Review of Chapter 5

5. OBTAINING PARTICIPATION

5.1 Introduction

Obtaining the trust and participation of a respondent to complete a screening requires careful preparation. Displaying confidence, knowing the study, and being comfortable with the equipment will greatly increase your chances of success. However, that is not all you need to know. This chapter presents some techniques handed down from experienced interviewers and survey experts to deal with reluctant respondents: being prepared and professional, listening to what a respondent is really saying, and correctly addressing a respondent's concerns—sometimes before they have been raised.

5.2 Tools for Obtaining Participation

5.2.1 Lead Letter

As mentioned in Chapter 4, before you begin working an area, you must mail a lead letter to each assigned SDU. You have an additional supply of letters to hand to residents who either do not remember receiving the letter or did not receive one because of an insufficient or incorrect mailing address.

5.2.2 RTI Photo ID Badge

Each interviewer working on this study will be issued a photo identification badge (see Exhibit 5.1). Remember: you must always wear your ID badge when working on the NSDUH. Wearing your badge helps potential respondents verify who you are and your legitimacy as a professional interviewer on the NSDUH. So be sure your badge is prominently displayed as you knock on the door of an SDU.

A label will be placed on the back of each badge, which will contain the telephone contact information you may need while working, including your FS, Technical Support, your RS, and Headway Corporate Staffing Services.

Exhibit 5.1 RTI Photo ID Badge

5.2.3 SAMHSA FI Authorization Letter

You will also have a personal identification letter provided by SAMHSA, the sponsor of the study. This letter shows that SAMHSA formally authorizes you to work on the NSDUH for RTI (see Exhibit 5.2). Show this to respondents or others who question your legitimacy as an interviewer.

5.2.4 The Q & A Brochure

The Q&A (Question and Answer) Brochure (see Exhibit 5.3) provides a ready reference to the study, including answers to commonly asked questions. You will have copies to give to people who ask for additional information or to leave when a respondent is not available when you visit. It is imperative that you study and learn the information contained in the brochure. In addition to showing the brochure to people, you must be able to reference the information and discuss it in your own words.

5.2.5 NSDUH Information

With the importance given to statistics about drug use and abuse, you will have handouts to offer that were produced using survey data. You may simply show these to interested or hesitant respondents who wish to see proof about how the information is used, or you may give copies to the respondents. The following will be provided to you:

Highlights from the 2000 study (see Exhibit 5.4)
Summary of Findings
Short Reports-Beliefs Among Youths About Risks from Illicit Drug Use
Newspaper clippings about the NSDUH
"SAMHSA News" Article
"Who Uses the Data?" handout (see Exhibit 5.5).

At times you may locate articles in your local papers that you feel would be particularly helpful in persuading potential respondents to participate. Local press can be very effective, but the content of the articles must be reviewed for possible bias before you can distribute any copies. Send any interesting articles to your FS who will forward them to RTI. All news articles must have their usage approved in advance by RTI and SAMHSA.

Similarly, if you are ever contacted by government officials or the news media for an interview, contact your FS who will pass along the information. Regional Directors and the National Field Director will work with SAMHSA to respond to the request.

Exhibit 5.2 SAMHSA FI Authorization Letter

Exhibit 5.3 Question and Answer Brochure

Exhibit 5.3 Question and Answer Brochure (Continued)

Exhibit 5.4 Highlights from the 2000 Study

Exhibit 5.4 Highlights from the 2000 Study (Continued)

Exhibit 5.5 Who Uses the Data?

5.2.6 A Prepared and Professional Interviewer

The single most important tool for obtaining cooperation is—YOU! A knowledgeable interviewer who is organized and behaves in a completely professional manner can usually convince even the most hesitant respondent. Keep in mind the following tips for making a good first impression:

Wear your ID badge prominently.

Step back when the respondent opens the door.

Smile and make eye contact with the respondent immediately.

Maintain a positive mental attitude (PMA).

Be, look, and act professional.

Be genuine.

Let the respondent know the worth and importance of the study.

Let the respondent know of his or her value and importance to the study.

Listen for a key word in any respondent objection and react accordingly.

Be assertive, not aggressive. Have a positive presentation.

Observe the surroundings.

Follow the script in the Newton, but make eye contact with the respondent.

