2002 FI MANUAL -- APP. B

Appendix B: Result Codes

Result Code List

This list includes all result codes, pending and final as well as screening and interviewing. The codes are defined and followed by a list of examples for each code. For instructions on the next steps to take after assigning a screening code, see Section 4.4.1. Instructions on necessary steps to take for cases with interviewing codes are in Section 7.3.2.

PENDING SCREENING CODES

NO ONE AT DU—no one is at the unit at the time of your visit.

Examples:

You visit an SDU, and no one is at home.

You knock on the door of an SDU, and no one answers the door. You decide to leave and go to another SDU.

You visit an SDU, and find no one home. A neighbor boy tells you that no one lives in the SDU. You have not discussed this SDU with your supervisor or confirmed it with an adult.

SCREENING RESPONDENT UNAVAILABLE—Someone is at the unit; but that person is not an eligible or knowledgeable screening respondent (young child, babysitter, housekeeper, etc.). The SR must be an adult (18+) resident of the SDU.

Examples:

You visit an SDU to do a screening. The only person home is a 16-year-old resident.

You visit an SDU for the second time. When you knock on the door, a woman answers but indicates she is the babysitter. Be sure to ask when would be a good time to return to speak with an adult resident, and record that information in the Newton ROC notes.

You visit an SDU and no one answers your knock. You hear voices inside.

NEIGHBOR INDICATES OCCUPANCY—An adult neighbor (or other informant) indicates that the unit is occupied.

Example:

You visit an SDU for the first time, and no one answers the door. Before you enter an 01, you see an adult neighbor and ask if someone lives at this address. The neighbor confirms and you code it an 03. Remember to ask the neighbor for a good time to return.

PHYSICALLY/MENTALLY INCOMPETENT—No one at the unit is physically or mentally able to respond meaningfully to the screening questions.

Examples:

You visit an SDU and discover that the only resident of the SDU cannot understand any screening questions apparently due to mental incompetence.

The person who answers the door reeks of alcohol and is obviously drunk.

LANGUAGE BARRIER (SPANISH) —The screening respondent speaks Spanish and does not speak English well enough to complete the screening. RTI-Certified bilingual FIs have the option of completing the screening in Spanish.

Example:

You have a respondent who speaks only Spanish. You try to ask if there is anyone else in the household that could answer the screening questions in English. No one in the household speaks English so you code it an 05, and your FS will send a bilingual FI to this address.

LANGUAGE BARRIER (OTHER)—The screening respondent speaks a language other than English or Spanish and does not speak English well enough to complete the screening.

Example:

The person greets you at the door of an SDU speaking in a language that you do not understand but that you know is not Spanish. You attempt to make conversation in English, but the resident does not understand what you are saying. There is no one else at home who speaks English.

REFUSAL TO SCREENING QUESTIONS—The screening respondent you are talking with refuses to allow you to proceed with the screening process.

Examples:

You visit a household and a man answers the door. You tell him who you are and why you are there. He says he is not interested. You try to convince him that this will only take a few minutes of his time. He tells you he is not interested and slams the door in your face.

A woman cautiously answers the door, whispering to you that this isn't a good time. She keeps looking over her shoulder and seems anxious. She says you must go away.

UNABLE TO LOCATE SDU—You are unable to determine the exact location of the SDU.

Example:

You are out in the field and you cannot locate an address. You look at your maps and ask for directions, but still no luck. You code it an 08 and talk to your FS immediately.

OTHER—The situation you encounter does not fit into any of the above categories. Also use this if you are unsure how to code a situation and you temporarily code it an 09 until talking with your FS.

Example:

You discover that an SDU should not have been listed because it is outside of the segment boundaries. You have not discussed the SDU with your FS.

