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Deciding Which Short Form Vitality, Social Functioning, Role-

Emotional, and Mental Health. Because


Survey to Use
more items permit better representation of
each health domain, the domains are best
Choosing among the forms and versions represented in the SF-36v2™ Health Survey
of the SF family of health survey and SF-36® Health Survey, followed by the
instruments depends on the requirements of SF-12v2™ Health Survey and SF-12® Health
the intended application, among other Survey, and then the SF-8™ Health Survey.
considerations. Score interpretation and the (See Table 3.1 for a detailed summary of the
need for norms are no longer major descriptive and statistical characteristics of
considerations because the health domains the SF-36v2™ Health Survey, SF-12v2™
and the underlying metrics (i.e., norm-based Health Survey, and the SF-8™ Health
scoring) used in scoring all of the Short Survey. A more detailed comparison of the
Form surveys have been standardized across SF-36® Health Survey with the SF-36v2™
the measures. In most cases, the choice Health Survey can be found in Chapter 13.)
involves a tradeoff between precision and The improved question wording and
respondent burden and whether simplified response categories of the SF-
computerized dynamic administrations are 36v2™ Health Survey and SF-12v2™ Health
possible. Survey make these revised versions easier to
The sections that follow will focus on understand and administer and less
the SF instruments developed for use with culturally biased than the original versions.
adults. The SF-36® Health Survey and SF-12®
Health Survey have 12 items in common,
Features of the Short Form Surveys and this comparability was preserved in the
Original and revised versions. Whereas updated versions of these two surveys. The
the SF-36® Health Survey and SF-12® SF-8™ Health Survey has only one item in
Health Survey are available in original and common with the SF-36v2™ Health Survey
revised versions, the SF-8™ Health Survey is and no items in common with the SF-12v2™
available in one version only. Although the Health Survey. Content is very similar
SF-36v2™ Health Survey and SF-12v2™ across all the surveys, however, and
Health Survey are very similar to their first measures of corresponding concepts achieve
version counterparts, each offers several a very high correlation across all forms. The
improvements, including increased range SF-8™ Health Survey, SF-36® Health
and precision for the Role-Physical and Survey, and SF-36v2™ Health Survey yield
Role-Emotional scales, improved item scores for the eight health domains as well
wording, and an easier-to-use format (these as for the PCS and MCS measures. The SF-
and other features are highlighted in the 12v2™ Health Survey also produces the eight
sections that follow). Because of these health domain scale and component
improvements, the SF-36v2™ Health Survey summary measure scores, an improvement
and SF-12v2™ Health Survey are over the SF-12® Health Survey, which yields
recommended over the SF-36® Health only component summary measure scores.
Survey and SF-12® Health Survey, Recall period. Most of the items in each
respectively, in most cases. Exceptions are survey ask respondents to consider a specific
noted below. period of time, or recall period, when
Content. All of the adult Short Form responding. Both versions of the SF-36®
surveys measure the same eight health Health Survey and SF-12® Health Survey
domains: Physical Functioning, Role- are available in two forms, each covering a
Physical, Bodily Pain, General Health, specific recall period. The standard, or 4-

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Chapter 3, pages 29-37
week recall, form asks the respondent to approach significance (p = .08) with two
answer the Short Form questions as they small samples of asthma patients
pertain to the way he or she felt or acted participating in a controlled study of the
during the past 4 weeks. The acute, or 1- effects of inhaled corticosteroid on HRQOL.
week recall, form asks the respondent to In addition, univariate analyses revealed
answer the Short Form questions as they more favorable results (higher scores on the
pertain to the way he or she felt or acted 0–100 scoring metric) from the acute form,
during the past week. The SF-8™ Health with RE averaging nearly 7 points higher (p
Survey is available in three forms, each of = .05), RP averaging nearly 5 points higher,
which has been validated, with differing and SF nearly 3 points higher. It is
recall periods: the standard form uses a 4- important, however, to note that this study
week recall, an acute form that uses a 1- was conducted within the context of a
week recall, and a second acute form that randomized clinical trial where changes in
uses a 24-hour recall (Ware, Kosinski, health status can occur relatively quickly,
Dewey, & Gandek, 2001). and, thus, it needs to be replicated with other
Use of the standard, or 4-week recall, acutely ill patient samples. Also, the Keller
form of the SF-36v2™ Health Survey is et al. findings could not be replicated with
appropriate for cases in which the data from the SF-36v2™ Health Survey 1998
instrument will be administered only once to normative sample, where health domain
the respondent, or when at least 4 weeks will scale scores from the standard and acute
pass between a re-administration of the forms were very similar.
