B. Collection of Information Employing Statistical Techniques

# 1. Respondent Universe and Sampling Selection to Be Used {#respondent-universe-and-sampling-selection-to-be-used .ahd12-1}

Previous OMB submissions have described the ECLS-B sample. Briefly, it
consists of approximately 14,000 births that occurred in the calendar
year 2001. Births were selected through a stratified, three-stage sample
of birth certificates as they were provided by states to the National
Center for Health Statistics (NCHS) during 2001 and early 2002. The
births were sampled in about 114 primary sampling units (PSUs)
throughout the United States. Interviews were completed with 10,688
parents in the first round of data collection, when children were
approximately 9 months old. At 2 years, 10,597 of the 10,688 9-month
respondents were still alive and in the United States, and there were
9,835 complete parent interviews; this represents a 99 percent
eligibility rate and 93 percent response rate. The preschool data
collection included all respondents to the 2-year data collection as
well as nonrespondents to the 2-year data collection who were classified
as American Indians/Alaska Natives. American Indians/Alaska Natives are
one of the smaller analysis domains and nonrespondents were included to
help maintain a larger sample size. The preschool sample consisted of
9,902 children, and there were 8,941 completed parent interviews.

Currently in the field, the kindergarten 2006 data collection is
attempting to interview respondents to the preschool data collection as
well as 2-year respondents who were classified as American Indian/Alaska
Native. An 85 percent subsample of this set of children was fielded at
kindergarten 2006 to control the costs of the data collection. This
subsample was allocated disproportionately to the ECLS-B domains to
maximize the sample size (and precision) for the smaller domains. The
kindergarten 2006 sample consisted of 7,657 children. Assuming that
99 percent of the sample is still eligible for ECLS-B, and that
90 percent of those who are eligible complete the parent interview, we
expect about 6,822 children to have parent responses to the kindergarten
2006 wave.[^1]

The kindergarten 2007 sample will comprise all of the children with a
parent interview at the kindergarten 2006 round who had not started
kindergarten by the time of the kindergarten 2006 parent interview. It
will also include kindergarten repeaters in fall 2007 among those whose
parents participated in the kindergarten 2006 wave. Together, an
expected 30 percent of the kindergarten 2006 respondents will be
included in the kindergarten 2007 data collection. Using the above
eligibility and response assumptions, the kindergarten 2007 sample will
consist of an estimated 2,047 children. Nonrespondents to the 9-month
interview were not included in either the prior waves and will not be a
part of the kindergarten 2007 data collection.

# 2. Procedures for Collection of Information  {#procedures-for-collection-of-information .ahd12-1}

2.1 Statistical Methodology for Stratification and Sample Selection

Information on the ECLS-B sample design and weighting methodology
presented here was obtained from documentation (e.g., the methodology
reports and data user's manuals) for the 9-month, 2-year, and preschool
data collections, and from the final response status from the preschool
data collection. Such documentation from the K06 collection is not yet
available at the time of this submission.

**Original sample.** Previous submissions to OMB have described the
statistical methodology used for stratification and sample selection. In
brief, the main ECLS-B sample consists of 96 PSUs selected to represent
all infants born in the United States in the year 2001. The sample
design was developed to obtain target effective sample sizes for 11
separate analytic domains:

-   Race/Ethnicity: Hispanic, Black, Asian and Pacific Islander (except
    Chinese), Chinese, American Indian/Alaska Native, and White.

-   Birth weight: very low birth weight, moderately low birth weight,
    and normal birth weight.

-   Plurality: twins, all other singleton and multiple births.

For the American Indian/Alaska Native domain, it was necessary to select
a supplemental sample of 18 PSUs where the population had a high
proportion of American Indian/Alaska Native births. These two different
PSU samples are referred to as the core and American Indian/Alaska
Native supplemental PSU samples, respectively.

For the core sample, a three-stage sampling procedure was used. In the
first stage, a stratified sample of 96 PSUs, consisting of counties or
groups of contiguous counties, was selected with probability
proportional to size. At the second stage, some large sampled PSUs were
subdivided into smaller groups of counties (second-stage units, or SSUs)
to increase the clustering of sampled births and thus decrease travel
costs. At the third stage, individual birth certificates were sampled
from lists provided by state registrars for counties sampled for the
ECLS-B. Birth certificates were sampled at different rates from each of
36 strata defined by a cross-classification of all levels of the three
main analytic domains.