FINAL SCREENING CODES

10	VACANT—While in the field you confirm with a neighbor, landlord, realtor, or other knowledgeable person that the unit is vacant. The Newton prompts you to complete the verification information (including the name and phone number of the person providing the confirmation). Example: You have visited an SDU four times. You finally talk to the owner of the house next door, who tells you no one lives in the SDU.
11	NO ONE AT DU AFTER REPEATED VISITS—Repeated visits at different times of the day and on different days of the week have failed, and your FS has given approval. No verification information is required. Example: It is the 12th week of the quarter. You have visited an SDU 10 times and have never found anyone home. You are certain that someone lives in the SDU because the house is fully furnished, the electric meter is running every time you are there, and the lawn is cut every week. You have not been able to catch a neighbor willing to give you any information about the SDU or the residents. Your supervisor gives you permission to give the case a final code.
12	SCREENING RESPONDENT UNAVAILABLE AFTER REPEATED VISITS—Repeated visits at different times of the day and on different days of the week have failed, and your FS has given approval. No verification information is required. Example: It is the 11th week of the quarter. You have visited an SDU six times, but have never found an adult resident to do the screening. Your supervisor gives you permission to give the case a final code.
13	NOT A PRIMARY RESIDENCE—You have verified with the current or temporary residents, a neighbor, real estate agent, or landlord that the unit is not used as a primary residence (that is, it is only a weekend or vacation home). To qualify as a primary residence, the residents must spend the majority of their time living at the DU. If residents are not there for ½ or more of the quarter, see code 26. The Newton prompts you to obtain verification information. Example: You discover that an SDU is a vacation home that the owners only visit occasionally.
14	PHYSICALLY/MENTALLY INCOMPETENT—This code should rarely be used. However, if no one at the unit is able to respond meaningfully to the screening questions, your FS can give approval. No verification information is required. Examples: You visit an SDU and discover that the only resident of the SDU does not understand your screening questions, but it is obvious that the person speaks and understands English. You revisit the SDU the following week and find that the resident still cannot understand your questions. You have checked with neighbors to see if someone else lives there who can answer your questions. The neighbors indicate the resident is mentally incapable. Your supervisor has given you permission to give the case a final code. Caretaker of the resident says the resident is mentally or physically incapable of responding to the questions. The caretaker is not a resident.
15	LANGUAGE BARRIER (SPANISH) —This code should be used rarely. If there is not a possibility of transferring the case to a bilingual FI, your FS can give approval. Do not code this until your FS says there are no bilingual FIs to work it. No verification information is required. Example: All residents of an SDU speak Spanish only. It is week 12 of the quarter, and there are no bilingual FIs available to work the case. Your supervisor has given you permission to give the case a final code.
16	LANGUAGE BARRIER (OTHER)—This code should rarely be used. If there isn't a translator available, your FS can give approval. Use this code when you cannot tell what language is being spoken by a respondent. Your FS can send a bilingual FI who can tell if it is Spanish or not. No verification information is required. Example: You have visited an SDU five times. You have never found anyone home who speaks a language you can understand, nor can you find a translator. Your supervisor gives you permission to give the case a final code.
17	REFUSAL—All attempts to convert the refusal have been unsuccessful and your FS gives approval. The Newton will prompt you to enter a refusal reason. Be sure you have made accurate notes about the situation. No verification information is required. Example: You got a refusal from a resident at an SDU. A refusal letter was sent from RTI. You revisited the SDU after the letter was sent and the resident threatened to call the police. Your supervisor gave you permission to give the case a final code.
18	NOT A DWELLING UNIT—Verify with a neighbor, landlord, or other knowledgeable person that the unit does not meet our definition of a dwelling unit. Enter the verification information (including name and number of the person providing the confirmation) when prompted by the Newton. Examples: Units that have been demolished or merged with another unit, a unit used by a church or nonprofit organization as a meeting facility, or a unit used only for business or storage. You discover that an SDU is a beauty shop only. You visit a household and find that it burnt down last week.
19	GQU (GROUP QUARTERS UNIT) LISTED AS HU (HOUSING UNIT)—A GQU was listed incorrectly as an HU. Check with your FS for further instructions. Example: Upon visiting an SDU, you learn that the SDU originally listed as an HU has been converted into a boarding house with 11 rooms. You discuss the SDU with your supervisor and he gives you permission to give the case a final code.
20	HU LISTED AS GQU—An HU was listed incorrectly as a GQU. Check with your FS for further instructions. Example: You visit an SDU that was originally listed as a boarding house but is now a single family dwelling unit. Your supervisor gives you permission to give the case a final code.