instrument. In most cases, the standard Respondent burden. Shorter surveys
version will meet the needs of the clinician can be completed more quickly and require
for patient monitoring and the needs of the less space in printed questionnaires. The SF-
researcher for many types of investigations, 8™ Health Survey can be completed in 1 to 2
particularly those of a longitudinal nature. minutes, on average. The SF-12® Health
The acute, or 1-week recall, form Survey and SF-12v2™ Health Survey require
provides a better description of health status 2 to 3 minutes, on average, and the two
during the most recent week than the versions of the SF-36® Health Survey
standard form. When more frequent re- require between 5 and 10 minutes, on
administration is required, the acute form is average. Survey length and respondent
most appropriate. For example, the acute burden may be an issue in some clinical
form is recommended when a clinician or settings or when the survey is administered
researcher wants to closely monitor the as part of a large battery of instruments.
effects of a physical (e.g., pharmacological) Consequently, the SF-12v2™ Health Survey
or behavioral (e.g., psychotherapeutic) quickly became the tool of choice among
intervention on a patient or group of patients fixed-form population surveys because its
when such effects are likely to occur rapidly RP and RE health domain scales cover
(e.g., asthma therapy). However, one or wider ranges of health levels more
more weeks must pass between accurately with fewer items than their three-
administrations of the acute version in order and four-item counterparts on the SF-36®
to obtain valid information. Health Survey. This improvement in
Generally, the results from precision, in conjunction with a reduction in
administrations of the standard and acute respondent burden, is noteworthy in light of
forms substantially agree. However, users the importance of the role participation
may find that results from the acute form domains and the increasing importance of
will differ from those obtained from the practical considerations in selecting health
standard form. Keller et al. (1997), for measures for widespread use.
example, found the effect of the form did Precision. Like respondent burden,
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precision in part varies directly with the SF-12v2™ Health Survey, and, finally, the
numbers of items and response choices. The SF-8™ Health Survey. Note that the Full
SF-8™ Health Survey scales are the coarsest, MDE method requires the use of the
offering the least amount of precision and QualityMetric Health Outcomes™ Scoring
generally covering a narrower range of each Software 2.0 (Saris-Baglama et al., 2007;
of the eight health domains, and the longer see Chapter 5).
SF-36v2™ Health Survey offers a greater Data quality evaluation (DQE). Several
degree of precision than the SF-12v2™ measures and procedures have been
Health Survey. Furthermore, scales with developed or are otherwise available for
more levels provide greater measurement evaluating the quality of data obtained from
the administration of the Short Form
precision (see Table 3.1). Across all
surveys, including completeness of data,
domains, the SF-36v2™ Health Survey
responses outside of range, confirmation of
health domain scales have as many or more
the two-component structure, percentage of
levels, and thus greater measurement
estimable component scores, convergent
precision, than any of the SF-12v2™ Health validity, discriminant validity, consistent
Survey or SF-8™ Health Survey scales. This responses, percentage of estimable scale
is an important feature to consider when scores, item internal consistency, item
sample sizes are small and measurement discriminant validity, and scale reliability.
precision is paramount. The improvements Only some of these measures and
in the SF-36v2™ Health Survey and SF- procedures can be used with individual
12v2™ Health Survey significantly increased Short Form instruments (see Table 3.2; see
the precision of both of these surveys; as a also Chapter 6).