To select the American Indian/Alaska Native supplemental PSUs, a
separate sampling frame of areas with high prevalence of American
Indian/Alaska Native births was constructed, focusing particularly on
areas with reservations. An independent sample of 18 PSUs was selected
from this sampling frame to provide the supplemental American
Indian/Alaska Native PSU sample in areas where American Indians/Alaska
Natives are concentrated. In addition, the sampling fraction for
American Indian/Alaska Native births in the core sample was set at a
corresponding fraction to represent American Indian/Alaska Native births
in other areas. The full sample of American Indian/Alaska Native births
is obtained by combining this supplemental 18 PSU sample with the
American Indian/Alaska Native births sampled in the core sample.

2.2 Kindergarten 2007 Sampling Procedures

All respondents to the kindergarten 2006 interview who had not started
kindergarten by time of the kindergarten 2006 parent interview will be
included in the kindergarten 2007 data collection activity.
Additionally, the 2007 sample will include kindergarten repeaters among
those whose parents participated in the 2006 wave.

2.3 Estimation Procedures

Because a nationally representative unequal probability sample of births
was drawn for the ECLS-B, weights will be required for unbiased
estimation. The kindergarten weighting steps will be similar to those
used for the 2-year, preschool, and kindergarten 2006 waves, and will
include adjustments for nonresponse to the kindergarten 2007 wave. The
base weight used for the adjustments for kindergarten 2007 nonresponse
will be the analysis weight for analyzing the kindergarten 2006 parent
data. Response propensity modeling will be used for the weight
adjustments, where the dependent variables in the model are obtained
from the birth certificate data and prior round interviews. It is
expected that a similar set of variables as was used for the 2-year,
preschool, and kindergarten 2006 weights will be used for the
kindergarten 2007 nonresponse weight adjustment. Variables used for the
weight adjustments at preschool include the following: types of
activities the parent participates in with the child, attitudes toward
raising children, demographic characteristics of the child, parents'
highest levels of education, household income, whether the child is in
child care, poverty status, region, SES indicator, urbanicity, alcohol
and tobacco use by the parents, and work status of the parents.

The kindergarten 2007 data collection consists of a number of components
at the parent, child, child care provider, and teacher levels, and a
corresponding set of weights will be required for use with each
component. In addition, because the kindergarten 2007 data collection is
the fifth data collection point in a longitudinal study, weights will be
required for analyzing respondents to the components across time.

The data files will also contain a set of replicate weights and stratum
and PSU codes to enable variance estimation for complex sample designs.
The following sections discuss these steps in more detail.

**Sets of weights.** Many types of weights can be produced for the
respondents to the kindergarten follow-up, including

-   weights for analyzing respondents to the kindergarten 2007
    follow-up, and

-   longitudinal (or panel) weights for analyzing respondents to all
    five of the data collection points (9 months, 2 years, preschool,
    kindergarten 2006, and kindergarten 2007.

Weights can be computed for analyzing the components, including

-   parent questionnaires,

-   child assessments,

-   child care provider questionnaires, and

-   teacher questionnaires.

The sets of weights that are needed will be decided after looking at the
response patterns to the surveys, and based on the analytic objectives
as expressed by NCES. Response patterns will be analyzed by constructing
indicator variables for whether the child has each of the components for
each data collection point, and looking at a cross-tabulation of these
indicator variables.

**Base weights.** Because the 9-month data collection nonrespondents
will not be contacted for follow-up in the kindergarten data collection,
kindergarten respondents will be a subset of the 9-month data collection
respondents. Because the kindergarten 2007 sample consists of all
kindergarten 2006 respondents, the kindergarten 2006 response-adjusted
parent analysis weight will serve as the base weight.

**Weight adjustments.** The main objectives in adjusting sampling
weights include correcting for survey nonresponse and survey
undercoverage. In addition, adjusting to population totals through
poststratification can reduce standard errors.

Weighting adjustments can be separated into two general types:
sample-based adjustments such as nonresponse adjustments, and
population-based adjustments such as poststratification. In sample-based
adjustments, data from the sampling frame (or previous round) are used
to adjust the respondent sample so that it represents the whole sample
(i.e., both respondents and nonrespondents). In population-based
adjustments, weights for respondents are adjusted to make sample
estimates with the adjusted weights conform to known population values.

**Sample-based adjustments.** We will first adjust the base weights for
the kindergarten 2007 data collection nonresponse. In this survey, a
kindergarten data collection "nonrespondent" is any prior round
respondent who was included in the kindergarten data collection for whom
survey data are not collected. Nonresponse can result from a number of
causes, for example,

-   being unable to locate;

-   refused to participate;

-   participated, but provided incomplete or inadequate data for
    scoring;

-   interviewer could not enter premises to contact;

-   not available during data collection period; or

-   located too far outside sampled PSU to follow.

