Supporting Statement Part A - 0960-NEW (NBS) (final)

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National Beneficiary Survey (Round 8)

OMB: 0960-0827

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Supporting Statement Part A For The National Beneficiary Survey (Round 8)

OMB No 0960-NEW


A. Justification

  1. Introduction/Authoring Laws and Regulations

Overview

The Social Security Administration (SSA) is seeking OMB- approval for data collection for Round 8 of the National Beneficiary Survey (NBS). The NBS is a survey intended to gather data from Supplemental Security Income (SSI) recipients and Social Security Disability Insurance (SSDI) beneficiaries about their characteristics; their well-being; and other factors that promote or hinder employment. In particular, the survey seeks to uncover important information about the factors that promote beneficiary self-sufficiency and, conversely, factors that impede beneficiary efforts to maintain employment. SSA will use this data to improve the administration and effectiveness of the SSDI and SSI programs. The results of the Round 8 NBS will be valuable as SSA, and other policymakers continue efforts to improve programs and services that help SSDI beneficiaries and SSI recipients become more self-sufficient. SSA’s, contractor, Mathematica, will conduct the interviews, and will also conduct an experimental web- and paper-based data collection effort to test if these modes are feasible methods to collect data from nonrespondents. Section 1110 of the Social Security Act (Act) [42 U.S.C. 1310] authorizes SSA to conduct research and evaluation projects. This includes making grants to states, public and other organizations and agencies for paying part of the cost of research or demonstration projects such as those relating to the prevention and reduction of dependency; or which will aid in the coordination of planning between private and public welfare agencies; or will help improve the administration and effectiveness of programs carried on or assisted under the Act.


Background

SSA previously conducted seven rounds of the National Beneficiary Survey (NBS) in 2004, 2005, 2006, 2010, 2015, 2017, and 2019. Conducting the prior rounds of the NBS provided SSA with an important understanding of the work interests and experiences of SSI recipients and SSDI beneficiaries, and helped SSA gain information about their impairments; health; living arrangements; family structure; pre-disability occupation; and use of non-SSA programs (e.g., the Supplemental Nutrition Assistance Program). The prior rounds of NBS data are available to researchers and the public.


SSA first implemented the NBS in 2004 as part of the agency’s evaluation of the Ticket to Work program. As part of that evaluation, SSA’s contractor, Mathematica, administered NBS Rounds 1 through 4 in 2004, 2005, 2006, and 2010 to nationally representative cross-sectional samples of all adult SSDI and SSI disability beneficiaries and Ticket to Work participants, as well as longitudinal samples of Ticket to Work participants. The survey sought to address topics in the Ticket to Work legislation, which mandated an evaluation of the program. These questions focused on the work supports and return-to-work services and providers that beneficiaries used, their unmet service needs, the experiences of Ticket to Work participants with the program, and beneficiaries’ employment-related experiences and outcomes. Thus, the early NBS rounds included several modules that addressed these issues as well as other modules that collected information about knowledge of SSA work supports, health, health insurance, and sociodemographic information.

In 2012, SSA solicited a contractor to redesign the NBS and implement it for three additional rounds. Mathematica redesigned and administered NBS Rounds 5 through 7 in 2015, 2017, and 2019, respectively. The redesign effort had two key elements: 1) to oversample beneficiaries, and 2) modify the NBS. First, SSA wanted to include an oversample of beneficiaries who had recently worked above the substantial gainful activity (SGA) level (and thus, showed potential for leaving benefits because of earnings). Because these beneficiaries represent a small proportion of all beneficiaries, the previous NBS samples were not large enough to support extensive analyses of this group’s experiences. To support such analyses, SSA added the successful worker sample (SWS) to NBS Rounds 6 and 7. The SWS includes beneficiaries who had worked above SGA for at least three consecutive months during the six months preceding their NBS interview. All three recent NBS rounds included nationally representative beneficiary samples (RBS) of adult SSDI and SSI disability program participants, Rounds 6 and 7 included nationally representative SWSs, and Round 7 also included a longitudinal sample of 2017 SWS members who were employed at the time of the 2019 interview. Secondly, SSA also wanted to modify the NBS instrument to reduce the focus on the Ticket to Work program, address issues relevant to the SWS, and generally update the questionnaire to reduce burden on respondents by improving question wording and eliminating questions of limited utility. SSA based its NBS redesign decisions in part on the input it received from a technical panel of federal and academic experts, a literature scan, and findings from an extensive set of semi-structured interviews conducted with young adult and successful worker beneficiaries.