result, the difference between these updated Ceiling and floor effects. Another major
surveys is smaller than the difference consideration when choosing among the
between the SF-36® Health Survey and SF- Short Form surveys is ceiling and floor
12® Health Survey. effects. With the exception of the RP and
Note that the component summary RE scales, the range of observed scores is
measures of each of the Short Form greatest among SF-36® Health Survey and
instruments provide the greatest number of SF-36v2™ Health Survey health domain
levels of measurement and, thus, more scales compared to SF-12® Health Survey,
measurement precision than each of their SF-12v2™ Health Survey, and SF-8™ Health
form’s health domain scales. For this reason, Survey scales, although the differences are
even the SF-8™ Health Survey component not great (see Table 3.1). The implication is
summary measures may provide sufficient that the SF-36® Health Survey and SF-
measurement precision for studies involving 36v2™ Health Survey health domain scales
small sample sizes. define a wider range of each construct
Treatment of missing data. Two measured than the SF-12® Health Survey,
procedures have been developed for SF-12v2™ Health Survey, and SF-8™ Health
estimating scores when there are missing Survey scales. Therefore, the ceiling and
data within the Short Form surveys: the floor effects found with SF-36® Health
Half-Scale Rule and the Full Missing Data Survey and SF-36v2™ Health Survey scales
Estimation (Full MDE) (see Chapter 6). are less problematic. Moreover, with the
These procedures can be applied to data
incorporation of the revised role functioning
from all of the Short Form surveys;
items, the SF-36v2™ Health Survey is even
however, the most robust treatment of
less susceptible to these effects than the SF-
missing data occurs with the SF-36® Health
36® Health Survey.
Survey and SF-36v2™ Health Survey,
followed by the SF-12® Health Survey and Norms. More comprehensive norms are

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Chapter 3, pages 29-37
now available for the standard and acute discussed later in this chapter. A list of
forms of the SF-36v2™ Health Survey, SF- translated versions of all Short Form
36® Health Survey, SF-12v2™ Health instruments is available at
Survey, SF-12® Health Survey, and SF-8™ http://www.qualitymetric.com/products/
Health Survey. Norms for both versions of license/AboutLicensing.aspx#.
the SF-36® Health Survey and the SF-12® Documentation. Up-to-date manuals
Health Survey are based on a 1998 U.S. documenting survey development, scoring
general population sample, while the SF-8™ algorithms, U.S. general population norms,
Health Survey norms are based on a 2000 and interpretation guidelines are available
U.S. general population sample. for all adult Short Form instruments.
Additionally, as previously described, Published literature. By August 2006,
several sets of international norms are over 8,500 articles and other publications
available for use with the SF-36® Health about the Short Form surveys were
Survey. Although international norms for identified. Most of these publications (more
the SF-36v2™ Health Survey are not as than 7,000) are about the SF-36® Health
abundant as those for its predecessor, the Survey. This may be an important
number of SF-36v2™ Health Survey consideration in instrument selection if the
translations is continually growing. objective of a survey or study is narrow in
Norm-based scoring and interpretation. focus and benchmarks from the published
The desire for norm-based scoring (NBS) literature are crucial. With the noteworthy
and interpretation guidelines no longer improvements achieved with the SF-36v2™
needs to be a consideration when choosing Health Survey, the number of published
among the Short Form surveys. NBS can be articles on this version of the survey is
used to score all Short Forms (see Chapter expected to accelerate quickly within the
14 for detailed information). next few years. Updated information on all
Availability of health domain scales. of the Short Form surveys is available at
Interest in the eight health domains, in http://www.qualitymetric.com and
addition to the two component summary http://www.sf-36.org.
measures, is no longer a reason for favoring
the two SF-36® Health Surveys over the two Matching a Form to an Application:
SF-12® Health Surveys. In contrast to the General Considerations
SF-12® Health Survey, which yielded score Because of improvements incorporated
estimates for only the two component into the SF-36v2™ Health Survey and SF-
summary measures (Ware, Kosinski, &
12v2™ Health Survey, these updated surveys
Keller, 1995, 1996), the SF-12v2™ Health
are recommended over their original
Survey has the advantage of yielding scores
versions. The updated surveys are frequently
for all eight health domains and the physical
considered the tools of choice for fixed-
and mental component summary measures.
The SF-8™ Health Survey also provides form, short form questionnaires and are
scores on all health domain scales and recommended for use in clinical trials,
component summary measures. outcomes and effectiveness research, and
Translations. Both versions of the SF- clinical practice applications. Aside from
36® Health Survey, both versions of the SF- these situations, a number of factors should
12® Health Survey, and the SF-8™ Health be considered when deciding which survey
Survey have been translated or adapted into to use for a particular application. The
a total of more than 60 languages and other decision hinges in large part on making a
translation projects are currently underway. tradeoff between respondent burden and
Issues and considerations regarding score precision. This and other
translated versions of the SF instruments are considerations are addressed below.

