4. CONTACTING DWELLING UNIT RESIDENTS

Being well prepared before making initial contact with the residents of a dwelling unit is important. You must know the purpose of the survey and be familiar with the screening and interviewing procedures as well as all study materials. You must also be organized, meaning that you must be sure you have all of the materials and supplies needed to screen and conduct NHSDA interviews. This Chapter and Chapter 5 contain detailed explanations of how to contact a DU and obtain cooperation. Chapter 6 provides details on the screening process, which determines who, if anyone, to interview. It is important to resolve any questions you have about survey procedures before contacting the first dwelling unit.

One of your most important responsibilities is planning your fieldwork carefully to maximize the effectiveness of your time in the field. Below are general rules to apply when planning your work:

• Spend a minimum of four hours working in the sample neighborhood on each trip (travel time to and from the segment should NOT be included as part of the four hours).

• Lay out your itinerary so that you can visit as many sample dwelling units (SDUs) as possible during a trip to an area.

• If you have only a little work left in one area, combine your trip to this area with a trip to a nearby segment when possible.

• Make a minimum of four attempts to complete each screening, contacting the unit at different times of day and different days of the week. Then discuss the case with your FS. Your FS may opt to send a letter to the DU. During your conference call, your FS will instruct you about contacting the DU again.

The timing of your field trips is very important. Plan your trips so that you will be in the sample areas during times when the chances of finding a respondent at home are the best. The most productive hours for first visits to SDUs are between 4:00 p.m. and 9:00 p.m. on weekdays and from 9:00 a.m. to 9:00 p.m. on weekends. Saturdays are generally the most productive day, however, weeknights have proven to be an excellent time to find respondents home.

Your FS makes assignments based generally on the location of the segment area in relation to your home. Whole segments are usually assigned, although sometimes they may be split. You will receive your initial assignment once you have successfully completed the training program. Your FS will make additional assignments as you complete your assigned work. As discussed in Chapter 3, you will receive the appropriate segment materials for each of your segments.

Each individual DU assigned to you-whether it is an HU or a GQU-will appear on the Select Case screen of your Newton and on the computer-generated Selected DU List (see Exhibit 3.6). Both the Select Case screen and the Selected DU List have the information necessary to identify and find the unit. Record all data collected during the screening process on your Newton. There are also ample note spaces within the Newton program. However, if you wish, you may make notes to yourself on the computer-generated list (Selected DU List). Please do not write on the other segment materials as they will be used again.

4.3.1 Case Identification Information

The first column on the left of the Newton's Select Case screen, labeled Case_ID, shows the RTI case identification number and is referred to as the "Case ID number."

The Case ID numbers themselves provide you with important information. For example, the Case ID number TX23020119 tells you the following:

This information is also listed on the Selected DU List. The first six spaces are listed as the Segment ID on the top left of the form. The last four spaces of the Case ID are listed under the "DU Indicator and Line #" column. For example, refer to the Selected DU List shown in Exhibit 3.6. The first selected HU listed is in segment NY1234 and is line number 001. The Case ID for this HU is NY12340001.

The actual street address, or a physical description of the HU or GQU and its general location, also appear on both the Select Case screen and the Selected DU List. If you have difficulty locating one of your assigned DUs, refer back to Chapter 3.

The Newton's Record of Calls (ROC) is the place to record all contacts made with an SDU to complete screening. This includes any attempted or actual contact with either a resident or a neighbor or other person whom you ask for contact information. Record each contact or attempted contact separately by adding a call record. For example, if you visit the SDU once and find no one home, then pass by again 2 hours later, you should fully document both contacts separately in the ROC. For each contact, the Newton will automatically record the date, day of the week, and time of day. You will need to record the method of contact, the appropriate screening result code (result code definitions are discussed in the next section) and any comments about this contact for future use by you or another FI.