21	DENIED ACCESS TO BUILDING/COMPLEX—After many attempts you are UNEQUIVOCALLY denied access. Your FS must give approval. No verification information is required. Example: You attempt to gain access to an SDU in an apartment building through a doorman but are unable to get past the doorman. Your supervisor has attempted contact with the building owners, RTI has sent packages to the on-site managers and building owners, but neither the manager nor the owners will give you permission to enter the building. Your supervisor has given you permission to give the case a final code.
22	DU CONTAINS ONLY MILITARY PERSONNEL—The Newton automatically assigns this code if during screening all DU members are found to be military personnel on active duty. Persons on active duty in the military are not eligible for NSDUH. Be sure to enter the verification information in the Newton as prompted. Example: You are visiting SDUs on a military base and discover that both residents of an SDU are on active duty in the military.
23	OTHER—This code should be rarely used as virtually all situations are covered by another appropriate code. However, it applies for all cases that do not fit any of the above categories or code 29. Be sure you have fully described the situation to your FS, and he/she has given approval to use this code. Be sure to document the circumstances in your Record of Calls. No verification information is required. Example: You go through the process and add a missed DU. After it is added, you discover the unit WAS originally listed, so it should not have been added. You discuss the situation with your FS and obtain her approval to use Code 23. In the comments section of the ROC describe the situation including the phrase "Added in Error."
25	NO ELIGIBLE SDU MEMBERS—When all DU members listed on the screening roster are changed to ineligible status, the Newton automatically assigns this code at the end of the screening. It is not available for you to assign in the Newton ROC section. Enter the verification information in the Newton. Examples: You are about to finish a screening early in the quarter when the screening respondent tells you they are moving in 2 weeks and in fact will not live in the house for most of the quarter. Mark all listed household members as ineligible, then the Newton assigns this code. While completing a screening roster towards the end of the quarter, the screening respondent indicates he is on active duty in the military and his only house-mate just moved in last week so did not reside in the unit for most of the quarter. Both residents are ineligible, so the Newton assigns code 25.
26	WILL RESIDE/HAS RESIDED IN DU LESS THAN ½ OF THE QUARTER—When the response is 'no' to the third screening question, at the Occupancy screen, there is no household roster and a code 26 applies. The Newton assigns this code when no one in the DU will live there (or has lived there) for most of the time during the three months of the quarter. Enter verification information in the Newton. Example: You determine through screening in a college dorm that the three residents of the SDU are college students who will be living at their parents' homes for most of the quarter.
29	LISTING ERROR—These units were listed in error during the counting and listing phase. Examples: The fourth unit in a multi-unit structure is an SDU. You locate the structure and realize there are only three units. You confirm with the manager that there have always only been three units. The SDU does not exist, meaning the unit was originally listed in error. The person completing counting and listing went one street too far, so the SDU is out of the boundaries of the segment. Confirm this by a thorough investigation in the area using the maps and listing materials, then discuss it with your FS. A corner store has only one apartment above the store. While the business itself was not listed, the apartment was listed using the front street address and was listed again using the side street address, which is the main entrance for the unit. Both addresses are selected DUs. You verify the situation with the business owners and the resident of the apartment. You then check with your FS to discuss which case to screen and which to code as a 29. You visit a group quarters structure with 3 selected units and meet with the manager to determine the accuracy of the listing. During the conversation, you realize the facility is actually an institution since medical and psychiatric care are provided for the residents. You discuss the situation with your FS, who approves the code for each selected GQU and reminds you to enter "Ineligible - Institution" in the ROC for each case.
30	NO ONE SELECTED FOR INTERVIEW—The Newton automatically assigns this code at the end of the screening when a resident of the dwelling unit has provided the screening information, but no one listed on the roster was selected for the interview. Enter the verification information when prompted. Example: You complete a screening and no one is selected for an interview.
31	ONE SELECTED FOR INTERVIEW—The Newton automatically assigns this code at the end of the screening when one DU member is selected to be interviewed. No screening verification information is required. Example: You complete a screening and one person is selected for an interview.
32	TWO SELECTED FOR INTERVIEW—The Newton automatically assigns this code at the end of the screening when two DU members are selected to be interviewed. No screening verification information is required. Example: You complete a screening and two residents are selected for an interview.

