6. CONDUCTING SCREENING

6.1 Introduction

One of your main tasks as a field interviewer on the NSDUH is conducting household screenings using the Newton, a powerful handheld computer. Chapters 2 and 3 of the FI Computer Manual describe the Newton itself and include general instructions for entering information.

During screening, you obtain data about the residents of the household 12 years of age and older and enter that data into the Newton. Next is the selection process in which none, one, or two residents are chosen for the interview. With the Newton, the selection is done automatically with one tap of the special pen. This chapter describes the screening process and provides details about the various functions programmed in the Newton.

Note the following conventions used to present Newton-related information in this chapter:

Text like this designates a screen name. The Newton uses screen names (titles) instead of question numbers.

indicates the path to follow. Most screens have several options. The chapter usually shows the most common path, marked by the . Most other options are explained later in the chapter.

Bold indicates what items you will tap and is occasionally used for emphasis.

Italics displays "extra" explanations of features or buttons that are not necessary for screening.

6.2 Overview of NSDUH Screening

Screening is the process of obtaining information about a sample dwelling unit (SDU) to determine if it has residents eligible for the NSDUH. (Recall that the term 'dwelling unit' includes both housing units (HUs) and group quarters units (GQUs).) You must complete a screening at each SDU in the segments assigned to you to determine the eligibility status. The eligibility criteria for the NSDUH is based only on the age of the household members. In other words, the ages of the persons listed as members of the household are used to determine which person or persons, if any, will be selected for the NSDUH interview.

When you enter all the information for the residents of the DU, the Newton will automatically process the data using the eligibility criteria and the selection program. Your responsibility is to record accurate, complete information and let the Newton tell you who, if anyone, to interview.

While every SDU must be screened, only about one in every three or four will have a resident who is selected for an interview. This will vary depending on the characteristics of each segment. About a third of the completed interviews for the NSDUH are conducted with individuals age 12-17, while another third are with persons age 18-25. The remaining third are individuals age 26 and over. DUs with youth age 12-17 have a greater chance of having someone selected than DUs with older residents.

You will not interview anyone who is on active duty in the military; however, their spouses, children, or any other civilian dependents living with them are eligible for the interview. In instances where an entire household consists of only military personnel, thereby making no one eligible for the interview, the Newton assigns a final screening code of 22 to the case. RTI staff will verify this final result code to ensure proper procedures were implemented.

Since you identify eligible respondent(s) within DUs through the screening process, it is a very important component of your assignment. Make every effort to obtain complete and accurate screening information from the sample DUs in your segments.

6.3 Overview of Newton Screening and Case Management Program

• Case management groupings
  
  
• HU and GQU Screening Program (rostering and selection of eligible DU members)
  
  
• English and Spanish translations of the screening questions
  
  
• verification for final screening codes 10, 13, 18, 22, 25, 26, 30
  
  
• Record of Calls (ROC, including Refusal Report)

• addition of missed DUs

• weekly FI summary PT&E entry (Chapter 9)

• transmission from Newton directly to RTI (Chapter 6 of the FI Computer Manual).

Each of these features will be described in detail. You can see by the list, the current Newton program makes contacting and screening essentially paperless. You will have paper segment materials with a Selected DU List (described in Chapter 3), but all contacting information, screening and interview results, and case management are on the Newton.

6.4 The Screening Program

The various steps of the screening process are presented in this chapter, going step-by-step through a successful screening to show how the screening program works. Later discussions cover the extra options and functions in the Newton program that deal with the many situations that can come up while you are conducting screenings.

You do not have to do anything special to designate whether you are screening an HU, a GQU, or an Added DU. The Newton knows which type of case it is and displays the appropriate screens for the type of screening. The most common type of SDU, the HU, is covered first. Sections 6.7 and 6.9 explain GQUs and Adding Missed DUs.

6.4.1 Starting the Newton

Before you approach the first unit, prepare the Newton by accessing the screening program.

Turn the Newton on, using backlighting if necessary.       At the FormLogic screen, tap on NSDUH Screener. If the battery pack has been replaced or the power source interrupted, you may see a series of boxes pop up in the center of the screen that explain the situation. To close the boxes, tap on the X or the OK in the lower right corner of the box.

After tapping on NSDUH Screener, a small box appears indicating choices of Open or Info. Tap on Open to start the screening program.

The password screen, shown here, appears.       The appropriate password will be provided at training, and will appear on the screen as you tap the keys. Once the password is typed, tap Continue.

An NSDUH title page is displayed for a few seconds, then the Select Case screen appears. One feature you will often see on the Newton is a "light bulb" pictured at the top of the screen when the program is processing your recent entry. When you see this "light bulb," the program cannot respond to additional entries (taps) until it finishes the current request. Do not tap anything—wait patiently until the Newton finishes 'thinking' and then continue providing information.

6.4.2 Case Management

The Select Case screen is your starting point for all screening and case management tasks on the Newton. An example of a Select Case screen is shown below:

The Newton helps you manage your workload. There are eight titles with circles beside them (called radio buttons), in the upper part of the Select Case screen. These titles will help you sort through your work to locate the SDUs you want to visit each day. Tap the title to change the view for the cases you want displayed:

These groupings will help you manage your assignment. It is important to utilize different groups to properly plan your workload. For instance, by tapping Pend Case you will see a list of all the pending cases (screening and interview) you have left to work in your assignment. (Information on screening result codes is found in Section 4.4.1, while interview result codes are explained in Section 7.3.2). To make sure you are following up properly on identified interview cases, tap Pend Int to see the pending interview cases you need to complete. To make sure you entered a Record of Calls event when you entered an Added DU, tap on Addeds for a listing of all Added DUs. To count the number of interviews you have completed, tap on Fin Int.