Children who are deceased or who have moved outside of the country will
be treated as ineligibles instead of nonrespondents for the data
collection.

The kindergarten data collection response dispositions in conjunction
with prior round questionnaire data and frame data will be used to
identify variables that can be used to adjust the weights for
kindergarten nonresponse. As noted earlier, variables used for adjusting
the weights will be similar to those used for the 2-year, preschool, and
kindergarten 2006 weight adjustments.

**Population-based adjustments.** The kindergarten 2007 data collection
nonresponse adjusted weights will be adjusted for undercoverage and
variance reduction using raking or poststratification. If the population
counts of the interior cells of the cross-tabulation are known (as they
are in this case), and the corresponding sample counts are reasonably
large, the weight adjustment should be applied at the cross-tabulation
cell levels and is called poststratification. However, raking may be
used even if the cell counts are known when the cell sizes are small.

Through the NCHS natality detail files, there is sufficient flexibility
to generate counts for any level of cross-classification for the ECLS-B
weighting adjustments. Raking will be used as the primary tool in
adjusting sampling weights because it allows for more variables to be
included in the adjustments. Cell definitions will be based on variables
such as the three sampling domains (race/ethnicity, birth weight, and
plurality) as well as other variables such as census region. The
kindergarten 2007 respondents will be augmented with the kindergarten
2006 respondents who were not included in the kindergarten 2007 data
collection because they had already started kindergarten. This combined
file will be used and adjusted to the same population counts (i.e., the
2001 natality universe) used for the 9-month data collection
population-based adjustments. Immigration will not be reflected in the
totals, and emigration will be treated as ineligible in this adjustment.

**Variance estimation.** Replicate weights will be provided for
jackknife variance estimation (paired jackknife replicate weights, for
use with software that analyzes complex survey designs). These replicate
weights were computed for the 9-month, 2-year data, and preschool data,
and similar weights will be computed for the kindergarten 2006 data. In
addition, the stratum and PSU identifiers to support variance estimation
using the Taylor Series approximation method will be provided. A single
set of stratum and PSU identifiers are sufficient for the ECLS-B; the
construction of these variables will start with the comparable variables
on the 2-year and preschool data files. Respondent counts will be
examined for the various weights to ensure that each pseudo PSU contains
at least two observations. A brief description of each method of
variance estimation follows.

**Replication and replicate weights.** Variance estimation can be
conducted using replicate weights and the appropriate software. Many
software packages (e.g., SUDAAN, WesVar, Stata, AM) can use jackknife
weights to calculate correct standard errors. Jackknife replicate
weights will be available for users on the ECLS-B data files. They will
be calculated given the full sample weighting steps described above, by
repeating all of the weighting adjustment steps (base weights,
nonresponse, population-based adjustments) independently for each
replicate sample.

**Taylor Series approximation.** Taylor Series approximation methods
produce a linear approximation to the survey estimate of interest; then
the variance of the linear approximation can be estimated by standard
variance formulae. When variables involved in the raking adjustment of
the weights are included in the analyses, the Taylor series
approximation of the variance is poor compared to jackknife methods for
the ECLS-B data. Because the raking variables are often a part of the
analysis for users of the ECLS-B data, the Taylor series approximation
is not recommended. However, the variables needed for Taylor series
approximation will be included on the dataset for ECLS-B users who do
not have access to software for jackknife variances.

The formulae for the Taylor series approximation are as follows:

If $Y = \left( Y_{1},\text{.}\text{.}\text{.},Y_{p} \right)^{'}$denotes
a p-dimensional vector of population parameters,
$\hat{Y} = \left( {\hat{Y}}_{1},\text{.}\text{.}\text{.},{\hat{Y}}_{p} \right)^{'}$is
the corresponding vector of estimators based on a sample *s* of size
*n*(*s*), $\theta = g(Y)$is the population parameter of interest, and
$\hat{\theta} = g\left( \hat{Y} \right)$is an estimator of $\theta$,
then

$$\hat{\theta} - \theta\overset{˙}{=}\sum_{j = 1}^{p}\frac{\partial g(Y)}{\partial y_{j}}\left( {\hat{Y}}_{j} - Y_{j} \right)$$

and

$v\left( \hat{\theta} \right)\overset{˙}{=}v\left( \sum_{j = 1}^{p}{\frac{\partial g(Y)}{\partial y_{i}}\left( {\hat{Y}}_{j} - Y_{j} \right)} \right) = \sum_{j = 1}^{p}{\sum_{i = 1}^{p}\frac{\partial g(Y)}{\partial y_{j}}}\frac{\partial g(Y)}{\partial y_{i}}\text{cov}\left\{ {\hat{Y}}_{j},{\hat{Y}}_{i} \right\}$

Stratum and first-stage unit identifiers will be provided as part of the
data file to be used with software such as SUDAAN, STATA, and the SAS
survey data analysis procedures.