PENDING INTERVIEW CODES

50	APPOINTMENT FOR INTERVIEW—You have spoken with the respondent and have set a time to conduct the interview. Example: The selected respondent is at home, but cannot complete the interview at that time. You make an appointment to complete the interview the following week.
51	NO ONE AT DU—No one is at the DU. Example: Last week following screening the selected respondent was not at home (code 52). You revisit the SDU at the time suggested by the screening respondent and no one is at home.
52	RESPONDENT UNAVAILABLE—Someone is at the SDU, but the selected interview respondent is not. Examples: At the conclusion of screening, you discover the selected respondent is not at home. You return for a scheduled appointment with a young mother only to find her children are all sick.
53	BREAK OFF (PARTIAL INTERVIEW)—The respondent you are interviewing either refuses to allow you to complete the interviewing process or cannot complete the interview at that time. Example: You are halfway through an interview with a respondent. The respondent remembers that he must be at work in 10 minutes. He tells you that you must leave right away.
54	PHYSICALLY/MENTALLY INCOMPETENT—The respondent is unable to meaningfully answer the questions. Examples are respondents with pronounced mental retardation, autism, or who are intoxicated. Physical problems due to serious illness, deafness, or severe speech disorders may qualify. If the incompetence is not temporary, discuss the situation with your FS. Always attempt the interview unless it is absolutely clear that the respondent cannot be interviewed. Example: The respondent is deaf so cannot complete the CAPI portion of the interview.
55	LANGUAGE BARRIER (SPANISH)—The respondent speaks Spanish, and does not speak English well enough to complete the interview. Talk with your FS about transferring the case to a bilingual FI. There can be NO translators for an interview. Example: The respondent speaks only Spanish.
56	LANGUAGE BARRIER (OTHER)—The respondent speaks a language other than English or Spanish and does not speak English well enough to complete the interview. Talk with your FS. Unlike screening, there can be NO translators used for the interview. Example: The respondent speaks only German.
57	REFUSAL (BY RESPONDENT)—The respondent refuses to let you start the interviewing process. Make notes in the Newton Refusal Report while the incident is still fresh in your mind and discuss with your FS how to handle the case. A refusal letter may be sent. Examples: The selected respondent refuses to complete the interview. The selected respondent is a 20-year-old who lives with his parents. The father refuses to allow you to interview the 20-year-old. Since the respondent is not 12-17, this becomes a gatekeeper situation with the father refusing for the respondent. Choose the Gatekeeper reason on the Newton Refusal Report and note that the father was the gatekeeper. A 15-year-old respondent refuses to participate, even though the mother gave permission.
58	PARENTAL REFUSAL FOR 12-17 YEAR OLD—The parent refuses to allow you to interview the selected youth aged 12-17. If a parent refuses for a son or daughter aged 18 or over, use code 57. Make any necessary notes in the Newton and discuss this with your FS. A special refusal letter may be sent to the parent. Example: The selected respondent is a 14-year-old female. Her father, the screening respondent, refuses to let you interview the daughter.
59	OTHER—The situation you encounter does not fit into any of the categories above. Describe the situation in the Comments, and discuss with your FS how to handle the case. Example: You revisit the SDU two weeks after screening and discover that the selected respondent has moved across the country. You have not discussed the situation with your supervisor.

