1 Process for launching an ITC Project: From Inception to Result Dissemination Anne C.K. Quah, Ph.D. University of Waterloo Canada ITC Project Workshop Taipei, Taiwan—November 22, 2011

Aspects of Creating and Implementing an ITC Project Survey General considerations ITC Survey methodology and data management Role of ITC Project & ITC Data Management Centre (DMC), and broader ITC Project team in the creation of research products

Aspects of Creating and Implementing an ITC Project Survey General considerations: A) Funding Establish funding for ITC Survey, Data Management and Support Investigate the process of funding for multiple waves B) Investigators Identify investigators in surveyed countries Establish and ITC liaison (or ITC Project team)

Aspects of Creating and Implementing an ITC Project Survey C) Rationale Examine existing poly environment Identify expected changes in policy and dates of expected changes Determine if estimation of prevalence is important D) Survey Population Determine populations of interest (i.e. smoker vs non, adult vs youth) Determine if participants will be urban, rural, or both Determine languages in which to survey Determine data collection mode (telephone vs. face-to-face) Determine sample sizes

Aspects of Creating and Implementing an ITC Project Survey E) Timelines Identify a proposed timeline for surveying Establish a timeline for pre-survey work (planning, ethics, agreements) F) Survey Planning Establish survey questions and supplementary documents (information letters/consents, scripts, enumeration forms and training manuals) G) Ethics/IRB Requirements Ethics applications must be submitted to all appropriate institutions

Aspects of Creating and Implementing an ITC Project Survey H) Standard Agreement and Data Sharing Agreements regarding partnerships, funding and data sharing need to be in place. I) Participation in other ITC/Roswell Park Projects Product Repository Air Quality Monitoring

Aspects of Creating and Implementing an ITC Project Survey ITC Survey Methodology and Data Management: Survey Methodology A) Sampling Design Determine stratification Determine clustering

Aspects of Creating and Implementing an ITC Project Survey B) Telephone Surveys Establish protocol for random recruitment and dispositions Determine if recruitment and survey call will be separate Establish protocol for survey call C) Face-to-Face Surveys Establish protocol for random recruitment and dispositions Establish household enumeration protocol and sequence with interviews Establish protocol for survey interview

Aspects of Creating and Implementing an ITC Project Survey Survey Content A) Selection of policy domains FCTC policy domains Identification of key policy domains in country (e.g., policies scheduled to be implemented): list of key tobacco control policies in country is essential B) Creation of survey items Consistency with existing ITC Surveys—essential for cross-country comparisons Creation of new items because of country-specific interests/importance Simplification of items/expansion of items

Aspects of Creating and Implementing an ITC Project Survey Survey Fieldwork and Data Management A) Household Enumeration Data File B) Survey field reports C) Response Rates and other Disposition/Outcome Rates D) Survey Data File and Incorporation into the ITC Data Repository E) Inclusion of Design Variables for Creating Survey Weights

Aspects of Creating and Implementing an ITC Project Survey Role of ITC/ Data Management Centre Consultation on all aspects of design and data collection Design of data file Documentation of variables and their relationships Assistance with calculation of response rates, survey weights, etc. + documentation Storing and managing access to data Assistance with preparation of reports Assistance, partnership with preparation of academic products (presentations, publications)—with broader involvement with ITC Project team members The specific role that the Data Management Centre and the ITC Project plays in each country will depend on availability of funding

Hold Discussions with ITC Country Team The Life of an ITC Telephone Survey Secure Funding by UW and Country Team Plan Sampling Design and Scope of Survey with ITC Country Team Consider the number of individuals to be surveyed, upcoming policies that should be assessed, which regions/cities, rural vs. urban areas, what groups to survey: smokers, non-smokers, smokeless tobacco users, youth, etc.

Develop Survey Questions* Survey questions are developed for smokers and non-smokers (in some countries) based on key content areas and policies. *Many questions are derived from previous ITC surveys. The Life of an ITC Telephone Survey Translate Surveys The surveys are originally developed in English and subsequently translated into the appropriate language(s) for the country being studied. This can be done through UW, or by the ITC Country Team.