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Assessing and monitoring individual usefulness with individual patient
patients for clinical purposes. Originally, evaluations has also been established in case
the SF-36® Health Survey was used in study demonstrations (e.g., see Wetzler,
population health surveys. Its brevity, Lum, & Bush, 2000; see also Chapter 12).
however, has made it and the SF-36v2™ It is important to note that some experts
Health Survey increasingly attractive for use in the field would contend that the
in clinical trials and for individual patient psychometric properties of the SF-36v2™
evaluation purposes in clinical practice. Health Survey are not adequate for use in
Selection from among the available individual assessments. For example,
health status measures for the assessment McHorney and Tarlov (1995) argued that
and monitoring of individual patients for the SF-36® Health Survey did not meet all of
clinical purposes often represents a their six criteria for individual patient
compromise between the burden that is applications. These criteria were: (a)
placed on the patient and medical staff to practical features (e.g., takes less than 15
obtain the information and the usefulness of minutes to complete), (b) breadth of health
that information. Obtaining health domain measured (e.g., includes scales for
and component summary information is measuring physical and mental status), (c)
much less burdensome when employing the depth of health measured (e.g., allows for
SF-12v2™ Health Survey instead of the SF- adequate floor and ceiling), (d) cross-
36v2™ Health Survey, and even less sectional measurement precision (e.g.,
burdensome when using the SF-8™ Health internal consistency reliability greater than
Survey. At the same time, the SF-12v2™ or equal to .90), (e) longitudinal-monitoring
Health Survey and SF-8™ Health Survey measurement precision (e.g., 2- to 4-week
cover a narrower range of functioning and test-retest reliability greater than or equal to
are less precise than the SF-36v2™ Health .90), and (f) validity (e.g., convergent and
Survey (see Table 3.1). Thus, the two divergent validity, sensitivity to change).
shorter instruments provide less quantitative According to the data available at the
and reliable information about a patient’s time, McHorney and Tarlov (1995) argued
health status at any given point in time and that the SF-36® Health Survey did not meet
the amount of change in that status over the above stated criteria for ceiling effects
time. Therefore, use of the SF-12v2™ Health and reliability (internal consistency and test-
Survey or SF-8™ Health Survey for retest). However, these requirements may be
assessing and/or monitoring individuals is too stringent and unrealistic. By these
discouraged. Instead, DYNHA® Computer standards, the Minnesota Multiphasic
Adaptive Health Assessments are Personality Inventory-2 (MMPI-2; see
recommended for this purpose, unless a Butcher et al., 1989), arguably the most
fixed-form instrument is required, in which widely used and researched objective
case the SF-36v2™ Health Survey is personality assessment tool in the world,
recommended. Use of the SF-36v2™ Health would not be considered appropriate for
Survey provides greater utility and breadth individual testing purposes because of the
of coverage at both the component summary reliability of its scales (Butcher et al., 1989,
measure and health domain scale levels. For Tables D-1 through D-9). Regarding ceiling
example, its five-item MH scale, initially and floor effects, the floor effects of the SF-
developed as the Mental Health Inventory 36® Health Survey health domain scales for
(MHI-5; Berwick et al., 1991; Veit & Ware, which this was particularly problematic, RP
1983), has been found to be a and RE, were significantly reduced when
psychometrically sound alternative to longer revised for the SF-36v2™ Health Survey.
instruments for the screening of anxiety and Furthermore, the required “practical
affective disorders (Berwick et al., 1991). Its features” can realistically come only with

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some sacrifice in other required features, estimates.
whether it is lowered validity or reliability Large population surveys and samples.
or limitations in the breadth or depth of The SF-36v2™ Health Survey, SF-12v2™
measurement. In some cases, as with the SF- Health Survey, or SF-8™ Health Survey may
36v2™ Health Survey MH scale mentioned each be considered for use in the largest
above, brevity may not require such a population surveys and for studies involving
compromise. In short, many experts would large samples and group-level comparisons.
