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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 concernssometimes before they have been raised.
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 BadgeEach 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.
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 BrochureThe 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 InformationWith 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:
At times you may locate articles in your local papers or on the Internet 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 5.4 Highlights from the 2001 Study


Exhibit 5.5 Who Uses the Data?
|
National Survey on Drug Use and Health WHO USES THE DATA? |
5.2.6 A Prepared and Professional Interviewer
The single most important tool for obtaining cooperation isYOU! 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:
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:
Be professional, but, also attempt to "fit in" to the neighborhood by dressing and 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.
Your screening introduction gives potential respondents 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 tollfree 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 notforprofit 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 drugshow 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. |
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:
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:
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





Record the result 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 followup 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 professionallyand not personallyhelps 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 next graph illustrates our interview response rate experience for the 2001 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, 73% of all eligible respondents actually completed the survey.
2001 NHSDA Response Rates by Age and Gender
(unweighted percentages)

Please note that these 2001 data do not include the use of the $30 cash incentive payment which began in January, 2002. When preparing this manual late in the year, the 2002 rates available showed considerable increases in interviewing response rates. For Quarter 1 of 2002, the unweighted interview response rate was 86% while the Quarter 2 rate was 85%. These rates are better indicators of the interview response rates expected for 2003.
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:
For tips on dealing with controlled access situations, refer back to Section 4.3.2.
If a neighborhood is experiencing a series of household breakins 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.
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 offduty 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. (Authorized project observers are the exception.)
When working in what you feel is a highrisk area, you should always discuss the situation with your FS. Following are some general safety tips on working safely and smartly.
Area
Dress
Multiunit Buildings
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:
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 HomeThe 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 a specific place in your home where you can keep all your NSDUH materials. This place needs to be away from common traffic areas and away from curious little ones, whether children or pets.
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. Probably the biggest safety issue when working from home is how to safely move heavy supplies. Points to consider when moving NSDUH (or any other) items in your home are listed below in Exhibit 5.8.
Exhibit 5.8 Moving Supplies Safely
Before lifting:
When you lift:
Reverse the steps to set down the 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 Purposes 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 you are in your "automobile office," you need to constantly think of driving 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 rightofway. 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. Traveling interviewers using a rental car must also notify the rental car agency.
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
Help avoid collisions through proper vehicle maintenance. That means having 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.
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 antilock braking systems (ABS) may help you stop without swerving in a skid stop, but they will not help you stop in a shorter distance.
Follow the TwoSecond 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:
If you can't see a truck driver in the truck's side mirror, then that driver can't see you or your caryou're in the vehicle's blind spot and should pull out of it as soon as it is possible and safe.
Headon collisions are the most violent type of auto accident. Practice the 4 Rs:
A driver who's coming headon toward you in your lane may "wakeup" 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:
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 itnot 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 redbut only when conditions are suitable and:
Exhibit 5.12 Procedures after an Automobile Accident
Consider for a moment how you walk, and how you can walk more safely:
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 yearround 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, galeforce winds, or blistering heat. Let common sense be your guidedress 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.
Exhibit 5.13 Working Safely in the Heat
Advance planning and preparation:
While working:
Pay attention to your body's signals:
If you show any of the following signs of heat illness:
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.
5.10.3 On a Respondent's Property
The final working environment for an FI doing a field survey is on a respondent's propertyeither 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 fourlegged 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 respondentsunfortunately, 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 howor ifthat 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.
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 rereading a particular section.
SUMMARY
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?
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.
1 Reprinted with permission from the National Safety Council's Safety+Health magazine.
2 Allstate 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.
This page was last updated on May 16, 2008 . |
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