The grid in the center of the Select Case screen displays the:

• Case_ID: The first two letters are the state abbreviation, followed by the FI Region number, the segment number, the DU indicator (zero for HUs, a letter A -Z for GQUs), then the line number for that SDU.

• Street address: If the street address is long (e.g., a description), you can view the entire address by tapping on the line and the address will display at the top of the screen.

• Current result code or codes for the case: These codes are the most recent entries you have made in the Record of Calls on the Newton. The S column displays the current screening result code, while the A and B columns have the interview result codes for the A and B interviews (if selected).

Below the grid are two wide buttons labeled "Scroll Up" and "Scroll Down" These allow you to scroll through the list of cases, which are in Case ID order. Tap Scroll Up or Scroll Down to find the SDU you want to screen.

You'll notice up and down arrows at the top and bottom of the "B" column located on the far right portion of the Select Case Screen. These will also allow you to scroll, but they do not function as well as the "Scroll Up" and "Scroll Down" buttons.

In the bottom left corner is a box containing a lower case i, which stands for information. If you have a question about how to proceed on a particular screen, tap the i-box and a pop-up box with instructions, specifications, or other pertinent information will appear. Many screens have this quick reference, but if a screen is self-explanatory, there may not be anything programmed into the i-box.

At the bottom of the screen are an Actions button and an Admin button. When tapped, the Actions button displays a list of functions that can be applied to a specific case (case-level functions), such as screen DU, add a call record, edit the address, etc. The Admin button, when tapped, lists functions that are not associated with a specific case, such as transmit data, enter PT&E, etc.

Actions Function (with case selected)	Manual Section with explanation
Screen DU	6.4.3 6.5
Go to Record of Calls	6.6
View Selections/Roster	6.4.7
Edit Address	6.8
Add Missed DU	6.4.5 & 6.9
Place Case on Hold	6.10

6.4.3 Introduction and Verify Address

This begins the instructions on completing a normal screening using the Newton HU screening program. Remember, the designates the category option to follow.

To get started with the screening process and complete the introduction and verification of an address, follow these steps:

1. Identify and locate the DU to be screened. On the Select Case screen, tap on the line with the correct ID and address for the unit to select the case on the Newton. The ID information will darken briefly, then the Case ID and address information will appear at the top of the screen. Double check that you have the correct DU displayed.

It is imperative that you are on the correct line when you screen a DU. The selection process programmed in the Newton is unique for each DU. That is, if you enter the same household information for two different lines (two different addresses), the selection most likely will be different (e.g., one case may be a 30, no one selected, and the other a 31, one respondent selected).

2. After verifying you have the correct line selected, tap the Actions button and select Screen DU.

3. The Identify SR screen appears.

   

   You should be on this screen as you approach the SDU. The Identify SR (screening respondent) screen displays your introduction and includes the questions for verifying that the person to whom you are speaking lives at the SDU and is age 18 or older. Screening must be completed with an adult resident of the DU. No proxy screenings are allowed. That is, the screening information must come from a DU resident who is 18 or older.

   If nothing happened when you tapped Screen DU, check to see that you have an SDU selected and the Case ID and address information are displayed at the top. Screen DU will not operate unless you have a specific case selected.

4. Introduce yourself and the study, using the text displayed on the screen. It helps to have the script memorized so you can maintain eye contact. Have copies of the lead letter with you in case the respondent has not received one.

   Note the uppercase S in a box next to the i-box at the bottom of the screen. Tapping on the S-box at any point within the screening questions changes the display from English questions to the Spanish translation. The S-box is usually located toward the right of the various button options on a screen.

   If you are an RTI-Certified bilingual FI and the person answering the door speaks only Spanish, use the Spanish translation provided by tapping the S-box. Answer choices still appear in English. Now the label appears as an E, so you can return to English at any time by tapping the E-box. The program allows you to "toggle," or switch, back and forth between English and Spanish as needed.

   The goal of all screenings, whether conducted in English, Spanish, or through a translator, is to gather accurate information. Be especially careful in language barrier situations since the language issue can cause misunderstandings. Do not complete a screening unless you are confident about the qulaity of the information you receive.

   • Tap SR NOT AVAILABLE NOW if either of the following situations occurs:

   – No one answers the door or you are not able to introduce yourself.

   – You are able to introduce yourself but either the question, "First just let me verify: do you live here?" or "And are you 18 or older?" is answered "No," and no other adult resident is available.

   Tapping SR NOT AVAILABLE NOW takes you directly to the Record of Calls to document the event (e.g., 01- no one at home, etc.). Details of ROC entries are discussed in Section 6.6.

   	Tap SR AVAILABLE if both questions, "First just let me verify: do you live here?" and "And are you 18 or older?" are answered "Yes."
   	The X in the lower corner allows you to exit screening from this and other screens if necessary. In case you tap on the X by accident, there is a pop-up box verifying that you really want to exit. Tapping Yes will take you to the Record of Calls. If you see this pop-up box in error, tap No to close the box.

   
   

   5. The Address Verification screen appears.

      

   Read the statement, "I just need to verify—is this _________(address)?" to verify you are at the exact address. These are the response categories:

          Address is correct—CONTINUE.
   • Need to edit address (see Section 6.8).

   • FI at wrong address (takes you back to Select Case screen so you can either select the correct line and continue screening with the SR or locate the correct unit).

   • Previous Page button at the bottom allows you to back up one screen if necessary.