Emphasize that the address, not the individual, was chosen.

5.3 Importance of Interviewer Style

Your appearance and style of delivery establish an initial impression that can either alienate the respondent or encourage cooperation. Your professional manner must be flexible to allow you to adapt to the situation. Consider the basic elements of a professional approach:

show proper identification and supporting documentation

display a thorough knowledge of the purpose of the project and its materials

deliver a courteous straightforward presentation

convey respect for the respondent.

Be professional, but, also attempt to "fit in" to the neighborhood by dressing adn acting like the majority of individuals in the area. The goal is to reduce respondent suspicion.

Good rapport is probably the most important tool of the interviewer. Rapport is established by being sensitive to the respondent and the respondent's living conditions. During phone conferences with your FS, discuss your approach to cases you have not completed and attempt to define the potential respondent's reaction. Be aware of how the respondent is reacting to you. Your goal is to learn to predict and even modify respondent reaction. Once you can do this, you will be better able to appropriately counter respondent objections and be more successful in obtaining cooperation.

An abrasive manner is not desirable. Although an aggressive interviewer can occasionally "bully" respondents into participation, this tactic is unnecessary, inappropriate, unethical and unprofessional.

On the other hand, an interviewer who is too passive will be unsuccessful. Passivity conveys a lack of confidence or commitment to the survey. This attitude will not motivate neutral or uninterested respondents. You must "win over" such respondents and convince them of the importance of both the study and their participation. In essence, you must "sell" the value of the survey to each potential respondent. To do this effectively, you must be thoroughly convinced of the importance of the work. If you are not convinced of the project's validity and importance, the respondent will not be convinced either.

5.4 Explaining the Survey and Answering Questions

Your screening introduction gives potential respondents with a general idea of what to expect from the study. Many people are satisfied with this explanation. Others will have questions or concerns. Use your knowledge of the NSDUH, as well as your knowledge of survey research in general, to answer the respondent's questions and address any specific concerns.

If you do not know the answer to a question, offer to find out the answer either right away or later, depending on how important it is to the participation of the potential respondent. If the respondent's participation rests on getting an answer immediately, offer to call your FS first and, if necessary, your RS to resolve the problem. Use the toll-free numbers when calling from a respondent's home.

Use the Q&A Brochure and other NSDUH publications freely with reluctant respondents. Be very familiar with the contents of the brochure. In addition, some of the most common questions asked by respondents and the appropriate responses are shown in Exhibit 5.6. Study these carefully so that you become very skilled in using this information. It is crucial that you be completely comfortable explaining the survey to potential respondents.

Exhibit 5.6 Answering Questions

Questions	Possible Response
"Why me? Why this house?"	Your household was randomly chosen through scientific sampling procedures. It represents thousands of households across the nation.
"Will my answers be kept private?"	Absolutely. No answers will be connected with any individual. Our interest is only in the set of all responses. Your name will never be identified with your answers.
"Who is RTI?"	Research Triangle Institute (RTI) is a not-for-profit contract research organization located in North Carolina. Dedicated to conducting research that improves the human condition, RTI performs various types of laboratory and social research for government and industrial clients. RTI's role in the survey is that of sampling, field data collection (interviewing), and reporting the results.
"How long will screening take?"	The screening questions only take a few minutes. Once these are completed, we will know if anyone in your household has been selected to be interviewed. Then I will, if necessary, explain the time needed to answer the more detailed questions.
"How long will the interview take?"	The time for the interview varies, but it generally takes about an hour. Of course, each person may take a little more or less time depending on that individual. I think you'll be surprised at how fast the time goes. If now is not a good time, we will, of course, schedule the interview at whatever time is more convenient for you.
"What's the study all about?"	The federal government is trying to assess and monitor the nature of alcohol, tobacco, and drug use in this country. Studies such as this enable researchers to learn about the results of current programs and to better plan new programs to help with this national problem.
"I don't know much about drugs. "I don't do drugs—how can I help?"	In order for the federal government to correctly assess the possible problems in this area, they need the help and opinions of all kinds of persons. Only in this way can they learn about the attitudes and practices of all Americans.