SSA is implementing the use of the Round 8 NBS to monitor and improve the administration and effectiveness of SSA’s SSDI and SSI Programs

2. Description of Collection

The primary purpose of the NBS is program planning, management, and research. The NBS will provide SSA, Congress, and other policymakers with information about key factors that contribute to SSDI beneficiaries’ and SSI recipients’ successful or unsuccessful employment efforts. As with past rounds of the NBS, the questionnaire will include an array of topics, with a focus on employment, disability status, and the respondent’s experience with SSA work incentives and supports. Specifically, we will use the instrument to address five key research questions:


  1. What are the work-related goals and activities of SSI recipients and SSDI beneficiaries, particularly as they relate to long-term employment?

  2. What are the short-term and long-term employment outcomes for SSI recipients and SSDI beneficiaries who work?

  3. What support mechanisms help beneficiaries in finding and keeping jobs, and what barriers to work do they encounter?

  4. What are the characteristics and experiences of SSI recipients and SSDI beneficiaries who work?

  5. What health-related factors, job-related factors, and personal circumstances hinder or promote employment and self-sufficiency?

SSA will base the Round 8 NBS on the sample design and instrument used in NBS Rounds 6 and 7. For Round 8, we revised the RBS stratification to take advantage of earnings information available for the year prior (2021) to the sampling year (2022). For Round 8 of the NBS SSA plans to complete 8,000 interviews: 5,000 from a cross-sectional sample of active beneficiaries (SSI and SSDI) and 3,000 from a successful worker sample. We will conduct the survey interviews primarily by telephone, but for those who cannot complete the interview by telephone because of a physical or intellectual disability, or for whom we cannot find a valid telephone number, we might conduct the interview in person. We will mail all sample members an advance letter informing them of their selection into the study prior to the initial telephone contact. Mathematica will mail respondent correspondences in Spanish to sample members who have indicated a preference for Spanish communications according to SSA administrative data. We will also provide Spanish versions of the advance letters and other communications to sample members who live in NBS sampling areas with a large proportion of beneficiaries with a Spanish-language preference. Mathematica will translate or modify notifications for purposes of meeting SSA’s Special Notice Options for beneficiaries who indicate a preference for receiving notifications in special formats, including Braille, data compact discs, large print, and audio compact discs.

We will also use a mini‑cognitive test, designed expressly for the survey, to identify when we need a proxy respondent. To promote response among Hispanic sample members, we will translate the survey into Spanish. We will use a number of additional accommodations for those with hearing or speech impairments, including Telecommunications Relay Service (TRS), amplifiers, and instant messaging.

In addition to the Round 8 NBS, we propose to conduct an experimental web and a paper-based data collection effort to test if these modes are feasible methods to collect data from nonrespondents. SSA will conduct this experiment during the administration of the Round 8 NBS, and we will include a shorter version of the instrument for web and paper administration designed to collect critical data from nonrespondents to the telephone interview modality. SSA designed the abbreviated versions of the Round 8 NBS to be completed in under 30 minutes, which include only the most critical items from the NBS questionnaire. To administer the experiment, SSA will sample 1,000 SWS1 non-respondents from multiple sample extracts after we exhaust the extracts in the main NBS effort. We will randomly assign 500 non-respondents to the web survey group, and 500 non-respondents to the paper survey group. We will mail the abbreviated experimental paper version survey to the beneficiaries to complete and send back to Mathematica. Web survey sample members will receive letters inviting them to visit a unique URL to complete an online survey and receive a $30 gift card. Mathematica will mail the paper survey sample members a survey booklet up to two times and will ask the sample members to return it to Mathematica in a postage-paid envelope provided in the mailing. We estimate a 125 completes for the web survey and 100 completes for the paper survey.

The analysis of the experiment will focus on comparing response rates between the web and paper conditions to assess which mode was more effective in increasing response. We will also review the distribution of respondent characteristics by mode and compare them to the full SWS to determine if the alternative modes reduced nonresponse among specific subgroups. Assessing the overall response to the web and paper options, as well as the prevalence of unit nonresponse, will inform our thinking about the suitability of using these modes for the NBS or other SSA beneficiary surveys. We will also review question frequencies from each mode to determine if they are reasonable and how they compare with the full NBS.