4.4.1 Screening Result Codes

Screening result codes are assigned and reported during the process of screening SDUs. Some screening codes are "PENDING" codes (01-09) and indicate that a final resolution has not yet been obtained. Codes 10-32 are "FINAL" screening codes that show a screening effort is complete. The list of screening codes is shown on the following screen.

Result codes describe the current status of each case and are discussed routinely with your supervisor. Each time you transmit data from the Newton to RTI, the result codes are included with the actual screening data. These transmitted codes are then tabulated to produce reports that provide information on the progress of the fieldwork. In these reports on the project Website, your supervisor sees the result code assigned for each contact you made with a particular DU. Having this information available helps as you and your supervisor discuss the best approach to the case.

RTI staff and project management rely heavily on these progress reports. Decisions on how to properly manage the project are made based on these reports. It is very important that you understand when and why to use each code. It is also critical to keep the codes on your cases in the Newton up-to-date as you complete your work in the field.

PENDING SCREENING CODES
Pending codes are used when the case is not yet complete. Explanations of when to use a particular code, and what action to take to resolve the situation so that the case can be completed, are provided below:

FINAL SCREENING CODES
Final screening codes indicate the case is finished. This means either screening information was obtained OR the SDU is ineligible for the study (e.g., vacant) OR you were unable to obtain the screening information. Be sure you have completed all suggested relevant steps described in the pending codes section and have consulted your FS on any additional possible steps before requesting permission to finalize a case where you could not obtain screening information. If all attempts fail, your FS must agree that the case is complete before giving you approval to assign the final code. The list below describes the final codes:

SDUs That Are Ineligible for the Study

10 VACANT

Assign this code only after verifying with a neighbor, landlord, or real estate agent that the unit is vacant. The Newton prompts you to complete the verification information.

13 NOT A PRIMARY RESIDENCE

Assign this code after verifying with the current or temporary residents, a neighbor, the landlord, or real estate agent that the unit is not used as a primary residence (that is, it is only a weekend or vacation home). To qualify as a primary residence, the residents must spend the majority of their time living at the DU. The Newton prompts you to obtain verification information.

Note: If residents are not there for ½ or more of the quarter, see code 26.

18 NOT A DWELLING UNIT

Assign this code after verifying with a neighbor, landlord, or real estate agent that the unit does not meet our definition of a dwelling unit (seeSection 3.4). Possible examples are units that have been demolished or merged with another unit, a unit used by a church or nonprofit organization as a meeting facility, or a unit used only for business or storage. Enter the verification information when prompted by the Newton.

19 GQU LISTED AS HU

OR

20 HU LISTED AS GQU

If a GQU was listed incorrectly as an HU or an HU was listed incorrectly as a GQU, use the appropriate code. Check with your FS for further instructions.

22 DU CONTAINS ONLY MILITARY PERSONNEL

The Newton will automatically assign this code if during screening all DU members are found to be military personnel on active duty. Persons on active duty in the military are not eligible for NHSDA. Be sure to enter the verification information in the Newton as prompted.

25 NO ELIGIBLE SDU MEMBERS

When all DU members listed on the screening roster are changed to ineligible status, the Newton will automatically assign this code at the end of the screening. It is not available for you to assign in the Newton ROC section. Enter the verification information in the Newton.

26 WILL RESIDE/HAS RESIDED IN DU LESS THAN ½ OF THE QUARTER

This code is automatically assigned by the Newton when no one in the DU will live there (or has lived there) for most of the time during the three months of the quarter. Enter verification information in the Newton.

29 LISTING ERROR

If you encounter an SDU that should not have been listed during the Counting and Listing phase, check with your FS who may check with RTI's Sampling Department, if needed. Possible situations include:

• DUs listed outside the segment boundaries.

• Invisible DUs (e.g., a fourth unit in a 3-unit structure).

• DUs listed twice on the original List of DUs.

• GQUs that are institutions so are ineligible.

Assign this code once your FS has approved. Document the situation in the ROC comments sections.

Screening Not Obtained

11 NO ONE AT DU AFTER REPEATED VISITS

If repeated visits at different times of the day and days of the week have failed, use this code once your FS has given approval.