5.5 "Tips" on Obtaining Participation

To be successful at interviewing, you must develop your own particular style and then interact with potential respondents in a way that is comfortable for you. When you are developing your style, please keep the following "tips" in mind:

A positive attitude is crucial when interacting with potential respondents. You need to feel confident about yourself and your knowledge of the survey in order to create a positive atmosphere. If you approach the door with an air of uncertainty, the potential respondent may not think this is important and be more likely to say "no" when asked to participate.

If you are not enthusiastic and knowledgeable about the study, the potential respondent is not likely to be interested in participating.

Persistence is key to gaining cooperation. For not-at-home cases, you must attempt to reach someone at different times of the day and on different days of the week. Talk to a neighbor to find out a time when the potential respondent is most likely to be at home.

If you are unable to persuade the potential respondent to participate during one of your visits, say "I'll come back when you are not as busy," or "I'll stop by the next time I'm in the neighborhood." These statements leave the door open for recontact, since they imply a respect for the person's reason not to participate at this time. If they have Internet access, suggest they look at the NSDUH respondent Website at http://NSDUHweb.rti.org. For your information, the content of the respondent Website is shown in Appendix D.

Stress the confidentiality of the survey, emphasizing that answers are only reported as totals and individual names are never associated with answers.

Make sure every potential respondent feels how crucial he/she is to the overall success of the survey. Respondents should know that they are unique because due to the precise nature of the sampling procedures, no one selected for the survey can be "replaced" by someone else.

Most people today are very busy and do not have much free time. They may not wish to spend what free time they have to participate in a long interview. Instead of saying, "The questions will take about an hour to finish," try something more like, "The questions will take about an hour to finish but the length varies and depends on the individual. Let's start and see how it goes." Be honest but do not dwell on the time involved. Many people will tell you that they do not have an extra hour but will stand at the door and discuss the survey with you for 45 minutes!

Finally, you must provide thorough documentation of all attempted contacts in the Record of Calls on your Newton. Record the details of what happened during each contact. It may give you useful information if you have to initiate further contacts, such as refusal conversion attempts. Review your documentation before the next contact and plan and organize your approach. For example, if a potential respondent said he/she had a sick child and did not have time to participate, begin your recontact with "I hope your child is feeling better." Remembering these details will help build a positive relationship with the potential respondent. Such "tailoring" of the approach conveys interest and respect for the respondent's situation and is often the key to obtaining cooperation.

5.6 Overcoming Objections

Most individuals are friendly and willing to cooperate but a few individuals will have concerns, objections, suspicions, or fears. What may appear to be a refusal to cooperate may be just an expression of concern or a need for more information about the study, the procedures, or the background of the research. The following points should help you to reduce or eliminate "refusals" when making contacts:

Be your best professional self. A friendly, confident and positive manner—assertive but not aggressive—will usually have positive effects.
Believe in yourself and in the importance of the study. Do not invite refusals. An air of apology or defeat can sometimes trigger a refusal. Assume that the respondent will want to participate.
Know the study, its purpose, and its importance. Knowing the facts helps you be prepared to confidently answer questions and counter concerns.
Listen carefully to the respondent's comments and try to determine the basis for objections. Then target your responses to those objections or concerns.
A little more detail about the study, the procedures, confidentiality, or the time involved may answer the "unasked" question. Sometimes the best technique is to simply ask, "Is there something more I can explain to you about your participation in this study?"

Exhibit 5.7 contains common reasons given by respondents for refusing a screening or an interview. Different reasons need to be countered with a different emphasis in response. It is important to listen to the respondent's comments and tailor your response to the respondent's concerns or need for information. The exhibit chart lists common respondent reactions and additional thoughts on the possible situation as well as examples of various responses for you to use.

If you are unable to overcome a respondent's objections and the person simply will not consent to the screening, then accept the refusal as courteously and graciously as possible and thank the person for his/her time. Do not pressure, argue, or otherwise alienate the person. Whatever the circumstance of the refusal, always remember to be professional, courteous, and friendly. Your goal is to leave the door open for another contact by you or by someone else to secure a promise of cooperation.