**Degree of accuracy needed.** Table B-1 gives estimates of the
kindergarten 2007 sample size, eligible sample size, and number of
complete interviews (by subgroup) that are expected (under the
assumption that the kindergarten 2007 sample consists of kindergarten
2006 completes who had not yet started kindergarten, expected to be
about 25 percent of the kindergarten 2006 sample). Assuming that 99
percent of the kindergarten 2006 sample of children are eligible and
that that 90 percent respond to the kindergarten 2006 round, and that 25
percent have not yet started kindergarten at the time of the 2006 parent
interview, the kindergarten 2007 sample will consist of an estimated
1,706 children. Assuming that 99 percent are still eligible at the
kindergarten 2007 round and that 90 percent respond, the kindergarten
2007 round will yield 1,689 eligible sample members with 1,520
responding parent interviews.

The ECLS-B sample was designed to support analyses for 11 specific
subgroups from three separate but overlapping domains (race/ethnicity,
birth weight, and plurality). Therefore, the expected subgroup counts
given in the table sum to more than the expected total. The fifth column
of table B-1 gives the estimated effective sample size. The effective
sample size is the actual sample size divided by the survey design
effect; the effective sample sizes for the subgroups will not sum to the
effective sample size for the total sample because the design effects
vary across the subgroups. Table B-1 gives the estimated design effect
due to unequal weighting for each of the analysis domains.

2.4 Circumstances Requiring Specialized Sampling Procedures

None.

Table B-1. Estimated ECLS-B Kindergarten 2007 sample and number of
children with parent completes by subgroup

  ----------------------- -------------- ----------- ------------- ----------- -----------
  Category                Initial sample Estimated   Expected      Estimated   Effective
                          size for       eligibles   number of     design      sample size
                          kindergarten               respondents   effect for  
                          sample                                   parent      
                                                                   estimates   

  Total                   2,047          2,027       1,824         2.05        890

                                                                               

  Race/ethnicity:                                                              

  Hispanic                290            288         257           1.36        189

  Black                   328            326         287           1.43        202

  Asian and Pacific       244            236         210           1.20        175
  Islander (excluding                                                          
  Chinese)                                                                     

  Chinese                 92             90          80            1.23        65

  American Indian/Alaska  217            217         191           1.08        177
  Native                                                                       

  White/all others        876            870         799           1.73        462

                                                                               

  Birth weight                                                                 

  Very low birth weight   233            233         209           1.17        178

  Moderately low birth    326            320         290           1.59        183
  weight                                                                       

  Normal birth weight     1,488          1,474       1,325         1.72        770

                                                                               

  Plurality                                                                    

  Twins                   355            349         322           1.18        273

  Singleton and other     1,692          1,678       1,502         1.80        835
  multiple births                                                              
  ----------------------- -------------- ----------- ------------- ----------- -----------

NOTE: Detail may not sum to the total due to rounding. The sample for
the kindergarten 2007 wave will include those children who were
respondents to the kindergarten 2006 wave who had not begun kindergarten
by the time of the kindergarten 2006 parent interview; this is expected
to be 25 percent of the kindergarten 2006 respondents. The sample will
also include those children who were respondents to the kindergarten
2006 wave who are repeating kindergarten in 2007; this is expected to be
5 percent of the kindergarten 2006 respondents. The second column
assumes a 99 percent eligibility rate. The third column assumes that 90
percent of eligible cases will have a parent interview. The design
effect column reports the expected design effect due to unequal
weighting, after accounting for nonresponse adjustments and the
subsampling that occurred at the kindergarten 2006 wave. The domains in
the effective sample size column will not sum to the total because the
design effects vary across the domains.

SOURCES: RTI International, previously unpublished tabulations (January
2007)

# 3. Methods Used to Maximize Response Rates {#methods-used-to-maximize-response-rates .ahd12-1}

As on any longitudinal study, high response rates are necessary not only
for each individual round of data collection but also to achieve a high
cumulative response rate as the study moves forward. Obstacles to
participation vary across the components of the ECLS-B study, and
therefore, the solutions must vary as well. We discuss our strategies
for the different components below. Estimates for refusal rates and
unlocatables for the kindergarten 2007 round are based on data
collection for kindergarten 2006, which has not yet been completed.