   6.4.4 Informed Consent

   Read the statement on the Informed Consent screen (or memorize the text) and give the SR a copy of the Study Description to keep. Although the name is purposefully generic to make it better for respondents, the Study Description is the formal Informed Consent document for screening. You must present the screen text and give the SR the Study Description to provide the SR with the information needed to permit the SR to be able to make an informed decision about participation in the study. The Study Description is also included in the Showcard Booklet.

   

   You have three options:

          Continue.
   • Previous Page (if you need to go back to Address Verification or Identify SR screens for some reason).

   • X-box (to exit out of the screening use the X-box in the lower right-hand corner of the screen to go to ROC (e.g., refusals)).

   6.4.5 Missed DUs

   As explained in Chapter 3, an important part of your job is looking for and adding any missed dwelling units that should have been listed but were not. The Missed DU screen shown below contains the question used to identify any missed DUs during screening. Only ask the question at single housing units that are individual units, such as single family homes, cottages, trailers and townhouses. While townhouses are not technically individual structures, there is a stronger possibility of missed units in townhomes so the question must be asked. Do not ask the question for housing units that are multi-unit structures, like apartments, condos, and duplexes.

   A "Yes" response takes you through the Missed DU process (Section 6.9).       "No" continues the screening.

   6.4.6 Completing the Housing Unit Roster

   Having completed the introductory steps, the next step is to roster the unit to gather the actual data about household members. Occupancy First, determine whether this DU will be the primary residence for anyone in the DU during the reference months of the quarter which the Newton displays. If you are screening before the 15th of the middle month, the question will be displayed as, "Will you or anyone else in this household live here for most of the time during..." If you are screening on or after the 15th of the middle month, the question will automatically be displayed as "Have you or anyone else in this household lived here for most of the time during...." If the SR doesn't know whether or not they (or anyone else there) will live there for most of the time during the quarter, treat this as a "Yes" and proceed.
   If you tap No because no one will live there for most of the quarter, a pop-up box appears asking you to verify the response. Another pop-up box confirms this before the program concludes the screening. It then takes you to Verification, then Record of Calls, and finalizes the case as a code 26. Once finalized, you cannot re-open the case without intervention by your FS. The pop-up box also allows you to change your answer if it was entered in error (tapped in error by you or answered incorrectly by the SR). In the pop-up box, tap No if you do not want to change the answer. Tap Yes in the pop-up box if you do want to change the answer. The Newton then displays the Occupancy question again so you can enter the correct response. If you do not think the SR fully understood the question, re-read the question emphasizing the phrase "most of the time."

   An example of a correct "No" response to the Occupancy question is if you visit an SDU during the second week of the quarter and are told the entire family was moving out that week. No one in that household will live there for most of the time during the quarter, so the answer is "No." The appropriate final code (26) is then automatically assigned by the Newton.

     Continuing with our example, let's say the response to the Occupancy question is "Yes."

   Total SDU Members

   On the pop-up numeric keypad, tap the number(s) for the total number of persons expected to live at the DU for most of the time during the quarter. For the most accurate information, focus on the idea of "most of the time during the quarter." Include all adults and children, even babies. If questions of eligibility are raised, refer to the Enumeration Rules (see Exhibit 6.1). There is a copy of the Enumeration Rules in your Showcard Booklet for easy reference.

   

   The phrase in parentheses is an optional probe. Read it if you feel the SR needs some additional help in understanding who we are—and who we are not—interested in rostering. In past years the majority of persons listed on the roster in error were college students. Be sure to read this phrase at DUs where there might be college-age children.

     When finished, tap Continue.

   If you tap a number in error, tap the del key to delete the number to the left of the cursor/caret (^). The del key is similar to the backspace key on a computer. To move the location of the cursor so that you can delete the correct digit, tap anywhere on the line and the cursor will move to that location. Or, use the right and left arrow keys to move the placement of the cursor if that is easier for you.

   Exhibit 6.1 Enumeration Rules

   PERSONS WHO ARE NOT TO BE INCLUDED ON ROSTER:
   	Persons under the age of 12 at the time of screening (do count them in the total SDU Members number)
   	Persons who are institutionalized at the time of screening
   	Persons who will not live at the SDU for most of the time during the quarter
   PERSONS WHO ARE TO BE INCLUDED ON ROSTER:
   	Persons who will live at the SDU for most of the time during the quarter (provided they are 12 or older and not institutionalized at the time of screening)
   PERSONS ON ACTIVE DUTY IN THE MILITARY/ARMED FORCES:
   	Active duty personnel who live at the SDU for half or more of the quarter will be rostered, but then will be made ineligible by the Newton prior to selection
   KNOWN CITIZENS OF FOREIGN COUNTRIES:
   	DO NOT INCLUDE:
   –	citizens of foreign countries living on the premises of an embassy, ministry, legation, chancellery, or consulate
   –	citizens of foreign countries who consider themselves to be just visiting or traveling in the United States (regardless of the length of time they will be staying at the SDU)
   	DO INCLUDE citizens of foreign countries who are not living on the premises of an embassy, ministry, etc., but who are living/studying/working in the United States and who will be living at the SDU for most of the time during the quarter.

   If the answer Is "1":

   If you enter "1" total SDU member, a confirmation pop-up box appears asking if there is only one person in this household.

             

   The confirmation box is there in case you entered "1" by mistake. The Newton program uses different language for some questions when there is only one household member. If "1" is correct, tap Yes.