On-going Communication with the ITC Country Team Once the surveys are translated, changes can be made to the survey questions and/or the overall content. While taking care to have common measure questions, some survey questions are uniquely tailored to the specific country, language and culture. The Life of an ITC Telephone Survey Finalize Survey Questions ITC UW and ITC Country Team agree on the English and translated survey questions.

DMC Enters Survey into Database The survey is entered into the Access database. A completed version is sent to the survey firm or the international team conducting the surveys. Often, new questions or modifications are added to the survey during this time. The Life of an ITC Telephone Survey Ethics Clearance ITC UW and ITC Country Team apply and receive full ethics clearance before conducting survey fieldwork.

DMC Sends Survey to Survey Firm The survey firm is responsible for training interviewers and for generating a CATI (Computer-Assisted Telephone Interview) program. The Life of an ITC Telephone Survey Survey Firm Returns Survey and CATI Program to DMC The survey produced by the survey firm is checked for its fidelity to the draft sent by DMC. The CATI (Computer-Assisted Telephone Interview) program created by the firm is also checked, particularly for correct routing of respondents. Once verification is complete the go-ahead is given to the firm.

Survey Firm Begins Fieldwork Surveys are conducted and the firm reports back to the ITC team about their progress. The Life of an ITC Telephone Survey Data Cleaning by the Survey Firm The data collected by the survey firm is organized and presented in a manner that corresponds to the analysis protocols used at the DMC. Data Sent to DMC DMC data analysts calculate data weights and prepare the data set for release to researchers.

Access Survey Compared to Data Set The data in the data set is compared to the Access version of the survey to check that responses are in the correct order, the appropriate variable names have been assigned and that questions were not missed. Any changes to the survey that occurred in the field can be documented in Access at this time. The Life of an ITC Telephone Survey ITC UW and ITC Country Team Prepare Technical Report The ITC Country Technical Report describes the entire survey project for a particular wave. Included is information about sampling design, survey protocols, weight construction and other relevant topics.

Data Set Released to ITC members The data set is released to those researchers/organizations involved with ITC surveys that have signed the appropriate data sharing agreements. The Life of an ITC Telephone Survey Queries on Data Sets Queries by internal ITC members and external researchers are forwarded to ITC-DMC at UW who then provides assistance or clarification.

Hold Discussions with ITC Country Team The Life of an ITC Face-to-Face Survey Secure Funding by UW and Country Team Plan Sampling Design and Scope of Survey with ITC Country Team Consider the number of individuals to be surveyed, upcoming policies that should be assessed, which regions/cities, rural vs urban areas, what groups to survey: smokers, non-smokers, smokeless tobacco users, youth, etc.

The Life of an ITC Face-to-Face Survey Develop Survey Questions* and Interviewer Training Manual Survey questions are developed for smokers, non-smokers and youth based on policies that will be assessed. The training manual is developed specifically for an ITC Country based on the method of interviewer training. *Most questions are derived from previous ITC surveys. Translate Surveys and Training Manual The surveys are originally developed in English and subsequently translated into the appropriate language(s) for the country being studied. This can be done through UW, or by the ITC Country Team. In some countries, both the English and translated surveys are administered in the field.

The Life of an ITC Face-to-Face Survey On-going Communication with ITC Country Team Once the surveys and training manual are translated, changes can be made to the survey questions and/or content of the training manual. While taking care to have common measure questions, some survey questions are uniquely tailored to the specific country, language and culture. The training manual is usually specifically written for each ITC Country Team. Finalize Survey Questions & Training Manuals ITC UW and ITC Country Team agree on the English and translated survey questions and training manual.

The Life of an ITC Face-to-Face Survey Distribute Final English and Translated Survey & Training Manual to International Team Interviewer training will be carried out using the training manual and the final version of the survey. Ethics Clearance ITC UW and ITC Country Team apply and receive full ethics clearance before conducting survey fieldwork.