All survey materials will explain the voluntary nature of the survey and the emphasis we place on safeguarding the data collected. Moreover, when introducing the survey, the telephone and field (in-person) interviewers will inform all sample members that participation is voluntary and the decision to participate will not affect current or future receipt of benefits or payments.

Researchers and policy makers in the Federal Government (especially SSA, the U.S. Departments of Health and Human Services and Labor), as well as state vocational rehabilitation agencies, will be the primary users of the information collected for the Round 8 NBS. SSA makes a public use file available for each round of the NBS, with all personal identifiers removed. Other interested researchers may use this file to address issues related to the health and employment-related activities of SSI recipients and SSDI beneficiaries. The respondents are current SSDI beneficiaries and SSI recipients.


3. Use of Information Technology to Collect the Information

Mathematica will collect the NBS data using computer-assisted telephone interviewing (CATI) and computer-assisted personal interviewing (CAPI) software in circumstances when telephone interviews are not feasible and will use identical survey instruments in each mode. SSA is unable to create an Internet version of the full information collection because the survey instrument is too long to support

self-administration. For the web-based experimental data collection, Mathematica will invite sample members to complete the survey via a live secure web-link. To reduce burden, the surveys employ: (1) secure log-ins so respondents can save and complete the survey in multiple sessions; (2) drop-down response categories so respondents can quickly select their responses(s) from a list; (3) dynamic questions and automated skip patterns so respondents only see those questions that apply to them (including those based on answers that they provided previously in the survey); and (4) logical rules for responses so respondents’ answers are restricted to those intended by the question.


4. Why We Cannot Use Duplicate Information

The nature of the information we collect and the manner in which we collect it preclude duplication. SSA does not use another collection instrument to obtain similar data representative of all SSDI beneficiaries and SSI recipients. The Round 8 NBS collects data not available from SSA administrative data or other sources. SSA’s data is limited in part because SSA collects it for administrative purposes, not research. The Round 8 NBS addresses the most significant of SSA’s administrative record limitations, including the following:

  • There is no useful information on current job characteristics other than annual earnings. This survey collects detailed information about job quality, especially wages, occupation, hours worked, and fringe benefits.

  • The data collected affects information on impairments; health; living arrangements; marital status; family members; pre-disability occupation; other personal income; and education in significant ways. We include these topics in the survey because they are often determinants of employment success.

  • There is no useful information on use of employment services, family income, use of non-SSA programs, knowledge of SSDI and SSI work incentive programs, obstacles to return to work, factors facilitating attaining and keeping a job, and beneficiary interest and motivation to return to work. We cannot address any of these issues with SSA administrative data.

5. Minimizing Burden on Small Respondents

This collection does not significantly affect small businesses or other small entities.


6. Consequence of Not Collecting Information or Collecting it Less Frequently

If SSA did not conduct the Round 8 NBS, we would be unable to address important issues regarding SSDI beneficiaries’ and SSI recipients’ success in finding, maintaining, and advancing in employment. In addition, SSA would lack information about the impairments; health; living arrangements; family structure; pre-disability occupation; use of non‑SSA programs; knowledge of SSDI and SSI work incentive programs; obstacles to return to work; and interest and motivation to return to work, all which are factors that can positively or negatively affect employment success. There are no technical or legal obstacles to burden reduction.


7. Special Circumstances

There are no special circumstances that would cause SSA to conduct this information collection in a manner inconsistent with 5 CFR 1320.5.


8. Solicitation of Public Comment and Other Consultations with the Public

The 60-day advance Federal Register Notice published on June 17, 2022, at

87 FR 36568, and we received no public comments. The 30-day FRN published on August 17, 2022, at 87 FR 50684. If we receive any comments in response to this Notice, we will forward them to OMB. We did not consult with the public in the development of this.