12 SCREENING RESPONDENT (SR) UNAVAILABLE AFTER REPEATED VISITS

If repeated visits at different times of the day and days of the week have failed, use this code once your FS has given approval.

14 PHYSICALLY/MENTALLY INCOMPETENT

We expect this code to be used rarely. However, if no one at the unit is able to respond meaningfully to the screening questions, use this code once your FS has given approval.

15 LANGUAGE BARRIER - SPANISH

Again, this code should rarely be used. If there is not a translator, or a possibility of transferring the case to a bilingual FI, use this code once your FS has given approval.

16 LANGUAGE BARRIER - OTHER

This code should rarely be used. If there isn't a translator, use this code once your FS has given approval.

17 REFUSAL

If all attempts to convert the refusal have been unsuccessful and your FS gives approval, use this code. The Newton will then prompt you to enter a refusal reason. Be sure you have made accurate notes about the situation.

21 DENIED ACCESS TO BUILDING/COMPLEX

If after many attempts you are UNEQUIVOCALLY denied access, use this code once your FS has given approval.

23 OTHER

Use this code for all cases that do not fit any of the above categories. Be sure you have fully described the situation to your FS, and he/she has given approval to use this code. Be sure to document the circumstances.

Screening Completed

30 NO ONE SELECTED FOR INTERVIEW

The Newton automatically assigns this code at the end of the screening when a resident of the dwelling unit has provided the screening information, but no one listed on the roster was selected for the interview. Enter the verification information when prompted.

31 ONE SELECTED FOR INTERVIEW

The Newton automatically assigns this code at the end of the screening when one DU member is selected to be interviewed. Next you add another call record and enter the interview result code for the interviewing case. These codes are discussed in Section 7.3.2.

32 TWO SELECTED FOR INTERVIEW

The Newton automatically assigns this code at the end of the screening when two DU members are selected to be interviewed. Next, add another call record for each interview and enter the appropriate interview result code for each case.

A complete list of both screening and interviewing result codes is included in Appendix B. For your reference, examples are provided.

4.4.2 Contact Method

Additional information about each screening attempt is recorded under Contact. After documenting the result code, you see a list of possible categories of the initial type of contact between you and the person you spoke with at the unit, if anyone.

• Through an open door—Use in situations where the door is open or partially open or the door between you and the respondent is a storm door or screen door. Use this for contacts where basically there is no major, solid barrier between you and the respondent.

• Face-to-face, both outside DU—Both you and the respondent are outside of the DU, such as on the porch, under the carport, in the yard. For apartment buildings, this could mean in the hallway, the stairwell, lobby, etc.

• Face-to-face, both inside DU—Both you and the respondent are inside the DU when the initial contact takes place. Example: a teenager asks you to come in while he gets his mother to answer your questions so that your initial contact with the respondent (mother) is face-to-face, both inside DU.

• Spoke through closed door—You spoke to the respondent when the main/wooden/metal door was fully closed. If the door was partially open then use "through an open door."

• Intercom—You initially spoke to the respondent using the intercom, even if you were subsequently allowed in for a face-to-face screening. This includes any sort of intercom system whether for a single DU, for a building, or at the entry to a gated community.

• Telephone (pre-authorized by NFD)—FOR FS USE ONLY. In rare instances of very difficult or unusual situations, an FS may request permission to conduct a telephone screening. This requires approval from the Regional Supervisor, Regional Director, and the National Field Director (NFD).

• Other (specify in ROC comments)—If your initial contact cannot be classified in one of the other categories, use this and describe the contact in the ROC comments. Be sure the contact does not fit in another category.

• No Contact with SR this visit—Use this category when completing a record of calls in which there was no contact with a screening respondent. Examples are no one at DU (01), unable to locate DU (08), or when finalizing a case following discussion with your supervisor. Remember you are choosing a category describing initial contact with the screening respondent: if you talk with a neighbor or a child but do not talk with a potential SR, this code applies.