Exhibit 5.7 Countering Refusals

Exhibit 5.7 Countering Refusals(Continued)

Record the code for the refusal in your Newton ROC, then indicate the specific reason on the Refusal Report screen. (The refusal reason code is listed on the right in Exhibit 5.7.) Additionally, record any pertinent facts or impressions about the situation in the Refusal Report Comments section. When you transmit data from your Newton to RTI, the refusal report information automatically generates a refusal conversion letter request. The refusal conversion letters, available in English and Spanish, are tailored to the primary refusal situations encountered in the field. Copies of the refusal letters are provided in Appendix C of this manual.

The next day, your FS will see the refusal on the Website, and he/she can either release the letter or keep the letter on hold until you two discuss the case. Once the FS releases the refusal conversion letter, it is printed and mailed the next business day. As needed, check with your FS so you can time your return to the residence to roughly coincide with the receipt of the letter.

Do not rely on memory to recount to your FS the events surrounding the refusal. Making notes in the Newton at the time of the refusal will help you adequately and objectively discuss the situation with your FS. It will help your FS decide if a follow-up letter is appropriate to assist you or another FI in later contacts. Once your FS has discussed a questionable refusal with you, he/she will determine the timing of the printing and mailing of the letter, if appropriate.

Though refusals may be discouraging, learning to handle them professionally—and not personally—helps in the long run. Do not allow refusals to change your positive attitude and approach when interviewing. Even the best interviewers experience occasional refusals; it is not necessarily a reflection of your ability as an interviewer. The important thing is to learn from the experience.

The figures below report our interview response rate experience for the 2000 study. The interview response rate is the proportion of those who complete the interview compared to the total number of people selected to participate. As you can see, it can be more difficult to obtain the participation of those above age 26+ (those more likely to be busy with jobs and families), but even among this age group,74% of all eligible respondents actually completed the survey.

2000 NHSDA Response Rates by Age

(weighted percentages)

5.7 Local Social Climate

Some refusals will occur no matter how effective and adaptive you are. These can be due to factors outside your control and may or may not be situations that you, or your supervisor, can counter.

High socioeconomic status (SES) neighborhoods can be tough either in gaining access to the selected units, or in obtaining cooperation from wealthy residents that may not welcome strangers. Experienced field staff suggest the following tips when working a high SES area:

dress appropriately for the neighborhood

never presume a respondent will not be friendly or willing to cooperate

stress the random nature of the address selection

state clearly, early on, that you are not soliciting

be even more willing to accommodate busy schedule.

For tips on dealing with controlled access situations, refer back to Section 4.3.2.

If a neighborhood is experiencing a series of household break-ins or personal assaults, residents may be particularly reluctant to let you into their homes. This type of information will be readily revealed to you once you begin work in the neighborhood. If a respondent reports such circumstances, it is a good idea for you or your FS to contact local police to inform them of your presence in the area. Also, you may choose to wait and return to the neighborhood at a calmer time.

5.8 Using an Escort

Since our study uses a random sampling procedure, the neighborhoods selected will represent all types of communities. In neighborhoods where residents are very suspicious or in areas where you feel you are at increased risk, the use of an escort is encouraged. In addition, your FS may suggest an escort if you are working in an area where neighborhood suspicion is high and cooperation is low. In either case, you must get verbal approval from your FS before using an escort. Escorts are reimbursed on an hourly basis by you (see Section 11.8 for details).

Escorts can be local residents of a given neighborhood, local clergy, members of a local community group, your friends/family or official off-duty police escorts. Choose an escort carefully, clearly explaining the escort's limited involvement and the importance of confidentiality. The use of police escorts must be cleared in advance through your FS, since this could intimidate respondents if not handled carefully. We do not want to alienate respondents, but we also do not want interviewers placed in dangerous situations. You must be very aware of the social climate in your segments since it can have a direct impact on your success.

Escorts should travel with you and act as a second presence in the area but usually should not accompany you to the door. With our heavy emphasis on confidentiality, we want our approach to the actual household to be as nonthreatening as possible. Escorts should remain in the car or in a public area of the building while you work. As with any third party, this person must not be present during the administration of the interview.

5.9 Working Safely

When working in what you feel is a high-risk area, you should always discuss the situation with your FS. Following are some general safety tips on working safely and smartly.