The Life of an ITC Face-to-Face Survey DMC Enters Survey into Database The English version of the survey is entered into the Access database. Syntax is generated for variable and value labels. Annotate Translated Survey with Variable Names ( This document is then posted on the online survey bank). ITC Country Team Conducts Interviewer Training Sessions ITC Country Team Interviewers Conduct Fieldwork ITC Country Team Enters Responses into Data Management Software and does Preliminary Cleaning

The Life of an ITC Face-to-Face Survey Compare Survey Response Options to Data Set This check ensures the correct variable names are assigned to their corresponding questions. It also provides confirmation that the document response options match the data set sent from ITC Country Team. ITC Country Team Sends Data Set to DMC Data analysts finish cleaning the data, calculate weights and establish preliminary frequencies. ITC UW and ITC Country Team Prepare Technical Report The ITC Country Technical Report describes the entire survey project for a particular wave. Included is information about sampling design, survey protocols, weight construction and other relevant topics.

The Life of an ITC Face-to-Face Survey Data Set Released to ITC members The data set is released to those researchers/organizations involved with ITC surveys that have signed the appropriate data sharing agreements. Queries on Data Sets Queries by internal ITC members and external researchers are forwarded to ITC-DMC at UW who then provides assistance or clarification.

27 1. Initial Proposal Steps Consult existing ITC documents to ensure idea is unique ( 1.In Press & Published Paper Citation List 2.In-Progress Paper Tracking List 3.Conference Presentation List If unique, then continue with the dissemination process ITC Project Dissemination Process

28 2. Dissemination Process 1. Researcher reads Data Usage Guidelines, Paper & Presentation Policy, Authorship Policy ITC Project Dissemination Process

29 3. Dissemination Documents ITC Project Dissemination Process

30 4. Dissemination Documents ITC Project Dissemination Process

31 Key Objectives: The primary reason we undertake ITC Projects – to communicate with policymakers and tobacco control advocates key learnings about where tobacco policies are strong and where they are weak The culmination of years of effort in survey planning, survey fieldwork, preparation of the data set Provides a tool or product to galvanize support among tobacco control community (and the media) for stronger policy actions ITC National Reports

32 Life of an ITC/TCP National Report STEP 1: Initial scoping STEP 2: Information gathering (ITC frequency data and policy context) STEP 3: Report writing (draft-revise-signoff) STEP 4: Public release/Dissemination event

33 Step 1: Initial scoping Identify available resources (funding for dissemination workshop; translation; design and printing) Identify team members (DMC, PMs, country team members, graphic designer, etc.) Identify launch date/event (WNTD, anniversary of a policy, other smoke-free events, tobacco control/public health conference) Plan timeline Specific objectives- tool to lobby for stronger warnings, smoke-free policies, tax increase, advertising ban (national report vs. specific policy reports) Identify key target audiences Life of an ITC/TCP National Report

34 Step 2: Information gathering Identify key survey variables and data analysis strategy (state-level, urban/rural, type of products used, age/sex) Submit data request to DMC Assemble information sources on tobacco control policy landscape (warnings, smoke-free, price/taxation, ad/promo bans, education/communication,cessation) and published academic papers Life of an ITC/TCP National Report

35 Step 3: Report writing Waterloo prepares drafts for IN team comments o Tobacco use and cessation o Smoke-free o Labelling o Price/tax o Ad/promo o Education, communication, public awareness Collaborate in identifying key findings and recommendations Ongoing process of review, revision, sign-off Translation? Graphic design (key ingredients)– sign-off Life of an ITC/TCP National Report

36 Step 4: Public release/dissemination Launch on ITC and project partner websites News releases (link to Reuters) Presentation/distribution of report at public dissemination event Press coverage Meetings with tobacco control officials Life of an ITC/TCP National Report

37 ITC Project Research Support Core support provided by the U.S. National Cancer Institute (P01 CA138389) Additional core funding provided by the Canadian Institutes of Health Research ITC Project Research Organizations