9. Payment or Gifts to Respondents

SSA believes that some compensation is important to create a positive attitude about the study, obtain high response rates, and reduce the risk of biased estimates. Decades of research indicate monetary incentives increase response rates, both overall and for low-income and nonwhite populations, without compromising data quality and they often reduce data collection costs (Mercer et al. 2015, Singer and Ye 2013; de Leeuw and de Heer 2002, Singer and Kulka 2000). During prior rounds of data collection, we paid NBS respondents a modest sum to facilitate cooperation and demonstrate appreciation to participants for their time and effort. For the Round 8 NBS, we propose offering an incentive in the same amount and form, a $30 gift card, as we did in Round 7. In addition to the post-paid incentive, we propose incorporating a $2 cash prepaid incentive experiment, based on the social exchange theory (Dillman et al. 2014), into the Round 8 incentive structure. That theory suggests providing a small token incentive before data collection begins helps to establish a sense of trust with the sample member. The trust created by offering such an incentive encourages the sample member to reciprocate by completing the request for an interview. Evidence also suggests that offering a small prepaid incentive reduces the number of calls to complete an interview, increases response rates from 6 to 12 percent, and combining prepaid and postpaid incentives is more effective than offering prepaid incentives alone (Mercer et al. 2015, Singer and Ye 2013, Cantor et al. 2008). To operationalize the experiment, we propose to randomly assign all of the approximately 10,000 RBS and SWS members in the first sample release to a treatment or control group. Treatment group members will receive $2 cash inside of their advance letter, and a $30 gift card upon completion of the survey. Control group members will receive a $30 gift card upon survey completion. At the end of the experiment, we will compare item nonresponse rates for critical items, response rates, both overall and among subgroups that had the lowest response rates in past NBS rounds (such as younger age groups and SSI recipients), and the call-in rate to determine if we should continue to offer the prepayment to RBS and SWS members.


10. Assurances of Confidentiality

Before we conduct the Round 8 NBS interviews, SSA will notify SSI recipients and SSDI beneficiaries by mail of their selection into the survey; the survey’s purpose; and SSA’s desire to interview them. The letter provides assurance that all information SSA collects will be confidential, unless required by law, and we will not use the information in any way that would affect program eligibility or payments. It also indicates the toll-free telephone number to call if they have questions about the study, as well as links to Mathematica’s and SSA’s websites (see Attachment D). When we subsequently contact survey sample members for an interview, we will again advise them of the purpose of the survey and reassure them of confidentiality.

SSA protects and holds confidential the information we collect in accordance with

42 U.S.C. 1306, 20 CFR 401 and 402, 5 U.S.C. 552 (Freedom of Information Act),

5 U.S.C. 552a (Privacy Act of 1974), and OMB Circular No. A-130. SSA’s contractor, Mathematica, has a great deal of experience handling sensitive data and has procedures in place to ensure the confidentiality of computerized and paper records, including the use of passwords and encrypted identifiers, to prevent direct or indirect disclosures of information. Furthermore, Mathematica’s information management systems fully comply with the Government’s information systems requirements.


SSA and Mathematica use the following safeguards to carry out privacy assurances:

  • We will store sample selection and survey data materials on an encrypted network drive. SSA and Mathematica limit access to data to those who have direct responsibility for providing the sample and maintaining sample locating information. SSA and Mathematica limit staff access to data storage and files to authorized personnel who have passwords. At the conclusion of the research, we destroy this data. We conduct audits on an ongoing basis to compare the list of cleared staff to those charging time and with access to restricted folders verifying clearance of all appropriate staff.


  • We use a password-protected screen saver which automatically activates when NBS project staff step away from their work area.

  • We maintain all identifying information, survey responses, and interview materials, in separate files we can link sample identification numbers. A small number of individuals who have a need to know can access the file linking sample identification numbers with survey respondent's identification and contact information.

  • We strictly limit access to hard copy documents. We label documents with a sample identification number and store such information in a locked file cabinet in a secure facility. We shred discarded material.

  • We protect via password all electronic devices used for CAPI data collection. For CAPI, we transmit only over secure connections any confidential case information (name, address, and telephone number) to field interviewers. We never transmit Social Security numbers to field interviewers.

  • Mathematica will only transfer data to SSA via Government-to-Government Services Online.

  • All employees sign and adhere to a confidentiality pledge (provided in Attachment E).


11. Justification for Sensitive Questions

Although some questions in this survey are potentially sensitive, they are necessary to conduct a thorough survey, and SSA will ensure the information remains confidential.