   Another box appears asking you if this SR is the one eligible resident of the DU. This is important because there could be more than one person living there but only one who will be living there for most of the time during the months of the quarter. In fact, your SR might be an ineligible person who is moving out early in the quarter.

   • If the SR is the one eligible person, tap Yes.

   • If the SR is not the one eligible person, tap No.

   Again, this response allows the Newton to display appropriately worded questions.

   Members 12 or Older This question automatically displays (prefills) the response entered for Total DU Members, then asks how many of these residents are 12 years old or older.    Enter the number using the numeric keypad, and tap Continue.

   Roster Intro This transition statement defines the householder—the person or one of the persons who live there and in whose name the home is owned or rented. Note that you are interested in the person who is considered to be the householder for most of the time during the quarter. If the home is owned or rented by more than one person, choose the person mentioned first as the householder.    After reading this statement, tap Continue.

   Roster

   Now you will create a roster that includes every person age 12 or older who will live at the SDU for most of the time during the months of the quarter.

   The six data items to be collected are age, relationship to the head of the household (prefilled for the householder), gender, Hispanic origin, race, and military status. The actual text of the screening questions appears in pop-up boxes.

   For each item:

   • Tap the title of the next item to be completed. A pop-up box containing the question appears.

   • Read the question to the respondent. Read the question verbatim using the exact words shown on the screen. In time, you will memorize these questions which will enable you to ask the questions correctly while maintaining eye contact.

   • Once the respondent answers, tap the OK in the corner of the question box to close the box.

   • Enter the answer (by tapping the appropriate response from the list beside the data item).

   AGE The intent of this question, "Please tell me the householder's age on his/her last birthday," is to collect the householder's present age. Some ethnic or racial groups report age as "age on their next birthday," (meaning the year they are presently living). However, some screening respondents may misinterpret "age on last birthday" as the age they were "last year." Because selection is based on age, it is important to probe and collect "present age on last birthday."

   If the SR refuses to give you an age, reassure him/her that the information is needed for the selection process and the data are used for statistical purposes only—there will never be any names associated with the interview data. If the SR continues to refuse, attempt to obtain an age category. Tap on the word Age or the diamond ( ) next to Age to see a list of age categories.

   

   Ask the SR to please indicate the category in which the age falls (12-17, 18-25, 26-34, 35-49, 50+). Tap the correct category for the response. A code 199, 299, 399, 499, or 599 is entered on the line, and a pop-up box will verify the age category. If the respondent refuses to choose an age category, explain that you cannot continue the screening without the information. If the SR still will not supply an age or range, tap the X to exit to the ROC and record the screening as a pending refusal.

     Enter householder's present age using the numeric keypad.

   For the householder, the relationship is automatically filled, so tap on the title Gender to continue. For subsequent DU members, tap on Relation to continue.

   From the age category, the Newton does not automatically display the next question (it just can't be programmed that way!). To continue, you must tap the next appropriate category. Most subsequent questions are displayed automatically as responses are entered.

   RELATIONSHIP For all DU members other than the householder, the relationship question, "How is this person related to the householder?" appears.   For the householder, the relationship is automatically filled as being Householder. To continue, tap on the title Gender.   For other household members, a list of relationships appears. Carefully tap on the appropriate relationship to the householder. Hold the Newton pen on the screen and slide it down until the correct selection is highlighted. It's a long list so familiarize yourself with it so you can easily locate the correct relationship. If you tap an incorrect relationship, close the box for the next question by tapping on OK, then tap on the title Relation to view the list again and change your entry.

   GENDER Ask, "Is this person male or female?" only if not obvious. You may need to ask this question for the householder unless the screening respondent is the householder or the SR uses a specific pronoun when referring to the householder. If the SR uses names, do not use the name to determine the gender of the householder. Many names are unisex such as Pat, Chris, Jamie, etc. For other DU members, if the relationship selected implies a gender (son, daughter, wife, etc) the Newton will insert the gender for that person. You can always confirm and edit the entry by tapping on the title Gender, then tapping the correct selection (male or female).   Tap OK to close the pop-up box, then tap the correct response.

   HISPANIC ORIGIN If when you ask about Hispanic ethnicity the SR hesitates or seems to not know what is meant by Hispanic, Latino or Spanish origin, then read the additional explanatory sentence, starting with "That is,...."   Tap OK to close the pop-up box, then tap the correct response.

   RACE In order to more accurately capture how many Americans view themselves in terms of race, our race question in NSDUH allows for multiple entries. Specifically, a respondent can select multiple races rather than only one. It is important that you read the entire question so the respondent hears all the choices.

   Check as many items as apply. Do not code this item by observation, even if there is no doubt in your mind. The answer must come from the SR, not you. If and only if the SR refuses to answer the race question, record an answer for the householder based upon your observation of the race of the SR. Be sure to note in ROC "Comments" that you have done this. Do not fill any other household members' race by observation, only for the householder. Leave the item blank if it is refused for additional household members. If you have already tapped a category by mistake, tap "Clear Response" to delete that answer.    Tap OK to close the pop-up box, then tap the correct response. Since multiple entries are possible, you must tap on the title Military to continue.

   MILITARY STATUS You will only see this question for DU members between the ages of 17 and 65, since recruits must be at least 17 to join and the military has a mandatory retirement age. For individuals aged 12-16, or 66 and older, the Newton will prefill the "No" once the age is entered for the age question. For persons aged 17-65, tap OK to close the box, then tap the correct response. It is important to read the question as worded—omitting "currently" or "active" changes the intent of the question and will yield an incorrect response.

