?
American Indian or Alaskan Native 02 Asian
Black or African American
Native Hawaiian or Other Pacific Islander 05

18-24

(TERMINATE)

White

(RECRUIT A MIX)
5.

Would you say your ethnicity is? 01

Privacy Threshold Analysis – IC/Form

Hispanic or Latino

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

02

Not Hispanic or Latino

(RECRUIT A MIX; IF ANSWER YES TO 01-HISPANIC OR LATINO, ASK Q6. OTHERWISE PROCEED TO Q12.)
6.
At home, in general, would you say you personally speak… (READ LIST)
01 English all the time (TERMINATE for Spanish groups but may still qualify for General Market Groups;
Skip to Q11.) 02 English more than Spanish(TERMINATE for Spanish groups but may still qualify for
General Market Groups; Skip to Q11.) 03 English as much as Spanish
04
Spanish more than English 05 Spanish all the time
(RESPONDENTS MUST SPEAK SPANISH ONLY OR SPANISH MORE THAN ENGLISH OR ENGLISH AS MUCH AS
SPANISH IN THE HOME FOR THE SPANISH-SPEAKING HISPANIC GROUPS.)
7.
In a typical week, how many hours approximately do you watch or listen to Spanish- language
television or radio or internet
(RECORD NUMBER OF HOURS PER RESPONSE CATEGORY)
01
Spanish-language television
(# hrs.
) 02 Spanish-language radio (# hrs.
) 03
Spanish-language internet
(# hrs. )
Total # of hours
(RESPONDENTS MUST CONSUME AT LEAST 15 HOURS OF SPANISH-LANGUAGE MEDIA PER WEEK, 10 OF
WHICH MUST BE TELEVISION)
8.
Were you born in the United States or outside the United States? 01
02
Outside the U.S.
(NO MORE THAN 1 US-BORN PER MARKET, IF US- BORN SKIP TO Q.11)

In the U.S.

9.
How long have you lived in the U.S.? LIST EXACT # OF YEARS
(TERMINATE) 02 1 to 4 years
03
5 to 9 years
04
10 years or more

Less than a year

01

(MUST HAVE AT LEAST 1 YEAR LIVING IN THE US PERMANENTLY TO ENSURE NON-TRANSIENT STATUS.
RECRUIT A MIX OF YEARS IN THE COUNTRY.)
10.

Of what Hispanic origin are you?

NORTEAMÉRICA (NORTH AMERICA) 01
02
México

EE.UU. (USA)

CENTROAMÉRICA (CENTRAL AMERICA)
03
Guatemala
04
El Salvador
05
Honduras
06
Panamá
07
Costa Rica
08
Nicaragua
SUDAMÉRICA (SOUTH AMERICA)
09
Colombia
10
Ecuador
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

11
12
13
14
15
16
17

Venezuela
Perú
Paraguay
Bolivia
Uruguay
Argentina
Chile

EL CARIBE (CARIBBEAN)
18
Puerto Rico
19
República Dominicana
20
Cuba
21
Other [SPECIFY: ]
(RECRUIT MIX OF COUNTRY OF ORIGIN BASED ON MARKET COMPOSITION)
11.
Do you or does anyone in your household work in any of the following industries? Please say yes
or no to each. 01 Advertising or PR agency
(TERMINATE)
02
Accounting
(CONTINUE)
03
Banking (CONTINUE)
04
Doctor's office, hospital, clinic or healthcare company (CONTINUE) 05 Emergency first
responder (police, firefighter, EMT, etc.)
(TERMINATE) 06 Emergency Management or Homeland
Security agency (TERMINATE) 07 Market Research/Marketing Consulting
(TERMINATE)
(IF ANSWERS YES TO 01, 05, 06, OR 07 IN Q11, TERMINATE)

12.
Have you ever participated in a market research project such as a focus group, interview, or
online study, and, if so, how long ago was your most recent participation?
(TERMINATE IF LESS THAN 6 MONTHS)
12b. (Only for those that said “yes” in Q12). What was the subject you were discussing?
(TERMINATE FOR ANY SUBJECTS RELATED TO EMERGENCY AWARENESS/PREPAREDNESS)
13.
Please answer whether each of the following individuals reside in your household? 01 Spouse or
significant other
02
Adult child (18 years+)
03
Child under age 18
(MUST SELECT TO CONTINUE)
04
Parent
05
Grandparent
06
Other adult relative
(MUST HAVE CHILD LESS THAN AGE 18 IN HH TO CONTINUE)
14.
What are the ages of the children that currently live with you?
(CHECK APPROPRIATE AGE RANGES BASED ON RESPONSE)