The NBS contains questions on demographic and household information; education; health status; functioning; employment and employment service use; use of public programs; personal attitudes; income; and health insurance coverage. A number of questions are potentially sensitive, particularly because sample members, by definition, may have a disability. All health status and functioning questions are potentially sensitive. A variety of attitudinal questions (such as those relating to the respondent’s willingness to work) and behavioral questions (such as those relating to drug and alcohol use) could be sensitive in nature. Finally, as in most surveys, questions on earnings and income are sensitive questions. This is the case in this study, given that SSA is sponsoring the study, and earnings are pertinent to eligibility for disability benefits.

SSA will use the survey data collected to provide critical information about the supports and challenges that SSDI beneficiaries and SSI recipients face in finding and keeping jobs. We will only collect information not available from other sources and considered critical to the evaluation of important outcomes. Research shows that health status and functioning are determinants of employment outcomes, and treatment or accommodation of health conditions or impairments could be a key component of rehabilitation. The only administrative data on this topic is the impairment designation SSA examiners use when deciding an individual’s SSI or SSDI eligibility. Drug or alcohol abuse is also a determinant of employment outcomes, and treatment of abuse could be a determinant of success. SSA administrative data have some information about substance abuse at the time of the disability determination, but it is incomplete and there is no information on

post-award behaviors. Income and benefits from other sources, including family members, could be a determinant of success, and could be affected by returning to work (for example, reduced or lost due to higher earnings).


Whenever possible, we adopt questions from or model questions after those on existing collection instruments that we have used in previous studies of the general population, or studies of SSDI beneficiaries and SSI recipients.


In particular, SSA models questions from the following instruments:

  • Alcohol use and abuse from the CAGE.2


  • General health status from the short form (SF)-8 (8-Item Short-Form Health Survey), which is a derivation of the longer SF-36, an instrument that has been widely used in studies to rate general health status.3

  • Limitations in activities of daily living and functioning adapted from the Survey of Income and Program Participation (SIPP), the American Community Survey, and the instrument used in SSA’s National Study of Health and Activity (NSHA).

  • Sources of income and employment status adapted from questions in the Current Population Survey, NSHA, and SIPP.

During the consent process, and at the start of each interview, we inform respondents that the information they provide is confidential and used only for research purposes. We also tell them they are at liberty to decline answering questions they find too sensitive. We train interviewers on how to administer the instruments and probe on sensitive issues.

12. Estimates of Public Reporting Burden

Modality of Completion

Number of Respondents

Frequency of Response

Average Burden per Response (minutes)

Estimated Total Annual Burden (hours)

Average Theoretical Hourly Cost Amount (dollars)*

Average Wait Time in Field Office or for Teleservice Centers

(minutes

Total Annual Opportunity Cost (dollars)***

Representative Beneficiary Sample

5,000

1

60

5,000

$11.70*

5**

$63,379***

Successful Worker Sample

3,000

1

70

3,500

$11.70*

5**

$43,875***

Successful Worker Sample

web-based experiment

125

1

25

52

$11.70*


$608***

Successful Worker Sample, paper-based experiment respondent

100

1

25

42

$11.70*

$491***

Totals

8,225

 

 

8,594

 


$108,353**

* We based this figure on the average DI payments based on SSA's current FY 2022 data (https://www.ssa.gov/legislation/2022factsheet.pdf).


** We based this figure by averaging the average FY 2022 wait times for field offices and teleservice centers, based on SSA’s current management information data.

*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to respondents to complete the application

In addition, OMB’s Office of Information and Regulatory Affairs (OIRA) is requiring SSA to use a rough estimate of a 30-minute, one-way, drive time in our calculations of the time burden for this collection. OIRA based their estimation on a spatial analysis of SSA’s current field office locations and the location of the average population centers based on census tract information, which likely represents a 13.97 mile driving distance for one-way travel. We depict this on the chart below:

Total Number of Respondents Who Visit a Field Office

Frequency of Response

Average One-Way Travel Time to a Field Office (minutes)

Estimated Total Travel Time to a Field Office (hours)

Total Annual Opportunity Cost for Travel Time (dollars)****

8,000

1

30

4,000

$46,800****

****We based this dollar amount on the Average Theoretical Hourly Cost Amount in dollars shown on the burden chart above.

Per OIRA, we include this travel time burden estimate under the 5 CFR 1320.8(a)(4), which requires us to provide “time, effort, or financial resources expended by persons [for]…transmitting, or otherwise disclosing the information,” as well as 5 CFR 1320.8(b)(3)(iii) which requires us to estimate “the average burden collection…to the extent practicable.” SSA notes that we do not obtain or maintain any data on travel times to a field office, nor do we have any data which shows that the average respondent drives to a field office, rather than using any other mode of transport. SSA also acknowledges that respondents’ mode of travel and, therefore, travel times vary widely dependent on region, mode of travel, and actual proximity to a field office.