3.1 Maximizing Screening Response Rates

A mixed-mode approach will be used to maximize the response rate for the
screening survey identifying kindergarten repeaters for inclusion in the
kindergarten 2007 sample. A 45 percent response rate is estimated for
the initial screener mailing, which will be conducted via priority mail
and include a \$5 prepaid incentive. The incentive is designed to
encourage return of the completed screener or calls to RTI to complete
the screening by telephone. Sample members who do not respond to the
mailing will be contacted by RTI telephone interviewers to obtain the
eligibility information and update contact information. Of the 55
percent of the cases requiring telephone follow-up, it is estimated that
15 percent will not be reached by telephone during the screening period
(i.e., sample member's number is unlisted or disconnected, or there is
no telephone service). As needed, intensive tracing of sample members
who have moved or who cannot be reached by telephone will be initiated,
as described in section 3.2. A final nonresponse mailing by Federal
Express will be conducted in an effort to maximize screening response
rates. All children found to be repeating kindergarten in fall 2007 will
be included in the kindergarten 2007 sample.

3.2 Improving Home Visit Response Rates

Parent response rates at the baseline data collection (9-month) were
77 percent unweighted and 74 percent weighted. The unweighted parent
response rate for the 2-year round of data collection was 93 percent and
93 percent weighted. At the preschool round, the unweighted parent
response rate was 91 percent; 91 percent weighted. We anticipate
achieving a targeted 90 percent response rate for the kindergarten 2006
round and a targeted 90 percent response rate for the kindergarten 2007
round for parents who responded to all prior rounds of ECLS-B. Data
collection for both K06 and K07 will be ended when the response rates
reach 90 percent for budgetary reasons. The response rate is the number
of completed parent interviews divided by the total eligible sample.

In the baseline round, the majority of the nonresponding cases were
refusals (14 percent), with additional nonresponse resulting from the
families not being located (6 percent) and for various other reasons (5
percent). At 2 years, the percentage of refusals was 3 percent, with 2
percent of the families not located. In the preschool round, 4 percent
of nonresponse cases were refusals, and 1 percent were unlocatable. In
the kindergarten 2006 round, we anticipate approximately 4 percent
refusals, approximately 1 percent unlocatables, and approximately 5
percent for all other noninterviews. The lower percentage of
unlocatables expected in the kindergarten 2006 round is largely due to
the short time that elapsed since the preschool round and to the
availability of Social Security numbers (SSNs) for tracing sample
members who provided them during preschool round interviews. The lower
percentage of refusals expected in the kindergarten 2006 round is
attributed to the sample being composed almost entirely of respondents
from the preschool round and to refined refusal conversion techniques.
With continued updating of sample member contact information and
collection of SSNs during kindergarten 2006, improved refusal conversion
techniques, and a significantly shorter parent interview (45 minutes
versus 80 minutes) in the kindergarten 2007 round, we anticipate
improving kindergarten 2007 round nonresponse rates to at least a 90
response rate for those who responded to all prior rounds.

About 1 percent (*n* = 109) of the cases in the 9-month data collection
were found to have moved by the time of the 2-year data collection to a
residence outside of the 75 mile radius of their primary sampling unit
(PSU) recorded at 9 months. Because this distance was considered outside
the canvassing area of field staff, these sample members were not
followed in the 2-year round of data collection. In the preschool round,
interviewers attempted telephone interviews with parents only for cases
outside the 75 mile radius. A total of 240 interviews were completed by
telephone; however, two of the cases beyond the 75 mile radius could not
be completed by telephone or in person. For the kindergarten 2006 round,
the radius was expanded to 100 miles and 137 cases were completed by
telephone. Due to a smaller and less clustered sample in the
kindergarten 2007 round, we anticipate increasing the radius and using
traveling interviewers to do in-person interviews within a larger
radius. However, telephone interviews will still be conducted with
parents who have moved outside of this larger radius.

The kindergarten 2006 sample included an 85 percent subsample of the
responders to the preschool round, as well as nonrespondents to the
preschool round classified as American Indians/Alaska Natives, yielding
a total of 7,657 cases. Although refusal rates in the kindergarten 2006
round are currently lower than experienced in the preschool round,
refusal conversion techniques are being used to minimize this source of
nonresponse as much as possible. One strategy commonly used with refusal
cases is to set the cases aside and attempt contact later when the
sample member may be in circumstances more favorable for a positive
response to the interviewer. Other strategies for refusal conversion
that worked well in the kindergarten 2006 round and that will be used
again in the kindergarten 2007 round include:

-   transferring a refusal case to another interviewer in the area for
    in-person follow-up;

-   having a field supervisor follow up by telephone with the refusing
    sample member;

-   mailing another lead letter via FedEx and then following up by
    telephone;

-   sending a refusal conversion letter via FedEx specifically tailored
    to address the sample member's concerns or objections (i.e., too
    busy, not interested in continued participation, etc.) and following
    up by telephone; and

-   as a last resort, conducting a telephone interview with parents who
    will not allow an in-home visit.