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

01
02
03
04

0-5 years
6-12 years
13-17 years
No child in HH

(TERMINATE)
(CONTINUE)
(CONTINUE)
(TERMINATE)

(MUST HAVE AT LEAST ONE CHILD AGE 6-17 IN HH TO CONTINUE)
15.
Do you have the following relationship to any of the children under age 18 living in your
household? 01 Parent
02
Step-parent
03
Guardian
04
Grandparent
(MUST ANSWER YES TO AT LEAST ONE RESPONSE CATEGORY TO CONTINUE)
16.
02
03
05
06

Which of the following best describes your current marital status? 01 Single
Married
Living with Partner 04 Divorced
Separated
Widowed

(AIM FOR SOME SINGLE/ DIVORCED/ SEPARATED /WIDOWED)
17.
01
02
04
05

Which of the following best describes your employment status? (READ LIST.)
Work Full-time
Work Part-time (30 hours or less/week) 03 Stay at home parent
Retired
Currently unemployed (RECRUIT MAXIMUM OF 2 PER MARKET)

18.
Which of the following best describes your total annual household income? (Allow only one
answer)
01
Less than $20,000
(TERMINATE)
02
At least $20,000 but under $30,000 03 At least $30,000 but under $40,000 04 At least $40,000
but under $50,000 05 At least $50,000 but under $100,000 06 Over $100,000
(RECRUIT A MIX OF $20K-50K AND $50K+
19.
01 Less
03
04
06
07

What was the last grade of school you completed? (DO NOT READ LIST. RECORD ONE RESPONSE)
than 12th grade (no diploma) 02 High School Graduate/GED
Some college but no degree
Associate Degree/Trade or Technical School 05 Bachelor's Degree
Master's Degree
PhD. or Professional Degree

(RECRUIT MIX OF EDUCATION)
20.
Thinking about the neighborhood you live in, please tell me which of the following would best
describe your immediate neighborhood.
01
Urban/city
02
Suburban
03
Rural
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

(RECRUIT A MIX OF URBAN AND SUBURBAN/RURAL TO REFLECT MARKET COMPOSITION.)
21.
Now, thinking about you and your household, which of the following statements best describes
your level of preparedness for a natural disaster such as a flood, earthquake, or hurricane? (READ LIST)
In thinking about preparing yourself for a major disaster, which best represents your preparedness? 01 I
have not yet prepared and am not planning to do anything about preparing
02
I have not yet prepared, but I intend to in the next 6 months
03
I have not yet prepared, but I intend to in the next month 04 I have recently begun preparing
05 I have been preparing for at least a few months
(TERMINATE)
(SKEW TOWARDS RECRUITING THOSE WHO ANSWER YES TO 02 OR 03. TERMINATE IF ANSWER YES TO
05.)
22.
In thinking about preparing have you created and discussed a specific plan for how to meet
your family if you're separated during a major disaster?
Yes(TERMINATE)
No
23.
Finally, one question for fun. Please tell me two unusual ways someone might use a paperclip.
List the responses.
(THIS IS AN ARTICULATION QUESTION ONLY. PLEASE MAKE CERTAIN RESPONDENT SPEAKS FREELY AND IS
EASY TO UNDERSTAND. FOR GENERAL MARKET GROUPS, TERMINATE IF ENGLISH IS POOR AND DIFFICULT
TO UNDERSTAND.)

INVITATION:
Thank you so much for taking the time to answer these questions. I am happy to inform you that you do
qualify for this study!
We would like to invite you to join us at our facility on (DATE) from (TIME) for a group discussion] that
will last approximately 75 minutes. We would like to offer you $XXX for your participation.
Are you interested in participating in the study at our facility? ( )
Yes
[CONTINUE]
(
)
No
[TERMINATE]
PLEASE READ THE FOLLOWING TO RESPONDENT:
Please arrive for the interview at least 10 minutes prior to the start time so that you can read and sign
a confidentiality agreement. If you wear reading glasses, please bring them to the group.
We will call you the day before the interview as a reminder. Is this the best number to reach you (DAY
BEFORE SESSION)? Is there a preferred time for us to call you?
ALTERNATIVE PHONE, IF NECESSARY:

PREFFERD TIME, IF APPLICABLE:

If you have any questions, or find that you can't attend, please call my supervisor right away at [PHONE
NUMBER] so we can find a replacement to make sure we have enough people participating. We are
counting on you to attend. Thanks for your time and for agreeing to participate.
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APPENDIX B – FOCUS GROUP QUESTIONS
Ready PSA Campaign Creative Testing Research
DISCUSSION GUIDE

(10 MIN)
MODERATOR INTRODUCTION/OVERVIEW OF SESSION
 Explicitly mention OMB details, including OMB #, sponsors and procedures if
participants have questions about the research.
 Remind participants of confidentiality: no personal information shared and groups being
video-taped for reporting purposes only.
 Explain that we are independent researchers who are impartial in the discussion; we are
seeking honest opinions and thoughts.
 We’re going to spend time today talking about your family and emergency preparedness.
Could you give me a little background on your home and who lives there with you?
 Can you tell me about the roles or responsibilities you (and your spouse/partner, as
applicable) have around the home or within the family?