Area

Be aware of the area—assess the situation and observe people. Stay alert and tuned in to your surroundings. Do not daydream. Know where you are going and walk with confidence.
Observe where you can find the nearest telephone, business, police station, fire station, or public building, and know their hours of operation.
Put possessions in the trunk of your car before entering the area. Do not leave things visible in your car, particularly your computers.
Carry computer equipment as inconspicuously as possible.
Talk to children. They can be helpful passing along information about who you are.
If anyone asks who you are, briefly tell them who you are and what you are doing. They may pass the word along.
Park your car in a convenient area. Move it as necessary as you work.
Avoid taking short cuts through dark or wooded areas. Avoid walking in areas where there are tall hedges or shrubs.

Dress

Keep your dress professional; not too casual.
Do not wear jewelry.
Do not carry a purse. Put your keys, a couple of dollars, and change for a pay phone in a pocket.
Keep your FI photo ID badge visible.

Multi-unit Buildings

Carry a flashlight—apartment building hallways can be dark even during the daytime. Often light bulbs are burned out or broken.
Make noise, such as a low whistle or rattle your keys as you walk in the hallway or up a stairway. You do not want to startle or surprise anyone who might be hanging around.
Go right to the selected apartment and do your business—don't look interested in what people are doing in the hallway. Do not stare. You should acknowledge them with a nod, smile, or brief eye contact, but go directly to the apartment—that's your task.
Be aware, but do not concentrate on any other things going on in the apartment building. Your main function is to find the selected apartment. If you look too interested people will think, "What do you want—what are you looking at?"

5.10 The Working Environment of a Field Interviewer

When you hear someone talking about "going to work," you may think of a person commuting to an office to spend eight hours behind a desk. Or perhaps you think of someone in the service industry who spends work time waiting on customers or preparing food. These people work in one location. There are others who work out of their home, using a computer and a telephone. Or maybe you know someone who drives a delivery truck, driving and carrying packages to homes or businesses.

When you go to work on the NSDUH as a Field Interviewer, your work environment may fall into one of three settings:

in your home preparing supplies, planning your next trip to sample neighborhoods, conferencing with your FS via telephone, or transmitting data to RTI
commuting to/from sample areas using a personal automobile, public transportation, or on foot
on a respondent's property, either inside or outside, conducting the screening or interview.

Each setting has its own conditions that can affect your personal safety. This section covers details of how you can work more safely in each of your work settings.

5.10.1 The Home

The NSDUH has various kinds of supplies and materials: interviewer manuals, computer equipment, assignment kits and bulk supplies (handouts, brochures, etc.). Organizing these materials allows you to work more efficiently and more effectively. This section focuses on how to store and use these materials so you can work more safely.

Select some specific place in your home where you can keep all of your NSDUH materials. This place needs to be away from common traffic areas and away from curious little ones, whether children or pets.

Probably the biggest safety issue when working from home is how to safely move heavy supplies. Some tips from a "Safetyclips" article appearing in the February 1997 issue of the National Safety Council's Safety+Health magazine¹ are provided in the following sections. Points to consider when moving NSDUH (or any other) items in your home are listed in Exhibit 5.8.

Exhibit 5.8 Moving Supplies Safely

Before lifting:

Check the path through which you will carry the object. It should be easy to see and free of obstructions or spillage that could cause you to trip or slip.

Don't overestimate your ability to carry the object the entire distance without setting it down to take a rest.

Take a preliminary "heft" of the load to make sure you can carry it. If not, get help. (Please use extreme care if you decide to test the weight of the load in this manner [added note]).

If more than one person does the lifting/handling, they should be of similar height and physique. One person should give the command to lift, etc.

When you lift:

Set your feet about 10 to 15 inches apart, with one in front of the other.

Bend your knees or assume a squatting position, keeping your back straight and upright, get a firm grip on the object, and lift by straightening your knees—not your back.

Carry the load close to your body. To turn or change your position, shift your feet—do not twist your back.

Reverse the steps to set down an object.

5.10.2 Traveling To, From and Within a Segment

While a few field interviewers use only public transportation, most FIs need to drive a vehicle to accomplish work in the field. Please carefully read Exhibit 5.9 which presents the Operating Motor Vehicles for Business Use policy for field staff. NSDUH interviewers are employees of Headway Corporate Staffing Services so must comply with the conditions as presented.

Every time you get behind the wheel of a car an accident is possible. So when in your "automobile office," you need to be constantly thinking of how you can drive safely.