argue that the SF-36v2™ Health Survey is Single-item measures, such as those used for
more than “adequate” or “acceptable” for all scales in the SF-8™ Health Survey and
individual patient assessment, especially in four of the eight SF-12v2™ Health Survey
scales, work well in these situations because
light of the demands that healthcare systems
the precision of mean scores is determined
place on such instruments (e.g., brevity, ease
more by sample size than by increasing
of use) if they are to be incorporated into the
measurement reliability. Although concerns
daily work flow of care providers (e.g.,
have been expressed in the past about
Maruish, 2002). single-item measures, several of these
Perhaps more importantly, the provider concerns are addressed by the use of norm-
considering using the SF-36v2™ Health based scoring algorithms (see Ware,
Survey must decide whether an evaluation Kosinski, Dewey, & Gandek, 2001), making
of a patient is better served with or without the SF-8™ Health Survey an appropriate
the information that it provides. It is the choice for large surveys of representative
contention of its developers that SF-36v2™ samples. Furthermore, because statistical
Health Survey results for an individual power is in part a function of sample size,
patient will always contribute to the the SF-8™ Health Survey may be a more
evaluation of that patient by providing either viable and practical tool to use in large
new information or information that population studies.
supports or clarifies the provider’s clinical Ongoing studies. The authors
impressions. Further discussion on its use recommend against adopting either the SF-
for clinical purposes can be found in 36v2™ Health Survey or SF-12v2™ Health
Chapter 2 and is illustrated in Chapter 12. Survey in “midstream;” that is, during the
Detecting small group differences. A course of a longitudinal study that began by
high standard of score reliability (.90 or using the SF-36® Health Survey or SF-12®
higher) is recommended to achieve Health Survey, respectively. Unless the
satisfactory statistical power, and single- number of years remaining in a longitudinal
item health scales like those in the SF-8™ panel study is large, the threat to validity
Health Survey are likely to be inadequate or and the reasons for concerns perceived by
unable to detect only very large differences. others may be too great to justify the
In these situations, use of CAT and the change. In such cases, parallel
DYNHA® Computer Adaptive Health administrations of items from the two
Assessments would provide the best
versions of the SF-36® Health Survey or the
solution. However, the SF-36v2™ Health
SF-12® Health Survey may provide the
Survey and SF-12v2™ Health Survey are
additional data necessary to determine
recommended for efforts focused on
whether estimates of scores generalize
detecting small group differences when the
DYNHA® Computer Adaptive Health across the two versions of the instrument.
Assessments is not an administration option. With the availability of 1998 NBS
The improved precision afforded by the two algorithms for both versions of the SF-12®
longer measures can be observed through Health Survey and both versions of the SF-
narrower confidence intervals around score 36® Health Survey, there is now the link

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required for meaningful comparisons of Survey is superior to its predecessor in a
results between the two versions of each number of respects, as noted previously.
survey. Comparability of results and the
Cross-cultural studies. One of the availability of interpretation guidelines are
important features of the Short Form surveys important considerations in choosing a
is the availability of translated versions for health status measure. The NBS algorithms
use in non-English speaking countries or and 1998 norms documented in Chapter 14
with U.S. samples in which English is not make it easy to interpret SF-36v2™ Health
the first or primary language. Translations Survey results and also make it possible to
are available for each of the five Short Form compare these results to those for obtained
surveys, with the SF-36® Health Survey with the SF-36® Health Survey. NBS and the
offering the greatest number of validity and 1998 norms provide the link between the
normative studies to date (for example, see two versions, while making both forms
Gandek & Ware, 1998b). The focus now,
easier to interpret in relation to population
however, is on developing more validated
norms. Users of the SF-36® Health Survey
translations for the SF-36v2™ Health Survey,
will find the 1998 norms more up to date
SF-12v2™ Health Survey, and SF-8™ Health
and NBS scores for the eight health domain
Survey. Users requiring a translated version
of one of the Short Form surveys can consult scales easier to interpret; for the same
the SF-36® Health Survey Web site reasons, NBS makes the SF-36® Health
(http://www.sf-36.org/) or the QualityMetric Survey component summary measures
Incorporated Web site easier to interpret. These same
(http://www.qualitymetric.com/) for a considerations and recommendations apply
current list of available translated versions to the use of the SF-12v2™ Health Survey
for each instrument. Both Web sites also over the SF-36® Health Survey.