FINAL INTERVIEW CODES

70	INTERVIEW COMPLETE—The respondent has completed the interview. Example: You complete an interview with a respondent.
71	NO ONE AT HOME AFTER REPEATED VISITS—Your repeated attempts at different times of the day and days of the week fail, and your FS agrees. With persistence, this code should be used rarely. You must have gone back to the HH at least four times, and no one was ever home. Examples: It is the last day of the quarter. You revisit an SDU where you completed screening two weeks prior. Since completing screening, you have not been able to find anyone at home. Your supervisor has given you permission to give the case a final code.
72	RESPONDENT UNAVAILABLE—There may be situations in which the respondent is out of the country or institutionalized (hospital, in jail, etc.) and will not be returning before the end of the data collection quarter. You also may not be able to contact the selected respondent. If a respondent moves and cannot be contacted at the new address, use code 79 to allow managers to track those special cases. After you have investigated the situation fully, discuss it with your FS who must approve your use of this code. With diligence, this code also will be used rarely. Examples: The person was a member of the HH at the time of the screening, but was incarcerated and will not be returning home before the end of the field period. You went back to the HH at least four times and even though others were home, the respondent was never home. It is the last day of the quarter. You have visited an SDU many times since screening, have spoken to residents of the SDU other than the selected respondent, have attempted to get an appointment for an interview with the selected respondent, but have never found the selected respondent at home. Your supervisor has given you permission to give the case a final code.
73	BREAK OFF (PARTIAL INTERVIEW)—All attempts to complete the interview have been unsuccessful, and your FS approves. Example: There are two days left in the quarter. You began the interview three weeks ago. You have attempted to complete the interview several times but have never been able to find the selected respondent at home. Your supervisor gives you permission to give the case a final code.
74	PHYSICALLY/MENTALLY INCOMPETENT—The respondent is physically or mentally unable to respond meaningfully to the interview questions. Your FS will approve the use of this code. Example: The selected respondent has severe Alzheimer's Disease. The respondent does not seem capable of completing the interview. You discuss the situation with your FS, and he/she gives you permission to give the case a final code.
75	LANGUAGE BARRIER (SPANISH)—The case cannot be completed because of a Spanish language barrier, and no bilingual interviewer is available to complete the case. Example: It is the last week of the quarter. During screening at an SDU four weeks ago, you discovered the selected respondent speaks only Spanish. Even though you reported it right away, your supervisor has not been able to get a bilingual FI for the case and has given you permission to give the case a final code.
76	LANGUAGE BARRIER (OTHER)—An interview cannot be completed due to a language barrier other than Spanish. We do not certify interviewers to conduct the interview in any other languages. Be sure to specify the language. Example: The respondent speaks only Chinese. Your supervisor gives you permission to give the case a final code.
77	FINAL REFUSAL BY RESPONDENT—All attempts to convert an adult or youth refusal are unsuccessful, and your FS approves. Be sure you indicate the reason for the refusal in the Newton. Example: Two months ago following screening, the selected respondent refused to complete the interview. You revisited the SDU and the respondent still refused to complete the interview. Your supervisor gives you permission to give the case a final code.
78	PARENTAL REFUSAL FOR 12-17 YEAR OLD—All attempts to persuade the parent or guardian to allow you to interview the youth have been unsuccessful, and your FS approves. Note that this code is ONLY for parental refusals for 12-17 year olds. If a parent refuses for an 18 year old, it is a gatekeeper situation similar to a husband refusing for a wife, and the correct code is a 77. Example: It is the last week of the quarter. One month ago another FI in your area screened an SDU in which one interview respondent was chosen. Despite several attempts, the first FI was unable to convince either parent of the 12-year-old to allow the youth to complete the interview. Your supervisor transfers the case to you. You also fail to gain permission from either parent for the youth to do the interview. Your supervisor gives you permission to give the case a final code.
79	OTHER—This code should be used only for cases that do not fit any of the other categories. Be sure to fully describe the situation in the Comments on the Record of Calls and talk with your FS for approval to assign this code. Situations where a code 79 applies include: Examples: youth respondent only 11 years old; respondent on active duty in the military; denied access; college student rostered in error; and respondent moved and no forwarding address could be found.
	Carefully consider if another result code applies (e.g. Code 71 – No One at Home After Repeated Visits or Code 72 – Respondent Unavailable), since each case with a code 79 must be reviewed by RTI staff. Example: The selected respondent is not at home at the time of screening. When you revisit the SDU you are told that the selected respondent does not actually live at the SDU but only visits occasionally. You discuss the situation with your FS, and he/she gives you permission to give the case a final code.