Please carefully read the excerpt regarding driving safely included as Exhibit 5.10.² This information includes material from the National Safety Council's Defensive Driving Course and their annual publication Accident Facts. Also, the Allstate Insurance Company offers information on Auto Safety through their Website (www.allstate.com).

Another good way to stay safe on the road is to simply "be nice," even if it means giving up your right-of-way. For FIs driving to unfamiliar areas: study the maps before you go. If you must consult a map while traveling, pull over. Do not try to read the map while driving.

In its recently published Defensive Driving: The Best Offense, the National Safety Council gives the suggestions included in Exhibit 5.11 to help prevent collisions at intersections.

Unfortunately, in spite of your best attempts at prevention, sometimes an automobile accident does happen. State Farm Insurance company offers the information shown in Exhibit 5.12 on its Website (www.statefarm.com) regarding the proper steps to follow if you are involved in an automobile accident.

RTI adds to that list: If the accident occurs while you are working on the NSDUH, DO notify Headway and your FS about the accident as soon as is practically possible.

Driving isn't the only way you travel during your work as a field interviewer. Even if you drive to a segment, you do a lot of walking going from one selected unit to the next.

Exhibit 5.9 Headway Motor Vehicle Policy

Exhibit 5.10 Driving Safely

The Collision Prevention Formula

Recognize the hazards: continuously scan the road ahead and behind, checking your mirror every 3 to 5 seconds.

Understand the defense: continuously scan the road for possible hazards. Play the "what if" game by thinking "what if" the driver in front of me stops suddenly? "What if" someone runs a red light at the next intersection? "What if" that driver in the oncoming lane....

Act correctly in time: think ahead, anticipating what other drivers' actions might be to avoid hazardous or dangerous situations before it's too late.

Help avoid collisions through proper vehicle maintenance. That means keeping clean windows and properly adjusted mirrors as well as regular engine servicing. Remember, you can be held responsible for the little as well as the big defects in your car.

Know, Show, Slow, Go

Know the rules for intersections and know which way you plan on going before you arrive at the intersection. Show your intentions with signals and proper lane position before entering it. Slow down as you approach the intersection, and have your foot over the brake. Go only after you've checked to make sure the coast is clear. Don't assume that the other driver knows what to do at the intersection or that the driver will follow the rules.

The weight of your car is the major determining factor in how long it takes you to stop. The heavier the car, the longer it takes to stop. On average, at 65 miles per hour it will take you the length of a football field to stop your car completely. Keep in mind that anti-lock braking systems (ABS) may help you stop without swerving in a skid stop, but they will not help you stop in a shorter distance.

The Two Second Rule

Follow the Two Second Rule. Watch the vehicle ahead of you pass a fixed object or point, like a pole or mile marker. Begin counting: "One thousand and one, one thousand and two." If your car reaches that marker before you finish counting, you are following too closely. Ease up and check again.

In adverse conditions, use The Two Second Plus Rule: Add one second of following distance for each adverse condition. Adverse conditions include:

driving at night, or in fog, rain, or snow

driving behind a truck or vehicle, making it difficult for you to see ahead

driving behind a motorcycle

driving through an intersection.

If you can't see a truck driver in the truck's side mirror, then that driver can't see you or your car-you're in the vehicle's blind spot and should pull out of it as soon as it is possible and safe.

Practice the 4 Rs

Head-on collisions are the most violent type of auto accident. Practice the 4 Rs:

read the road ahead.

reduce your speed.

drive to the right.

ride off the road if necessary.

A driver who's coming head-on toward you in your lane may "wake-up" and realize they've crossed into your lane, and then correct the error by heading to your left, or back into their proper lane. So, drive RIGHT and off the road if necessary. Don't swerve left.

Exhibit 5.11 Defensive Driving Tips

When the light is green:

If the light has been green for a while when you reach the intersection, get ready for it to change; put your right foot on the brake and prepare to stop.

If you're stopped at a red light and it turns green, check to see that traffic has stopped on the intersecting street. Look left, then right, then scan left before you proceed. If you rush out into the intersection without checking, you are more liable to have a collision.

When the light is yellow:

A yellow light does not mean "press your gas pedal to the floor and rush through the intersection." This light is meant to give you time to clear the intersection when you're driving through it-not when you're approaching it.

