STUDY MANAGEMENT SYSTEM/SURVEY CONTROL FILE

To enable the administration of the automated survey instruments and support the operational aspects of the data collection effort.

Rationale

Given the scope and complexity of PIAAC, each country must develop an automated study management system to enable timely management, conduct and monitoring of data collection. The system must facilitate the administration of the automated instruments, produce reports that are integral to the review and management of the data collection effort, and assist regional supervisors in their day-to-day operational tasks, such as case assignment and transfer and assignment of result codes.

Standards, Guidelines and Recommendations

Standard 10.6.1 Each country is responsible for developing an automated management system that can be used to conduct the PIAAC interview.

Standard 10.6.2 The management system developed by each country must be able to support the functions necessary for supervisory staff to manage the day-to-day operations of a data collection effort.

Guideline 10.6.2A Each country’s management system must be able to perform the following survey

operations functions, at a minimum:  Case assignment

 Case transfer/reassignment  Case reset to prior state

 Removal of data from the laptop computer  Production of reports for the Consortium

Guideline 10.6.2B The two operational identification numbers used during the PIAAC data collection

are as follows:

 PERSID, Person operational identification number (ID), length <=12 including the check digit, type: integer, no leading zeros

 CASEID, Household operational ID, length <=9, type: integer, no leading zeros

The variable CASEID will be mainly used by those countries that need to screen sampled households for eligible members yet is not directly used during the electronic or paper-based data collection. PERSID, on the other hand, is the main operational ID that will eventually allow the matching of the various PIAAC databases and materials, including the survey control file, the sample design international file, the responses captured during the BQ/JRA and direct assessment, any paper booklets and derived scoring/capture sheets, coding files, and eventually the weighting international file.

With the addition of a check digit, the maximum allowed length of PERSID is 12 digits. The use of the check digit algorithm for person IDs as described in PIAAC-NPM(2009_10_22)Check digits for operational IDs.doc is mandatory for all countries.

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Recommendation 10.6.2A Each country’s management system should include a mechanism for

documenting information related to each contact attempt that does not result in a completed interview. (See Section 10.3.)

Recommendation 10.6.2B Each country’s management system should include a mechanism for

tracking interviewers’ time and expense data (weekly hours, weekly expenses, weekly mileage/travelling time and cost per completed interview).

Standard 10.6.3 The management system developed by each country must be able to support the production of automated reports during the data collection period. (See Section 10.8.)

Guideline 10.6.3 For countries with a household screener, the study management system must capture

the screener information for each selected person, including their name, age or date of birth, and gender, the number of eligible household members, number of selected household members, dwelling address confirmation, and telephone number. See Standard 10.4.2 for more information about the household screener.

Recommendation 10.6.3A Each country’s management system should contain data for use and

reference by the interviewer or supervisory staff, as well as data elements for use in the production of data collection reports. (See Section 10.8.) Each management system should contain the information listed below:

 Case ID

 Geographic area (i.e. primary sampling unit, region, segment)  Dwelling address information

 Case-level status and disposition code  Task-level status and disposition code

 Date the interview was finalised or status date  Task type (interview component)

 Interviewer name and ID  Validation status

 Language of administration

 Assignment date and type (original vs. transfer)

 Date and time of inbound and outbound data transmissions  ID number(s) of paper assessment booklet(s)

 Status of paper assessment booklet(s)

 Date that hard-copy materials were returned to the survey institute by the interviewer

Standard 10.6.4 Countries must assign a unique booklet ID (serial number) to each paper task assessment instrument prepared, in order to verify that instruments distributed to interviewers have been used for the respondents or returned and eventually destroyed so that all instruments are accounted for.

Guideline 10.6.4A The booklet ID would not be associated with the person ID (PERSID) until the

person ID is recorded on the instrument and the booklet ID is entered into the corresponding places in the PIAAC interviewing system.

Guideline 10.6.4B The booklet ID will be of type integer with no leading zeros, i.e. it cannot include

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Guideline 10.6.4C The booklet ID will be of length 6, maximally length 8 if countries wish to deviate

from the below, and composed of the following elements:

 Positions 1 will represent the assigned task instrument type as follows: 1 to represent the Core booklet (PPC),

2 to represent the Literacy Booklet (PP1), 3 to represent the Numeracy Booklet (PP2), and

4 to represent the Reading Components Booklet (PRC).

 Positions 2 through 5 will represent a task instrument sequential number starting with value 1 up to the number of task instrument expected for that type. The number will be right-aligned and positions 2 through 4 will be filled with zeros as necessary.

 Position 6 will be the PIAAC check digit (see PIAAC-NPM(2009_10_22)Check digits for operational IDs.doc) computed from positions 1-5 and used to verify that the booklet ID has been captured correctly in the interviewing, data management, and any other system.

 For example, the full booklet ID for the Core Booklet (type PPC) will have the booklet ID “100014”. Here, position 1 (“1”) represents type PPC, positions 2-5 (“0001”) represent the first sequential number for that type, and position 6 (“4”) represents the PIAAC check digit for the previous five positions.

Recommendation 10.6.4 Countries may wish to use barcodes such as Code-39 or Code-128 in

addition to human readable booklet IDs. In this case, the barcode will need to encapsulate all of the above positions 1-6 as the useful component and add any barcode specific stop/end characters as well as barcode-specific check digits around this.

Standard 10.6.5 Each country must develop a survey control file to be used for the initial loading of data into the study management system.

Recommendation 10.6.5 Standard 4.6.6 and Guideline 4.6.6 provide more discussion about the

survey control file. The contents of the survey control file is shown in Annex 4-1. Depending on the sampling technique used by each country, the content of the survey control file will vary. The file should include all data that must be preloaded into the system before data collection, such as participant names, addresses, sampling variables and cases pre-selected for validation.

Quality Control Procedures

As part of the National Survey Design and Planning Report process for the field test and the main study, countries will be required to provide the specifications for their study management system and the proposed layout and contents of their survey control file.

On a monthly basis during the survey planning and data collection period, countries will be required to complete quality control monitoring forms to report on the specifications and capabilities of their study management system, as well as the layout and contents of their survey control file.

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10.7 DISPOSITION CODES