   COMMIT RECORD The three option buttons at the bottom of the roster screen are: Commit Record Before the Newton saves the roster for this person, a pop-up box helps you verify the accuracy of the data you have recorded by quickly reviewing the responses with the SR.        If you need to edit or add a response, tap No. You will see the Roster screen and can make any changes. If all is correct, tap Yes to continue.

   Cancel Record	If while rostering, the SR told you this person would not be living there for most of the time during the quarter, you would choose this option and the record would not be saved. This happens occasionally when an SR includes a son or daughter who is actually living at college.
   	Note: You cannot cancel the first person's record (householder). If you try, a pop-up box will state you cannot cancel this record; however, if this is necessary, you can make this person ineligible on the Verify Data screen.
   Clear Response	This clears the response to the "active" question—the one with the dotted box around it.

   SCREENING RESPONDENT

   The Newton asks, "Is this ____ year old _______ (sex) the screening respondent?" filling in the age and gender data.

   The SR must be a household member age 18 or older, except for an emancipated minor or a person living in a GQU. If you identify an SR under age 18 in an HU, the Newton prompts you to "locate" an eligible SR to screen with or ask you to explain the situation in the ROC Comments Section.

   

          Tap Yes if the person is the SR or No if the person is not the SR.
   • If the person is not the SR, the Newton continues to ask this question as you commit each household member's roster record until someone is identified as the SR. You should eventually identify one rostered person as the SR.

   The possibility exists that the SR may not be listed on the roster because of ineligibility for the NSDUH. Perhaps the SR is a resident of the DU at the time of screening but is moving out the next week so won't be there most of the quarter. The Newton continues to ask for an SR who has a roster record entered and reminds you to mark one. If the actual SR is not listed, you must record the details of the situation in the Comments in the ROC.

   TRANSITIONAL PHRASE This statement explains the rostering of the remaining household members. If there are only two household members age 12 or older (one is the householder and the other is the next person to be rostered), this phrase is customized to say "other person" instead of "other people."          Tap OK to close the box, then roster and commit the records of the remaining household members.

   Verify Data

   After all household members are rostered and their records committed, the Newton displays a summary chart on the Verify Data screen.

   The columns are labeled as follows:

   E AG REL G H W B I P A O M SR

   Eligibility (E or I for Eligible/Ineligible) Age Relationship Gender (M or F) Hispanic origin (Y or N) White Black or African American American Indian or Alaska Native Native Hawaiian or other Pacific Islander Asian Other Race Military (Y or N) Screening Respondent (Y or N)

   Be aware that this screen does not follow the pattern of previous screens. The purpose of this screen is two-fold:

   • The information for each person rostered is displayed in very abbreviated form to help you double check that you have complete data. Quickly review the chart silently to see what data, if any, is missing. Do not attempt to read back all of the roster information for each household member.

   • Once you have reviewed the chart for completeness, read the ages and relationships of the rostered household members to the SR. By doing so, you are reminding the respondent of exactly who is listed, which allows you to transition into the final screening questions that check for completeness and accuracy of the roster. Even though you are reading to the SR from the screen, the SR does not need to respond. When you are done, simply tap Continue.

   The directions to you are in ALL CAPs at the bottom of the screen. The first prompt below the summary chart states, "I have listed...." Read the ages and relationships listed. For example, "I have listed the 45-year-old householder, his 40-year-old wife, and his 12-year-old son." The SR does not need to respond.

   Entries on each line should be complete and reflect the responses provided. Refused categories should be left blank. All data are needed for analysis and for statisticians to correctly compute the sampling weights. The weighting process is critical to sampling since it shows what percentage of the population was represented by NSDUH respondents—both screening and interviewing. Your FS has access to reports which detail any missing screening data. The only time a category should be left blank is if the SR refused or does not know and won't guess.

   If the SR gives you a correction or you see an entry error you made, you can edit any person's roster data by tapping on his/her line of data on the left side of the chart. An Edit Roster Record screen appears that is similar to the Roster screen, listing the various data items, including selection eligibility and screening respondent.

   

   You can update responses to any of these categories by tapping the category title. This makes the item "active" by displaying a dotted box around it. Just tap on the correct response and it replaces the original response. Then tap Update Record.

   The Clear Response button deletes the response for the category you have made active. For example, use Clear Response if an SR refused a response, but you accidently entered one. However, to delete a recorded race category, tap the answer again to erase it, since Clear Response doesn't work for the race categories. Remember to leave refused categories blank.

         Read the list and make any necessary corrections, then tap Continue.

   FINAL SCREENING QUESTIONS

   Once you have verified the completeness of the data and read the roster list to the SR, the next task is to ask the SR two global questions regarding the composition of the household. This important task can also be tricky, since household composition can change. Several concepts should help clarify the issue:
   • Focus on MOST of the time during the quarter. If the person in question will live at the DU for most of the time during the quarter, include him/her, even if he/she is not living there at the time of screening.

   Example:	You conduct screening the second week of the quarter. A cousin has firm plans to move in next week, so will live there for most of the quarter. Include the cousin.
   	Should the cousin be chosen for an interview, confirm arrival dates and return to conduct the interview after that time. If plans change and the cousin doesn't ever move in, contact your FS to finalize the case as a 79. (Interview result codes are discussed in Chapter 7.)
   Example:	You screen a DU the eighth week of the quarter. The newly married daughter moved out 2 days ago, but lived there for most of the quarter. Include the daughter. If she is selected for an interview, obtain new address information and discuss the case with your FS.