When the light is red:

A red light always means you must come to a complete stop. Many states allow a driver to turn right on red-but only when conditions are suitable and:

when there is no sign posted that prohibits a right on red

when your vehicle has come to a complete stop in the extreme right-hand lane

when all traffic is clear

when pedestrians are clear of the crosswalk.

Exhibit 5.12 Procedures after an Automobile Accident

After an Accident

Check for injuries. Life and health are more important than damage to vehicles.

Make note of specific damages to all vehicles involved.

Write down the names, addresses and license numbers of persons involved in the accident. Also, write a description of the other vehicles.

Call the police, even if the accident is minor.

Jot down names and addresses of anyone who may have witnessed the accident. This can prevent disagreement concerning how the accident actually happened.

Do's and Don'ts

DO job down details about the accident and circumstances such as weather conditions and visibility.

DO notify your FS, Headway, and your insurance agent about the accident immediately.

DON'T sign any document unless it is for the police or your insurance agent.

Consider for a moment how you walk, and how you can walk more safely:

It's natural to take bigger strides when you're in a hurry, but this can increase your chance of falling. This is especially true if the ground is rocky, uneven, damp or icy. So slow down and take shorter steps.
Make a wide turn at corners. This will help you to see who, if anyone, is on the other side, and can help to prevent a collision.
As much as possible, choose a well-lit path when it's dark outside. Be wary of dark areas such as alleys or unlit streets. If you're inside, check that a light is turned on before you walk through a room or hallway.
Be careful going from the dark into sudden bright light. You can be temporarily blinded, so you need to give your eyes time to adjust to the lighting difference. Slow down or stop until you can see where you're going.
As much as possible, choose walkways and aisles that are clear of debris and clutter.
Use extra caution when climbing and descending stairs-even if it's only two or three steps.
Use handrails when they're available.
Take only one step at a time. Don't try to bound up stairs two or three at a time.
Be sure you're not carrying too many materials in your arms; this can negatively affect your balance and can keep you from seeing where you're going.
Always be on the lookout for loose stair runners, broken boards, debris, or slippery spots on the stairs.
Be careful when stepping off of a curb. Be sure to assess the depth to avoid ankle twists, slips, or falls.

Wear a comfortable, practical pair of shoes. Flat shoes are a better choice than heels. Having a professional appearance is important, but wearing uncomfortable and/or slippery shoes for the sake of fashion is unwise in the long run.

Another consideration as you're moving about in your segments is the weather. The NSDUH is a year-round survey, conducted across the entire United States. Depending on your location and the time of year, you may find yourself working in driving rain, heavy snow, bitter cold, gale-force winds, or blistering heat. Let common sense be your guide—dress appropriately for the weather, and seek shelter when you're too hot or too cold. If you become very uncomfortable, take a break and continue when you feel better or the weather is more tolerable.

Sometimes, it can be difficult to recognize when the temperature is getting to be too extreme. This can be especially true in hot weather. Exhibit 5.13 contains practical advice for interviewers working in the heat.

5.10.3 On a Respondent's Property

The final working environment for an FI doing a field survey is on a respondent's property-either inside or outside, completing the screening process or administering the interview. Many of the safety tips already covered about safe walking and working in extreme temperatures apply when you're on a respondent's property. There are other safety concerns as well.

The most frequent report of concern is about dogs. Many people own dogs, often for their own personal safety considerations. That means you must be very cautious when approaching a sample dwelling unit, especially one where it's obvious one or more dogs are around. Always be cautious when approaching a strange dog. Even one who appears to be friendly can suddenly become agitated. If a dog or other menacing animal blocks the path between you and the respondent's door, be careful. If the dog is obviously aggressive, don't put yourself in a dangerous situation. Try to get the attention of someone living in the household and ask him/her to restrain the dog while the two of you talk.

It's not just animals of the four-legged variety that can give cause for concerns about safety. While the majority of respondents you work with will be friendly, there will be some who are not so nice. You should expect to receive some level of verbal abuse from some of your respondents—unfortunately, this comes with the territory of being an FI. However, you shouldn't place yourself at risk for physical assault. If a respondent becomes physically confrontational or violent, or threatens you in any way with a real or stated weapon, get away from that residence immediately. Talk with your FS about what happened, and together you will form a plan about how—or if—that particular residence should be approached.