We base our burden estimates on current management information data, which includes data from actual interviews, as well as from years of conducting this information collection. Per our management information data, we believe that the

25, 60, and 70 minutes shown in our chart above accurately shows the average burden per response for reading the instructions, gathering the facts, and answering the questions. Based on our current management information data, the current burden information we provided is accurate. The total burden for this ICR is 8,594 burden hours (reflecting SSA management information data), which results in an associated theoretical (not actual) opportunity cost financial burden of $155,153. SSA does not charge respondents to complete our applications.


13. Annual Cost to the Respondents (Other)

This collection does not impose a known cost burden on the respondents.


14. Annual Cost to Federal Government

The annual cost to the Federal Government is approximately $1,881,903. This estimate accounts for costs from the following areas:

Description of Cost Factor

Methodology for Estimating Cost

Cost in Dollars*

Designing and Printing the Form

Design Cost + Printing Cost

$129,321

Distributing, Shipping, and Material Costs for the Form

Distribution + Shipping + Material Cost

$0*

SSA Employee (e.g., field office, 800 number, DDS staff) Information Collection and Processing Time

GS-9 employee x # of responses x processing time

$0*

Full-Time Equivalent Costs

Out of pocket costs + Other expenses for providing this service

$1,699,511

Systems Development, Updating, and Maintenance

GS-9 employee x man hours for development, updating, maintenance

$51,346

Quantifiable IT Costs

Any additional IT costs

$1,725

Total


$1,881,903

* We have inserted a $0 amount for cost factors that do not apply to this collection.

SSA is unable to break down the costs to the Federal government further than we already have. We used the figures above based on the expected costs from our contract with Mathematica.

15. Program Changes or Adjustments to the Information Collection Request

This is a new survey that increases the public reporting burden. See #12. for updated burden figures.


*Note: The total burden reflected in ROCIS is 14,927, while the burden cited in #12 of the Supporting Statement is 8,594. This discrepancy is because the ROCIS burden reflects the following components: field office waiting time + telephone call system wait times + a rough estimate of a 30-minute, one-way, drive burden.  In contrast, the chart in #12 above reflects actual burden.

16. Plans for Publication Information Collection Results

SSA will focus our analyses on factors leading to successful and unsuccessful work attempts. Specifically, our analyses based on Round 8 NBS data will encompass the following: use of services; employment outcomes and program exits; factors leading to successful and unsuccessful work attempts; and differences across respondent subgroups (for example, differences based on program title). SSA will draw on previous NBS analyses for the purposes of making comparisons over time.

We link the NBS data to SSA administrative data for analyses, examining how various respondent characteristics correlated with duration of benefit or payment receipt, benefit and payment amounts, and program exits; we will add administrative information on the use of work supports and program exits due to work.

SSA will make the findings from the Round 8 NBS available in a report containing tabulations; graphics; and narrative that will provide a comprehensive understanding of SSDI beneficiaries and SSI recipients and their service use; employment outcomes; and degree of self-sufficiency.

The prior rounds of the NBS were critical in providing adequate responses to Congressional directives and questions. SSA will continue to use the Round 8 NBS data to address these questions and provide the information publicly through our responses to quarterly financial reports. We will focus further analyses on better understanding SSDI beneficiary and SSI recipient work behavior and how to develop and support increased employment and earnings. The documentation and public use data files will be available on SSA’s website. SSA will administer the Round 8 of the NBS from February 2023 to November 2023. We will make public-use data files for Round 8 available in early 2025.

17. Displaying the OMB Approval Expiration Date

SSA is not requesting an exception to the requirement to display the OMB approval expiration date.


18. Exception to Certification Statement

SSA is not requesting an exception to the certification requirements at 5 CFR 1320.9 and related provisions at 5 CFR 1320.8(b)(3).















Part A References

Beydoun, Hind, Audrey F. Saftlas, Kari Harland, and Elizabeth Triche. 2006. Combining conditional and unconditional recruitment incentives could facilitate telephone tracing in surveys of postpartum women. Journal of Clinical Epidemiology 59 (7): 732–38.