(25 MIN)
GENERAL ISSUE DISCUSSION
 Have you or your household taken steps to prepare for an emergency such as a natural
disaster? If so, what have you done? Why did you take those steps? Or, if not, why not?
 What do you think your role is in preparing for emergencies like natural disasters? Do
you think there are steps that individuals can take to prepare themselves/family that will
make a difference during an emergency? During the recovery stage?
 What do you think is the role of state or federal agencies in helping individuals in
disaster situations, if any?
 What’s the biggest challenge to preparing you and your family for an emergency?
 I’m going to walk through a list of preparedness actions, and I want to get your reaction
to each. Is this something that you’ve already done, something that you think you will do
to prepare, or something that you likely will not do to prepare. Please take a moment to
write down a response for each. [Walk through the various actions and have
respondents share their responses. Probe further on each response. (Why have you
taken this action? Why would you do this in the future? Why are you not likely to take
this action?)]
[RANDOMIZE LIST ACROSS GROUPS]
o Create a family emergency plan, including a plan for connecting and reuniting
with family when disaster happens
o Get certified in First Aid or CPR
o Join or volunteer with a local community watch or preparedness group
o Ensure you have insurance coverage or invest in insurance to cover relevant
hazards (e.g. flood)
o Learn safety steps you can take around your home in an emergency (e.g. how to
shut off the gas/electricity)

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o


Set aside personal financial savings to help you & your family in the immediate
aftermath of a disaster.

There can be a long period of recovery from some natural disasters. Do you feel that
you as individual have the ability to prepare financially now so you would be able to
handle that recovery period (e.g. financial savings, insurance, etc)?

(20 MIN)
CONCEPT A DISCUSSION
(Note: The order of presentation of ads will be rotated across sessions to avoid order
bias)
OVERALL REACTION
Moderator will instruct respondents to answer the first two questions by writing their
responses down before sharing aloud. This will ground respondents in their initial
reaction as the discussion with the group begins.
 Who is bringing you this message? (LISTEN for government, FEMA)
 What is your first reaction to this? What is the main idea of this?
o What made you think that?
o What do you think about that idea?
 Any specific ideas, words or images stick out to you? Why?
 Is this ad believable?
o What about it makes it believable (or not)?
 Is this ad appealing to you? What about it is appealing?
 Is there anything confusing or unclear about this idea?
 What, if anything, are they asking you to do?
o What do you think about that?
 Would you do anything specifically after seeing this advertising? (CHECK on a) potential
to take the preparedness actions featured, and b) to visit to web site)
o When/how soon would you take this action? (LISTEN for immediacy)
o (If going on web) What would you search for if you wanted to learn more? (LISTEN
for key search terms, etc.)
o Would you talk to your friends and other family members outside of your household
about this? What would you tell them?
 [Note as discussed earlier] FEMA is bringing you this message. Does that matter?
Why/why not? (CHECK for impact of perceived sponsor, if any)
CONCEPT A: EMOTIONAL CONNECTION / RELEVANCE
 What do you like/dislike about this idea?
 What is the mood or the tone of the advertising?
 How does this make you feel? Is that good or bad?
 Is this advertising speaking to you, personally?
o Can you relate to it?
 If it is not for you, who do you think the “target” for the advertising is?
CONCEPT A: SALIENCE/RESONANCE
 Would this ad catch your attention if you saw it?
o What about it grabs your attention?
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

o (If not) What keeps it from grabbing your attention?
Is this different from how you think currently? How so?

(15 MIN)

CONCEPT B DISCUSSION: REPEAT SEQUENCE FROM CONCEPT A

Note: The first exposure to an execution is always the most in-depth and longest part of the
discussion. Exposure to remaining executions typically elicits much shorter discussion because
respondents will compare all remaining executions to the first (e.g. “this ad has the same
message” or “I like this one better because”).
(5 MIN)

QUESTIONS FROM BACK ROOM AND MODERATOR WRAP-UP /THANK
YOU

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