   • Household compositions do change: separations, unplanned moves, jail time, illness, even death can alter the accuracy of the roster you prepare. Change is OK! On the day of screening, complete the roster to the best of the knowledge of the SR. Do not attempt to reroster or rescreen if there is a subsequent change. (Do stop screening and return at another time if the respondent is uninformed.)

   Example:

   You conduct screening the fourth week of the quarter. The SR isn't sure about her brother's plans—he's thinking about moving out. Since the brother currently lives there and has no concrete plans to move out, include the brother. If he is selected and then does move out, obtain a forwarding address.

   • Theoretically, each person should have just one chance of being selected at a DU somewhere in the country during the quarter, and the rule is to list the person at the one DU where he/she lives for most of the quarter.

   • These rules apply to the people within the household, not to the entire household. If an SR tells you the entire household is moving out early in the quarter, the correct code is 26 and the case is final—you do not need to keep re-visiting the unit to see if anyone else moves in.

   So, after reading the roster list to the SR, the Newton prompts you with these questions.

   1. Read the question in the Ineligible for Quarter pop-up box, "Is there anyone that I have listed who will NOT live here for most of the time during the months of (the quarter)? (Please let me know if I have included anyone who will live at school or somewhere else for most of the time during the months of (the quarter).)"

   • If the response is Yes, a pop-up box instructs you to make these individuals "Ineligible." Tap OK, then tap their line of data and update Selection Eligibility from E (eligible) to I (ineligible). Then tap Continue. Be sure to note in the Comments section of the ROC the reason why you marked the person ineligible.
   • If the response is No, a second question automatically appears.

   2. Read the question in the Another Eligible HH Member pop-up box, "Is there anyone 12 or older that I have NOT listed who will live in this household for most of the time during the months of (the quarter)? (Do not include anyone who will live at school or somewhere else for most of the time during the months of (the quarter).)"

   • If the response is Yes, a pop-up box instructs you to tap the Add Member button to add each member not previously listed. When all members have been added, tap Make Selection.

         If the response is No, tap Make Selection.

6.4.7 Selection

If there is any reason to doubt the information you have entered is accurate (either you entered it incorrectly or the SR did not answer correctly/truthfully), tap No and either make corrections to the roster immediately or tap the X to exit screening. All the data you have entered is saved, and you can go back into the case to make updates as soon as you obtain the correct information.

Once the selection is made, you cannot go back into the roster and re-screen without special intervention by your FS and RTI staff, so be sure you are ready to proceed.

In most cases you will proceed by tapping Yes.

The Respondent Selectionscreen will display whether anyone in the household was selected for an interview. The screen is divided in half; the upper half displays selection information for Interview A and the bottom half displays selection information for Interview B.

Items listed for each person selected for the interview are:

These pieces of information will help you identify the selected respondent during this or subsequent visits to the household. Chapter 7 discusses preparing for the NSDUH interview.

6.5 Verification

If no one is selected (Code 30) then the Newton takes you directly to the Verification screen. You will have just finished rostering the household with the SR, so the final task before leaving the DU is to obtain the verification information from this person.

6.5.1 Entering Verification Data

Read the script provided, "So that my supervisor may verify my work, may I please have your first name and telephone number?" The first name and number are used to contact a percentage of each FI's cases. If the person refuses, say, "A percentage of the households I visit are called to verify that I have been here doing my job. They will only ask a few questions to make sure I was here and that I was professional." Emphasize it is used only to verify the quality of your work. Particularly with the elderly, consider leaving a Q&A Brochure that might help the respondent remember your visit.

This screen allows you to enter the person's first name, home or work phone, designate if the person refused any pieces of information, and enter any comments that would be helpful to the RTI verification caller.

NAME Notice the cursor (^) in the space beside First Name. The keyboard for tapping the name is also displayed.    Spell the person's name by tapping on the alphabet characters. To enter "Joan," either: Tap on shift, then type Joan. Notice that "shift" capitalizes only the next character you tap; or Tap on caps, then type JOAN. Notice that "caps" capitalizes all subsequent characters until you tap on "caps" again. If you don't get the caps correct, don't worry. The entry can be "joan," "JOAN," or "Joan." If the person refuses to provide a name or for some reason a name is not available, tap the appropriate selection (Refused or Not available) below the First Name line.

PHONE
	When you have finished the name entry, tap on Phone, to make this category active. A special keypad appears.
	On the keypad, tap the 3 digits of the area code, then the 7-digit phone number. If you make a mistake on the phone number, tap on the section containing the error and the outlined box surrounds that section to make it active. Tap the del key to delete the digits and then enter the correct number.
	Notice the HM and WK buttons beside the number. Designate if the phone number is a home or work number. This helps the RTI verification caller when trying to reach this respondent. Remember, entering the correct area code and phone number is very important.
	A home number is better than a work number.
	If you are given a work number, try to get an extension or at the minimum, a department name.
	Try to make sure the person is not giving you a beeper or pager number. RTI's verification unit cannot accept incoming calls, so pager numbers are not useful.
	If the number provided is a cellular phone (or other mobile phone), ask if the phone is used mostly for work. If so, mark it as a work number. If not, mark home.

If the person refuses to give you a number or does not have a phone, tap the appropriate category, Refused or Not Available, below the phone number. If you have notes to enter for the verification caller, tap the A box under Notes to Verification Caller, and the keyboard appears so you can enter notes.

NOTES TO VERIFICATION CALLER

Enter any notes that would help the RTI verification caller complete the call. Examples of helpful notes are:

• If the person gives a work phone, enter the extension number or department name.
  
  
• Who the contact person is (landlord, real estate agent, person who just moved into the house).
  