Prior to the start of each calendar quarter of data collection, RTI automatically generates an introductory lead letter for each SDU with a good or complete mailing address in an assigned segment. A copy of the lead letter is in Exhibit 4.1. These letters, along with prestamped, window envelopes, the Selected DU List, and the Segment Materials Envelope, are sent to you once your FS makes the assignment.

The SDUs in each segment are grouped into partitions, and may not all be assigned at one time. As explained earlier, the last column on the Selected DU List indicates to which partition each SDU belongs. Only prepare and mail letters to the cases assigned by your FS. When talking with your FS, he or she will tell you exactly which partition(s) are assigned to you at the start of the quarter. For example, if only the Partition 1 cases are available, only send letters to the SDUs with a 1 in the last column.

Keep all remaining letters. Your FS may assign you Partition 2 and possibly Partition 3 cases later in the quarter. No new letters will be generated.

Once the correct letters have been pulled from the pile, check all the addresses carefully for any that do not have mailable addresses (e.g., check for those listed with just a description).

Do not send letters to these SDUs as they can not be delivered. When you visit an SDU that did not have a mailable address, be sure to have an extra lead letter available to give to the residents.

About one week prior to working an area, write the date on the line at the top and write your name on the letters to personalize them. Then place one in each of the pre-stamped envelopes so that the pre-printed address shows throughout the window, seal and simply drop them in the mail. Mailing the letters close to the time you will be in the area means residents will be more likely to remember receiving the letter.

Each interviewer will develop an individual approach to organizing the materials needed for this complex project. A listing of all materials provided is included in Appendix A. Before leaving on a trip to the field, be sure you have all the materials and supplies you will need for both the screening tasks as well as any interviews you will conduct with selected respondents.

The confidence you display as a result of your careful preparation will increase your chances of obtaining participation. As mentioned earlier, you will mail a lead letter to each assigned SDU with a known acceptable mailing address. You will be given an additional supply of letters to hand out at your initial contact if the resident requests one or did not receive one due to mailing difficulties.

You should approach the door confidently, with a positive attitude. Be sure your RTI identification badge is prominently displayed, and be aware of your surroundings as you approach the unit. Be sure to check—and double check—that you are at the address selected and displayed at the top of the Newton screen.

Your introduction at the door should be brief and clear, using language that is easily understood so that the respondent gets a general idea of what to expect from the study. The introductory screen on the Newton is shown on the next page. If the respondent did not receive the letter, provide a copy, allowing time for reading. Be prepared to summarize the contents of the lead letter in your own words.

You will then need to determine if an eligible screening respondent is available and if the address you have in the Newton is correct.

For this study, an eligible screening respondent (SR) is:

• a resident of the DU; AND

• an adult (age 18 or older).

Keep in mind two rules for the NHSDA:

1) No proxy screenings are allowed.

Information from a resident under the age of 18 is acceptable only in the case of emancipated minors (someone under 18 living independent from parents or caregivers) or when a young person is serving as the translator for an adult SR who doesn't speak English.

2) NHSDA is a personal visit survey.

All data are to be collected in-person, not over the telephone. Interviewers found to be conducting unauthorized telephone screenings in the past have been terminated. No telephone screenings are ever allowed without prior approval. This approval process requires permission from your FS, RS, RD, and even from the National Field Director. It is the expectation of project management that in these very rare and unusual circumstances, that the FS will conduct these screenings.

If an eligible screening respondent is not available, consider leaving a "Sorry I Missed You" card indicating that you will return. DO NOT leave your telephone number on this card or on any other materials left at the homes of potential respondents. This rule exists for your personal security.

Once you are speaking with an eligible screening respondent, the next screen you see asks whether or not the screening respondent remembered receiving the lead letter.

DO NOT read this question to the SR. Based on your interactions up to this point, record whether or not the SR mentions receiving the lead letter. If the SR doesn't mention receipt or non-receipt of the lead letter or doesn't know, choose the last category. The only letter of interest is the lead letter, not possible refusal conversion letters or Unable To Contact letters.