Achieving targeted response rates for completed screenings and interviews is of utmost importance to the project. But ensuring your safety while you are working is even more important, and no one is in a better position to do that than you. We want you to be successful and safe as you complete your work as an FI on the NSDUH.

Exhibit 5.13 Working Safely in the Heat

Advance planning and preparation:

Work later in the day when it is cooler. Work early on Saturdays. As a bonus, these also tend to be the most productive time periods!

Pay attention to the weather forecast. Plan more of your work, including any necessary mid-day work, on cooler days.

Check with your physician about any medications you are taking and the effects of heat and sunlight.

Dress in lightweight, light-colored, loose-fitting clothes.

Eat lighter meals before going to the field.

Increase the amount of fluid intake, preferably water, before you go out.

Take water with you in the field. It helps to take one bottle of water and one frozen bottle of water.

Take a cloth that you can wet to wipe your face and neck.

While working:

Be careful about your automobile engine temperature. Avoid getting stalled in traffic.

Park your car as close to your work area as possible and when available, park in the shade.

Take a break in an air-conditioned building for a few minutes every hour or two. Use the time to plan your work or catch up on administrative tasks.

Walk at a comfortable pace.

Attempt to screen SDUs inside the SDU, if it is air-conditioned.

Keep the Newton cool. Keep the Newton out of direct sunlight. Do not leave the Newton in your car.

Continue to drink water.

Pay attention to your body's signals:

If you feel fatigued, rest in a cool or shady spot until you are comfortable.

If you feel faint, excessively weak, or dizzy—stop. Lie down out of the sun.
Cool down your body by removing excess clothing, sponging your body with lukewarm tap water, and sipping water or other fluids.

If you show any of the following signs of heat illness:

hot, dry skin, but not sweaty;

confusion or loss of consciousness;

frequent vomiting;

shortness of breath or trouble breathing;

please alert someone who can help you get medical assistance.

While you are not expected to put yourself at risk, exposure to the elements has been and will continue to be a part of an interviewer's job. Be prepared, be careful, and work smart in the heat.

¹Reprinted with permission from the National Safety Council's Safety+Health magazine.

²Allstate notes that this information highlights examples of safety precautions you can consider to help protect yourself, others, and your personal property. The list is not meant to be all encompassing: furthermore, a particular precaution may not be effective in all circumstances.

REVIEW OF CHAPTER 5
Obtaining Participation

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

To assist in your goal to obtain participation at all of your SDUs, you will be provided with an extensive inventory of tools (letters, brochures, articles) to use at the door with the respondent (R) and to leave as handouts. However, none of these tools will be as important as YOU and YOUR approach. It is imperative that you not only maintain a positive and confident attitude, but that you completely know the study.
It will be necessary for you to overcome respondent objections and concerns. The "trick" is to listen carefully to what the R is saying. Every DU and every respondent must be handled uniquely.
No matter what the situation, you must be professional and treat the R with courtesy and respect.
Reasons for refusals are broken down into specific categories. In your Newton, you will indicate the type of refusal encountered, thus enabling a specifically tailored letter to be generated at RTI.
When handling any case, including refusals, it is essential that you make timely, informative notes in your Newton's ROC.
Due to the unique nature of this job, you will have several different work environments: your home, car, the neighborhoods of your segment, and respondents' homes. It is crucial that you work safely in all of these situations, using common sense and provided safety guidelines.

QUESTIONS TO ASK YOURSELF

1. How would you answer these respondent questions?

I don't drink, smoke, or use drugs. Why would you want me in your survey?

How did you select me?

How do you keep my answers confidential?

Why don't you just go next door and talk to my neighbor? She loves to do this sort of
thing.

What happens to the data after you gather it from all of us?

2. What would you say if the respondent offered these objections?

I'm too busy.

I don't like surveys.

I don't want my kid to talk about drugs with you. He's too young.

I don't trust that my answers are safe.

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This page was last updated on December 29, 2008.

SAMHSA, an agency in the Department of Health and Human Services, is the Federal Government's lead agency for improving the quality and availability of substance abuse prevention, addiction treatment, and mental health services in the United States.

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