Cantor, David, Barbara O’Hare, and Kathleen O’Connor. 2008. The use of monetary incentives to reduce non-response in random digit dial telephone surveys. In Advances in telephone survey methodology, eds. James M. Lepkowski, Clyde Tucker, J. Michael Brick, Edith de Leeuw, Lilli Japec, Paul J. Lavrakas, Michael W. Link, and Roberta L. Sangster, 471–98. New York, NY: Wiley.

Cape, P. & Phillips, K. (2015) Questionnaire length and fatigue effects: the latest thinking and practical solutions. White paper. Available online at: www.surveysampling.com/site/ assets/files/1586/questionnaire-length-and-fatiigue-effects-the-latest-thinking-and-practicalsolutions.pdf (accessed February 13, 2022).

Cialdini, R. B. (2007). Influence: the psychology of persuasion. Rev. ed. ; 1st Collins business essentials ed. New York: Collins.

de Leeuw, E.D., and W. de Heer. “Trends in Household Survey Nonresponse: A Longitudinal and International Comparison.” In Survey Nonresponse, edited by R.M. Groves, D.A. Dillman, and J.L. Eltinge. New York: John Wiley, 2002.

Dillman, D.A., J.D. Smyth, and L.M. Christian. Internet, Phone, Mail, and Mixed-Mode Surveys: The Tailored Design Method. Hoboken, NJ: John Wiley and Sons, 2014.

Falk, Armin. “Gift Exchange in the Field.” Econometrica 75, no. 5 (2007): 1501–11. http://www.jstor.org/stable/4502037.

Gneezy, Uri, and John A. List. “Putting Behavioral Economics to Work: Testing for Gift Exchange in Labor Markets Using Field Experiments.” Econometrica 74, 5 (September 2006): 1365–1384.

Mann, Sue L., Diana J. Lynn, and Arthur V. Peterson. 2008. The “downstream” effect of token prepaid cash incentives to parents on their young adult children’s survey participation. Public Opinion Quarterly 72 (3): 487–501.

Mercer, Andrew; A. Caporaso; D. Cantor; and R. Townsend. 2015. How Much Gets You How Much? Monetary Incentives and Response Rates in Household Surveys. Public Opinion Quarterly, Vol. 79, No. 1, Spring 2015, pp. 105–129.

Revilla M, Ochoa C. Ideal and Maximum Length for a Web Survey. International Journal of Market Research. 2017;59(5):557–565.

Singer, E., and R. A. Kulka. “Paying Respondents for Survey Participation.” Ann Arbor, MI: The University of Michigan, Institute for Social Research, Survey Research Center, 2000.

Singer, E., R.M. Groves, and A.D. Corning. “Differential Incentives: Beliefs about Practices, Perceptions of Equity, and Effects on Survey Participation,” Public Opinion Quarterly, vol. 63, 1999, pp. 251–260.

Singer, Eleanor, and Cong Ye. 2013. “The Use and Effects of Incentives in Surveys.” Annals of the American Academy of Political and Social Science 645:112–41.

1 We propose to test the mode options among SWS nonrespondents for two reasons. First, testing with nonrespondents will not interfere with existing survey administration protocols. Second, we know from Round 7 that SWS members are more likely to use the Internet at least once a week (78 percent of respondents) than RBS members (53 percent of respondents). By subsampling SWS nonrespondents, this experiment will not require any additional expense to draw and process a beneficiary sample.

2 The CAGE is a four-item screen for alcohol abuse. The letters in the acronym reflect the four alcohol-related concepts queried: cut-down; annoyed; guilty, and eye-opener.

3 The SF-8 is an empirically derived subset of items from the 36-item SF-36, which many consider the “gold standard” in health status assessment. The SF-36’s design is for use in clinical research, health policy evaluations, and general population surveys. We use the SF-8 to reduce respondent burden. The SF-8 and SF-36 assess 8 health concepts—limitations in physical activities due to a health problem; limitations in social activities due to a health problem; limitations in usual role activities due to a physical health problem; limitations in usual role activities due to an emotional problem; pain; general mental health; vitality; and general health perceptions.

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File Typeapplication/vnd.openxmlformats-officedocument.wordprocessingml.document
File TitleSUPPORTING STATEMENT FOR
SubjectROUND 8
AuthorSheryl Friedlander
File Modified0000-00-00
File Created2022-08-19

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