Next, verify with the SR that you are at the correct unit and have the address recorded accurately in the Newton.

Next, give the respondent a copy of the Study Description to read and to keep. When ready, read aloud from the text on the Newton Informed Consent screen, shown on the next page.

The Study Description as shown in Exhibit 4.2, indicates that:

1) The information respondents provide will be handled in the strictest confidence.

2) Their participation in the study is voluntary.

Exhibit 4.2 Study Description

By law, each participant in the NHSDA must first be informed of the individual's rights and then agree to participate based upon that knowledge. By reading the introductory text shown and providing the Study Description as instructed, you give the respondent the information to make an informed decision about participation. Another important component of respondents' right to informed consent is an explanation of any potential risks or benefits associated with participation. Since RTI began contacting households for the NHSDA, the field staff have conducted over one million screenings and the number of interviews is approaching 500,000—all completed with no reported incidents involving a breach in confidentiality or any problems as a result of respondents' participation in the survey. Based on this information, the Committee for the Protection of Human Subjects determined that participation in the NHSDA does not pose any known risk to its participants. Therefore, the standard "no known risks or benefits" statement is not required as part of the informed consent process.

The goal of these introductory screens is to give the resident enough information to gain his or her confidence so that you can continue with the screening process. The Newton screens are worded carefully to provide the necessary information to the resident in a concise, direct manner.

You are responsible for following these procedures and reading the Identify SR and Informed Consent screens as shown. Doing so will ensure all residents are fully informed of their rights before they participate and that contact with each SDU is standardized.

REVIEW OF Chapter 4
Contacting Dwelling Unit Residents

To assist your learning process, read the following summary of key points in this chapter. Following the summary are several questions to ask yourself. These questions will help you identify those areas you understand, and pinpoint the areas where you would benefit from re-reading a particular section.

SUMMARY

• The first steps that you will always take when contacting DUs will be done at home: organizing your materials and planning your field schedule.

• The entire screening process, from when you are locating a DU to asking specific screening questions, will all be coordinated with your handheld computer, the Newton.

• The history and results of each contact with a DU will be recorded in the Newton's Record of Calls or ROC. You will be assigning a result code, either pending or final, to each entry you make in the ROC.

• You will prepare and send to each SDU (with a mailable address) in your assignment a lead letter prior to beginning work in an area. The purpose of this letter is to introduce you as a professional interviewer who will be visiting their home in regards to an important national study.

• When introducing yourself at the door, your approach should be friendly and professional using language that is brief and clear.

• After your introduction, three important steps are necessary to begin the screening: locating an eligible screening respondent (an adult resident), verifying the address, and providing informed consent information.

QUESTIONS TO ASK YOURSELF

1. What is the absolute minimum number of hours that you should spend in the field on each trip (not including travel time)?

2. Where are all of the SDUs in your segment listed?

3. Build Case ID numbers from the following information.

   The DU:	is located in FI region 42 in Ohio. is an HU listed at line number 184 in segment 10.
   The DU:	is located in FI region 04 in Georgia. is an HU listed at line number 072 in segment 12.

4. Assign a code for the following situations.

   You approach a house and all of its residents speak only Polish.

   At an apartment, the only adult at home is the babysitter.

   You drive to a house that looks like no one is home-there are no cars in the driveway; you knock on the door and there is no answer.

5. Who mails the lead letters to SDUs with mailable addresses?

6. When should lead letters be mailed?

7. What entries do you make on each lead letter before it is mailed?

8. Your FS assigns you all the Partition 1 SDUs in a segment. For which SDUs do you prepare lead letters?

   1) all SDUs on the Selected DU List.
   2) all SDUS in Partition 1 on the Selected DU List.
   3) all SDUs in Partition 1 on the Selected DU List that have a mailable address.

9. What are the two main points of the Study Description?

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