While refusals to follow-up rounds are usually low, a potentially
greater source of nonresponse is likely to be sample members whom the
interviewers cannot locate. To address this issue in the kindergarten
2006 round, we mailed a letter and a postage-paid contact information
update card to the sample families at their last known address in July
2006. A month before this mailout, cases were checked against the
National Change of Address (NCOA) database to obtain any address updates
filed with the U.S. Postal Service. Cases were also submitted to
Telematch, a company that provides telephone number updates from white
pages all over the country. We plan to repeat these procedures on the
same schedule for the kindergarten 2007 round. However, the items on the
postage-paid contact information update card will be embedded in the
kindergarten repeater screening instrument to minimize mailings to
parents of children who were in kindergarten in 2006.

The purpose of the mailing is twofold. First, the letter updates parents
on the current status of the study and specifically informs them that
RTI will be conducting the next round of data collection and provides
them with the timeline. We also provide sample members with a toll-free
telephone number to call with any questions.

Second, the mailing helps us to identify sample members who have moved
and update our locator records through a variety of techniques. For
example, sample members can fill out and return the postage-paid contact
information update card noting whether they had moved or if they plan to
move between their receiving the mailing and the beginning of data
collection. They are also given the option to call the toll-free number
with any locator information updates. Finally, all returned mail (i.e.,
bad address, no such address, undeliverable, etc.) is monitored and the
information is added to our control system for later follow-up.

We also plan to resubmit all cases to NCOA and Telematch to receive the
latest address and telephone information several weeks before
kindergarten data collection begins. RTI's tracing unit will use the
databases described below for those cases classified as unlocatable.

In the preschool and kindergarten 2006 rounds of data collection, RTI
collected parent SSNs for tracing purposes in follow-up rounds. Before
we begin kindergarten 2007 round data collection, we will use FastData,
which is a database that returns locating information based on SSNs.
Only cases in which the sample member has provided us with an SSN and
has not been located through NCOA or Telematch will be submitted to
FastData.

In addition to these outside vendors, RTI's Tracing Operations (TOPS)
unit is available for intensive tracing of unlocatable cases. TOPS
tracers have access to multiple credit bureau databases, consumer and
census-oriented databases, state Division of Motor Vehicle (DMV)
records, and computerized residential telephone and address lookup
services. In addition to database searches, tracers will also call
contact persons named by the respondent in previous rounds of data
collection and neighbors or relatives of the family identified through
database searches.

Generally, earlier steps in the tracing process, such as confirming area
codes for preloaded telephone numbers and conducting searches using the
least expensive databases, will entail fewer costs. Later steps will
involve more expensive searches that will be used only for the cases
most difficult to locate. Starting in the kindergarten 2006 round, TOPS
utilized SSNs when available to further aid in locating respondents. All
steps conducted by the tracers, and their outcomes, were documented in
the TOPS Case Management System (CMS). A detailed report of these steps
was sent to the field interviewer who received the case after it was
worked by TOPS. All information sent from TOPS to the field was in
electronic form and remained on the field interviewer's laptop until the
case was completed and data were transmitted back to RTI. Therefore,
tracing data were secured from risk of loss or disclosure. We will use
these same procedures in the kindergarten 2007 round.

Cases that do not have a telephone number in our control system will
undergo intensive tracing by TOPS before assignment to a field
interviewer. Cases that have an undeliverable panel maintenance or
screening instrument mailing may also go to TOPS for intensive tracing
before assignment to the field if batch tracing does not provide any new
information. In most instances, batch tracing will be the most
cost-effective means of pursuing these cases. A tracing specialist may
spend up to 1.5 hours locating a telephone number, which typically is
less expensive than having a field interviewer visit the last-known
address, possibly when no one is home. If TOPS is unable to locate a
telephone number for the family, then the case will be assigned to the
field for in-person locating.