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01	NO ONE AT DU—no one is at the unit at the time of your visit. Examples: You visit an SDU, and no one is at home. You knock on the door of an SDU, and no one answers the door. You decide to leave and go to another SDU. You visit an SDU, and find no one home. A neighbor boy tells you that no one lives in the SDU. You have not discussed this SDU with your supervisor or confirmed it with an adult.
02	SCREENING RESPONDENT UNAVAILABLE—Someone is at the unit; but that person is not an eligible or knowledgeable screening respondent (young child, babysitter, housekeeper, etc.). The SR must be an adult (18+) resident of the SDU. Examples: You visit an SDU to do a screening. The only person home is a 16-year-old resident. You visit an SDU for the second time. When you knock on the door, a woman answers but indicates she is the babysitter. Be sure to ask when would be a good time to return to speak with an adult resident, and record that information in the Newton ROC notes. You visit an SDU and no one answers your knock. You hear voices inside.
03	NEIGHBOR INDICATES OCCUPANCY—An adult neighbor (or other informant) indicates that the unit is occupied. Example: You visit an SDU for the first time, and no one answers the door. Before you enter an 01, you see an adult neighbor and ask if someone lives at this address. The neighbor confirms and you code it an 03. Remember to ask the neighbor for a good time to return.
04	PHYSICALLY/MENTALLY INCOMPETENT—No one at the unit is physically or mentally able to respond meaningfully to the screening questions. Examples: You visit an SDU and discover that the only resident of the SDU cannot understand any screening questions apparently due to mental incompetence. The person who answers the door reeks of alcohol and is obviously drunk.
05	LANGUAGE BARRIER (SPANISH) —The screening respondent speaks Spanish and does not speak English well enough to complete the screening. RTI-Certified bilingual FIs have the option of completing the screening in Spanish. Example: You have a respondent who speaks only Spanish. You try to ask if there is anyone else in the household that could answer the screening questions in English. No one in the household speaks English so you code it an 05, and your FS will send a bilingual FI to this address.
06	LANGUAGE BARRIER (OTHER)—The screening respondent speaks a language other than English or Spanish and does not speak English well enough to complete the screening. Example: The person greets you at the door of an SDU speaking in a language that you do not understand but that you know is not Spanish. You attempt to make conversation in English, but the resident does not understand what you are saying. There is no one else at home who speaks English.
07	REFUSAL TO SCREENING QUESTIONS—The screening respondent you are talking with refuses to allow you to proceed with the screening process. Examples: You visit a household and a man answers the door. You tell him who you are and why you are there. He says he is not interested. You try to convince him that this will only take a few minutes of his time. He tells you he is not interested and slams the door in your face. A woman cautiously answers the door, whispering to you that this isn't a good time. She keeps looking over her shoulder and seems anxious. She says you must go away.
08	UNABLE TO LOCATE SDU—You are unable to determine the exact location of the SDU. Example: You are out in the field and you cannot locate an address. You look at your maps and ask for directions, but still no luck. You code it an 08 and talk to your FS immediately.
09	OTHER—The situation you encounter does not fit into any of the above categories. Also use this if you are unsure how to code a situation and you temporarily code it an 09 until talking with your FS. Example: You discover that an SDU should not have been listed because it is outside of the segment boundaries. You have not discussed the SDU with your FS.