provide links to the International Quality of SF-36v2™ Health Survey versus SF-
Life Assessment (IQOLA) Project Web site. 12v2™ Health Survey. The SF-12v2™ Health
SF users should contact QualityMetric Survey is the instrument of choice in
Incorporated for recommendations if a surveys that require a shorter instrument
desired translation for a specific Short Form than the SF-36v2™ Health Survey. Large
is not available. population health surveys can take
Table 3.3 summarizes some of the advantage of its brevity (in comparison with
general similarities and differences among the SF-36v2™ Health Survey) with
the Short Form surveys. confidence that, with only rare exceptions,
group differences and changes in health
Matching a Form to an Application: status over time will be detected and that
Specific Form-to-Form scores and interpretive guidelines will be
Considerations directly comparable with those from the SF-
36v2™ Health Survey. The fact that the SF-
SF-36® Health Survey versus SF-36v2™
12v2™ Health Survey is a subset of 12 items
Health Survey. The SF-36v2™ Health
from the SF-36v2™ Health Survey is a
Survey is recommended over the SF-36® noteworthy advantage if the objective is
Health Survey for all new studies requiring maximum comparability of results and
the administration of a Short Form survey equivalence of population norms and other
instrument, including population surveys, interpretation guidelines developed for the
outcomes research studies, and controlled longer instrument. Most publications of
clinical trials, as well as for research studies “head-to-head” comparisons between the
and applications in clinical practice focusing SF-12® Health Survey and SF-36® Health
on results of individual patients. For all of Survey, including studies of responsiveness,
these applications, the SF-36v2™ Health

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reach the same conclusions about the PCS diminished due to advances in item response
and MCS measures (see Ware, Kosinski, categories and improvements in scoring
Turner-Bowker, & Gandek, 2002). Among algorithms for single-item scales. Also, there
the most common criticisms noted in is a better understanding of the conditions
published reports from those studies are the under which the standard error of the
observed ceiling and floor effects, measurement of an individual, as opposed to
particularly for the two SF-12® Health the standard error of a group mean, is and is
Survey role participation scales. However, not worth a substantial increase in
the developers did not intend for the eight respondent burden. The usefulness of well-
health domain scales to be scored from SF- constructed, single-item measures in group-
12® Health Survey item responses because level clinical trials and outcomes research
of their coarseness and observed ceiling and projects is a subject of considerable interest
floor effects. The SF-12v2™ Health Survey and research (e.g., Aoki, Fleming, Griffin,
represents a substantial improvement in that Lacy, & Edmundson, 2000; Paterson,
regard (see Table 3.1) and provides a means Langan, McKaig, et al., 2000; Silagy,
of scoring the health domain scales as well Griffin, Lacey, & Edmundson, 1998; Ware,
as the PCS and MCS measures. Kosinski, Dewey, et al., 2001).
SF-12v2™ Health Survey versus SF-8™ Short Form fixed-form measures
Health Survey. The SF-8™ Health Survey versus CAT. Seeking the highest level of
provides an even shorter option for purposes accuracy may be required for those survey
of estimating the health domain scale and applications focusing on individual scale
component summary measure scores in the scores or needing to detect the smallest of
largest population health surveys. However, important changes in health status in very
unlike the SF-12v2™ Health Survey, items in small group-level analyses. For the most
the SF-8™ Health Survey are not a subset of demanding applications, one no longer
those in the SF-36v2™ Health Survey, and needs to rely on short or long fixed-form
this may be a disadvantage depending on the instruments to achieve more practical or
purpose of the study and the degree of direct
more precise measures. Research in progress
comparability demanded (see Ware,
suggests that software based on CAT logic
Kosinski, Dewey, & Gandek, 2001). Scores
provides the best solution.
for all eight health domains are estimated
from single-item SF-8™ Health Survey
measures, as are scores for four of the eight
SF-12v2™ Health Survey scales. As noted
earlier, such single-item measures work best
in very large surveys of general and specific
populations in which precision is achieved
much more by drawing upon a large
representative sample than by increasing
measurement reliability. The SF-12v2™
Health Survey is also the instrument of
choice for surveys that need greater
precision over a wider range of levels of
health than can be measured using the SF-8™
Health Survey.
Concerns about single-item measures
still apply (McHorney, Ware, Rogers,
Raczek, & Lu, 1992; Ware, Kosinski, &
Keller, 1996); however, concern has

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