Field interviewers will identify additional cases assigned to them for
which the telephone numbers and addresses provided are no longer
accurate. In these instances, interviewers will perform some simple
field locating activities if the last-known address is within 30 miles
of the interviewer's home, or is near other sampled cases. These
activities include talking to current residents at the last-known
address and to former neighbors of the family. If no leads are developed
from these efforts, or if the case is more than 30 miles from the
interviewer's home and not near other sample members' homes, the case
will be transferred to TOPS for centralized tracing. The decision to
send a case to TOPS, and at what point, will be made by the field
supervisor on a case-by-case basis. If TOPS cannot locate the family,
the case will be returned to the field for more extensive field
locating.

There will likely be a few difficult cases that will not be located even
after additional field locating; we may send these types of cases back
to TOPS for additional intensive tracing. This decision will be made on
a case-by-case basis by the regional supervisor.

Because many sample members provided us with updated tracing information
during the kindergarten 2006 rounds, such as contact information for
friends and relatives that will always know how to reach them, we
anticipate fewer locating problems in the kindergarten 2007 round of
data collection. However, after we have exhausted all other tracing
options, we may also utilize Choicepoint, another locating database
available to RTI's TOPS Unit. Choicepoint has a slightly higher fee
associated with each search but allows tracing to be initiated with
fewer identifiers. This could be beneficial for cases in which leads
have all been exhausted and there is limited information to base a new
search on.

Respondents who have moved outside of a reasonable geographic range from
our field staff can present another source of nonresponse. Standard
procedures will be put in place to handle such situations. Interviewers
will be instructed that if a sample family lives more than 150 miles
from them, they should contact the field supervisor for further
instructions. If another interviewer lives within 150 miles of the
family, the case will be transferred to the closer interviewer.
Otherwise, the interviewer will conduct the parent interview by
telephone and will not conduct the child assessments. However, if the
case produces a Wraparound Early Care and Education Provider (WECEP) and
the parent gives us written consent to contact him/her, the interviewer
will also pursue interviews with the selected WECEP.

The ECLS-B field supervisors are required to document and review actions
taken on all pending noninterview cases, including pending refusal,
tracing, and noncontact cases. This ongoing review allows supervisors to
assess the viability of specific cases and to identify a tailored
approach for follow-up. Through this process, field supervisors are
reviewing case histories and determining if all address, phone numbers,
and potential contact sources have been worked thoroughly; determining
if contact attempts have been made on different days of the week and at
different times of day, as appropriate; and preparing case-specific
instructions on next best steps for those cases that remain viable.
Before a case can be finalized as a noninterview, the RTI regional
supervisor must review the documentation and approve assignment of any
final noninterview disposition code. This level of review ensures all
appropriate steps have been taken to work the case adequately and helps
to achieve the best possible response rates.

3.3 Improving Wraparound Early Care and Education Provider Response
Rates

Based on the kindergarten 2006 experience to date, we expect that
approximately 25 percent of the children will not be entering
kindergarten until the 2007 round, and about 5 percent will repeat
kindergarten in fall 2007. If these children receive out-of-home care in
the kindergarten 2007 round, interviewers will be prompted by the
computer to obtain permission from the parent to contact the child care
provider. The provider could be the Wrap Around Early Care and Education
Provider (WECEP), or in center-based situations, the program
administrator.

Two levels of permission/cooperation make up the child care provider
completion rate: the permission of the parent to contact the provider
and the cooperation of the provider. In the 2-year round of data
collection, the parental refusal rate was the source of greater concern,
with approximately 25 percent of parents refusing to allow contact with
the care provider. However, the cooperation rate among those providers
who were contacted was reasonably good (90 percent). Because both rates
are factors in the overall response rate, our strategy in the preschool
round addressed each of these components, resulting in a parent refusal
rate reduction to 9 percent, and a provider cooperation rate improvement
to 94 percent. We employed the same strategy in the kindergarten 2006
round.

First, the same interviewers who conducted in-home visits completed
telephone interviews with child care providers, enabling them to
capitalize on their intimate knowledge of the individual cases and their
rapport with the families. This continuity in interviewing staff helped
increase *both* the parent permission rate and the provider cooperation
rate. Parents were more willing to have an interviewer with whom they
had become comfortable contact their child's care provider than a remote
interviewer with whom they were not familiar.

After the parent provided permission to contact the child care provider,
the interviewer asked the parent to inform the care provider and, if
applicable, the program administrator about the study and to also let
them know that the interviewer would be trying to get in touch with them
in a few days. Materials about the study were provided for the parent to
give to the provider and program administrator. Using the same
strategies used in the kindergarten 2006 round, we anticipate that
engaging the parent in the process of gaining cooperation from the
provider will increase cooperation rates. Thus, by the time the field
interviewer calls the provider, the provider will have received a lead
letter from RTI, a signed permission form from the parent, and possibly
will have heard from the parent about the study and be expecting a call
from a particular interviewer. The interviewer will be able to say that
he or she conducted a home visit with the family recently, adding the
personal touch that an offsite telephone interviewer would not have.
Furthermore, interviewers will be more careful to collect complete and
accurate contact information on care settings and providers' names from
parents if they are responsible for the follow-up with the provider.
This will help reduce location time and the number of cases lost as
unlocatable.