  
• Best times to call. If you had trouble reaching this person, you can bet the verification caller will experience the same problem. Provide information on the best times to call. For example, the person is a shift worker so calling before 11:00 am is not good because of sleeping patterns.
  
  
• Best days to call. If the person was difficult to find at home, provide information on when you had luck catching him or her.
  
  
• Indicate if the number is a cellular or other mobile phone.
  
  

6.6 Record of Calls

The ROC program on the Newton allows you to document each contact with an SDU with just a few taps of the special pen. All visits to each SDU must be documented in the ROC. The ROC also contains a refusal report that is required for each entry of a refusal code, both pending and final (codes 07, 17, 57, 58, 77 or 78). There are two ways to access the ROC program:

1. The Newton automatically assigns one of a group of finalized screening codes that are the result of selection or ineligibility. These codes are 25, 30, 31, 32, and sometimes codes 22 and 26. The ROC program also automatically assigns the date and time of the ROC events for these final screening codes.

2. When entering data for all other screening and result codes from the Select Case screen, select the case, tap Actions, then tap Go to Record of Calls. Or, exit from Identify SR or any subsequent screen, and the Newton program automatically goes to ROC so you can enter the result of your visit.

When you approach the SDU for a screening visit, you should be on the Identify SR screen. If you cannot finalize the screening during a visit, then you have two options:

• Answer the question on this screen—if the SR is not available, tap SR NOT AVAILABLE NOW (go to ROC).

OR

• If some other "pending" situation has occurred, you can tap the X in the lower right hand corner of the screen.

Both of these actions will take you directly to the Screening Call Record screen.

• Date, time, and day of week are prefilled, so this is very quick and easy to complete right away, while you are at or walking away from an SDU. WE insist you enter the call record informaiton at—or immediately after—the time of contact.

• Tap on Result Code for a list of appropriate screening or interview result codes. Tap the appropriate result code, and add any Comments (such as good times to return or info to help you locate the respondent, etc.). Screening result codes are explained in Section 4.4, while interviewing result codes are explained in Section 7.3.1.

Here's the list of codes for a screening case:

Once you complete the ROC entry, tap Commit Record for the Newton to save it. If you find you are on the wrong line, tap Cancel Record. A pop-up box verifies that you want to cancel this record before taking you back to the Select Case screen.

Here's an example of an ROC for a screening when no one was at home. Note the comment regarding the time to return.
Here's an example of a completed ROC for an interview appointment:

When entering an ROC from the Select Case screen and it is the first ROC event for the case, a pop-up box states this is the first event and asks if you want to add a call record now. Tap Yes. If you tapped ROC in error, tap No to return to the Select Case screen.

If it is not the first ROC event for the case, the Newton displays the Record of Calls screen where you can view previously entered results or add a new one. This screen lists all of the events for that case, including screening and any interview A or B result codes.

COMMENTS: When entering comments, do not enter text such as "screening complete" or "no one at home." The codes designate this information already. Only enter information that will be helpful to you or whoever is working the case. To view any comments for a record, tap on the line of the event and the comments are displayed on the bottom portion of the screen.

Actions from the Record of Calls screen are:

6.6.1 Adding Interview A and B Case ROC Result Codes

If selection results in a code 31, the program automatically enters the screening code 31 with the date and time. You can add comments, if necessary, but this is not the place for information about the interview. The program also reminds you with a pop-up box to enter the A case ROC interview record. Then, tap Add to create the A case record. The date and time are automatically entered by the Newton. Select an interview result code from the drop-down list and add any necessary comments about the interview (see Section 7.3.1 for explanations). If selection results in a code 32, the program automatically enters the screening code 32 with the date and time. You can add comments about the screening, if necessary, but again, this is not the place for information about the interviews. A pop-up box reminder will tell you to enter a call record for both the A and B cases. Tap on Add, then tap on A or B at the top of the screen to designate which record you are entering first. You may need to refer to the selection information to enter the correct code and comments for the correct interview respondent.

After you enter the first interview code (A or B), tap on Add to create a second record, then tap on A or B to designate the correct interview record.

6.6.2 Refusal Report

Once you enter a pending or final refusal code (07, 17, 57, 58, 77 or 78) in the ROC and tap Commit Record, the Refusal Report screen appears listing the most common reasons people refuse. Tap the main reason that applies for this specific case and visit. The first time you record an 07, 57 or 58, automatic refusal conversion letters may be sent based on the entry you make. These letters were explained in Section 5.6. Each SDU can receive one screening refusal letter, and one interview refusal letter for each selected respondent.

In addition:

Code 07 - Pending screening refusals with edited addresses. If you edited the address for the case, (see Section 6.8), the edited information is not available to the refusal letter system until after the screening is finalized. In order for the letter to be sent to the correct address, you must enter the correct address again in the Refusal Comments.

Codes 57 and 58 - Pending interview refusals with edited addresses. Edited address information is available for interview refusal letters so you do not need to enter the correct address again when entering an interview refusal in the Newton.

Codes 57 and 58 - Pending respondent refusals vs. pending parental refusals. Please be very careful to choose the correct pending interview refusal code. After a code 57 is entered and transmitted, a code 58 can be entered in the Newton for that case but the code in the refusal system will not change so a parental refusal letter cannot be sent.

To complete the refusal report:

• Tap the one main refusal reason. If you have comments specific to the refusal you are documenting, tap on Refusal Comments to add comments to this refusal report. Comments about the details of the situation help you when discussing conversion strategies with your FS. Notes such as which parent refused for a selected youth or which household member was acting as a gatekeeper are very important. Remember to enter the correct address if a case with a code 07 has an address that was wrong.