As in the kindergarten 2006 round, for children entering or repeating
kindergarten in the 2007 round, interviewers will be prompted to obtain
permission for one additional contact, the child's kindergarten teacher.

3.4 Improving Teacher Response Rates

We expect that approximately 30 percent of the children in the
kindergarten 2006 round will be attending kindergarten in 2007. One of
the goals of the ECLS-B project is to evaluate school readiness and its
relationship to earlier childhood experiences. The teacher can provide
valuable information about how the child learns and behaves in an
academic setting. There are up to three levels of permission and
cooperation that make up the teacher completion rate: the permission of
the parent to contact the teacher; district approval for public schools;
and the cooperation of the teacher him or herself. The rate of parental
consent to contact the teachers during the 2006 kindergarten round is
currently at 98 percent. Approximately 23 percent of cases require
district approval to mail the teacher survey in the kindergarten 2006
round. Although time consuming, we have been generally successful in
gaining this approval. We do expect to encounter challenges at the
teacher level.

The projected response rate for teachers is 75 percent. The kindergarten
2006 teacher response rate is currently approximately 71 percent.
However, the data collection period has an additional month before all
teachers have received all mailings and contacts. We have taken
additional steps to ensure the highest possible response rate in the
kindergarten 2006 round and will implement these steps again in the 2007
round.

To optimize response, we plan to deploy the same successful strategies
applied in the kindergarten 2006 round to the kindergarten 2007 round.
First, there are two separate reminder e-mails, one following the
mailing of each of the first two questionnaires. Second, we may send a
third questionnaire packet via an express mail delivery service as a
final attempt to gain the attention of the teacher. Finally, another
strategy that was originally applied to the preschool round child care
provider data collection and adapted for the kindergarten 2006 round
will be retained for the kindergarten 2007 teacher survey. We will
include a letter signed by the parent in the teacher questionnaire
packet, confirming for the teacher that the parent furnished the
teacher's name and has given permission for the teacher to furnish the
requested information.

# 4. Pilot Tests {#pilot-tests .ahd12-1}

Prior to the kindergarten 2006 national study, a small pilot test was
carried out for many of the instruments to make any last-minute
adjustments in procedures and item comprehension. This occurred after we
had received approval from the ERB.

The child cognitive assessment, the WECEP, and teacher questionnaire
will not be tested because they have not changed since the ones used for
the kindergarten 2006 national data collection. The majority of the
changes to the Parent interview between the kindergarten 2006 and
kindergarten 2007 national data collections were deletions to reduce the
size of the instrument. In-house timings of the Parent interview
indicate that the length of that instrument is approximately the target
time of 45 minutes, so no pilot test of this instrument will take place.

# 5. Personnel Involved in the Kindergarten Sample Design and Data Collection  {#personnel-involved-in-the-kindergarten-sample-design-and-data-collection .ahd12-1}

Table B-2 lists the personnel involved in the ECLS-B kindergarten sample
design and data collection who may be contacted for additional
information.

Table B-2. Personnel involved in the ECLS-B Kindergarten 2007 sample
design and data collection

  -----------------------------------------------------------------------
  Name                 Title                             Telephone
  -------------------- --------------------------------- ----------------
  Susan Kinsey, B.S.   Program Director, RTI             919-485-7726

  Jean Lennon, Ph.D.   Project Manager, RTI              919-485-2654

  Kyle Snow, Ph.D.     Principal Investigator, RTI       919-541-6767

  Karen Morgan, Ph.D.  Teacher Data Collection Task      919-485-7779
                       Leader, RTI                       

  Ilona Johnson, B.A.  Home Visit Data Collection Task   919-485-5731
                       Leader, RTI                       

  Sara Wheeless, Ph.D. Senior Statistician, RTI          919-541-5891

  Donald Rock, Ph.D.   Consultant                        609-896-2659

  Judy Pollack, M.S.   Educational Testing Service       609-734-1507

  Michelle Najarian,   Educational Testing Service       609-734-5659
  B.S.                                                   

  Jennifer Park, Ph.D. Project Officer, NCES             202-219-7002
  -----------------------------------------------------------------------

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[^1]: These are current eligibility and response rate expectations for
    the kindergarten 2006 data collection.