• Tap Done to exit.

To review this refusal report data, in the ROC tap on the line for that event, then tap View Ref. You then see the refusal report with the reason you checked indicated. Any comments you entered are also displayed. Keep in mind, refusal reports cannot be edited after they have been transmitted.

If you go back to an SDU and must assign a pending refusal code again, you are prompted to complete another refusal report. Situations can vary between visits, so record the information for that visit as well.

6.6.3 Unable to Contact

Similar to the refusal letter system just described, an automated system can send Unable to Contact (UTC) letters for either screening or interviewing to SDUs you are having trouble contacting. (See the end of Appendix C for examples.) After several weeks of numerous unsuccessful attempts (as documented with the result codes), the system flags the case for your FS who, after discussion with you, can either have the letter sent, wait longer, or indicate a letter will never help.

Several important points:

• As with refusal letters, an edited address is not available in the system until after screening is finalized. Include the correct address in the ROC comments so your FS can view the correct information.

• Do not rely on the letter to gain you entry! While letters may help, the best approach is always a professional, knowledgeable, organized interviewer.

6.6.4 Special Rules for Final Codes 11, 17 and 77

The Newton program only allows you to enter a code 11 (no one at DU repeatedly) if you have made at least four visits to the SDU—our project minimum. The program also only allows you to enter a final refusal code if you have previously entered a pending refusal code. These checks are designed to keep you from assigning a final code when a pending code should be used.

6.6.5 Importance of ROC data

The Newton program is designed to make the recording of accurate and complete data as simple as possible. The ROC data in particular only takes a few steps if you complete the record while leaving the DU. As mentioned earlier, the important ROC data is transmitted each time you connect and transmit to RTI. The next day the data is compiled into special reports made available to your supervisor through the project Website. Your FS can see exactly what time you visited a unit the day before as well as the timing of all previous attempts and all of your comments. This level of detail assists the FS in helping you manage your cases better.

6.6.6 Flow of Newton Program

One challenge of computerized screening is being able to visualize the logic of the changes from one screen to another. While the past few sections took you step-by-step through the details of the major sections of the program, a Summary Chart in the Appendix in the FI Computer Manual can help you understand the flow of the Newton program. This chart is most often helpful early on in the learning process.

The remainder of Chapter 6 presents the various other screening tasks performed through the Newton. Each of these tasks are accomplished somewhat independently, so the flow of following a case through the process is halted for the rest of the chapter.

6.7 GQU Screening Program

The GQU screening program functions in the same way as the HU program except for a few additional features specific to Group Quarters. All additional or different items are documented below:

• The GQU screening program does not contain the Missed DUs screen asking if there are any occupied or vacant living quarters. Instead, before you begin screening at a group quarters structure with selected GQUs, you need to find a knowledgeable adult (usually someone who works there) and verify that the listing is currently correct. This is most important for GQUs that have been listed by beds or persons.

If there is a discrepancy between the original Group Quarters Listing Form and what you find when you visit the GQU, call your FS. You cannot add missed GQUs on the Newton. They need to be listed and sampled first, then the GQU cases can be transmitted to your Newton during one of your regular daily transmissions.

You can, however, add a Missed HU linked to a GQU using the Select Case screen. For example, you can add an HU for a "house mother's apartment" within a fraternity house. To do so, tap on the line of the GQU, tap Actions, then tap Add Missed DU. Be sure to follow the detailed instructions in Section 6.9 when doing this.

• In the screening program after Informed Consent there are a few additional screens that set up the appropriate roster questions for GQUs.
  1. The Transient screen asks you if the GQU is a transient shelter. If not, the program takes you to the Occupancy screen to continue the screening process.

  2. If the GQU is a transient shelter, the next screen, Unit Type, asks you if the units were listed as rooms, beds, or persons.

• The SR for the GQU is always the first person listed on the roster.

• The HU roster question for "relationship to householder" is replaced by "What is your first name?" so that the GQU members can be properly identified. If the SR refuses to give a first name, request his or her initials or some other identifying information so you are both clear who you are talking about during rostering and possible selection.
  
  If the case is a code 30, you will notice the SR's first name is automatically displayed on the Verification screen (data taken from the roster, though you may edit the name if needed). You just need to enter Phone, then Notes (if necessary).

6.8 Edit Address

There are two ways to edit an SDU address in the Newton. The one you use depends on when you obtain the new address information.

1. If you obtain the information during the HU screening process, while on the Address Verification screen, tap NEED TO EDIT ADDRESS. A keyboard appears so you can edit any part of the address. Tap on the category title (Street, City, State, or ZIP) to make it "active," then use the arrow keys to move the cursor and the del key to delete what is displayed. Then enter the correct information. The Newton program performs several edit checks and may prompt you to verify that information has been entered correctly.

      Tap Continue to save the changes and continue screening on the Informed Consent screen.

Tap Previous Page to save the changes and go back to Identify SR screen.

2. If you obtain address change information before the screening process begins, you can enter this information from the Select Case screen. Situations where you might want to enter address updates this way are SDUs with descriptions only or areas that have recently received new addresses due to 911 coverage.

Tap on the line of the SDU, tap Actions, then tap Edit Address and the Edit Address screen appears. Tap on the category title (Street, City, State, or ZIP) to make it active, then use the arrow keys to move the cursor and the del key to delete what is displayed. Then, use the keyboard to enter the correct information. As needed, respond to any Newton prompts based on edit checks of the address.

      Tap Update to save the changes.

• Tap Cancel if you got to this screen in error or do not want the changes saved.