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Being well prepared before making initial contact with the residents of a dwelling unit is important. You must know the purpose of the survey and be familiar with the screening and interviewing procedures as well as all study materials. You must also be organized, meaning that you must be sure you have all of the materials and supplies needed to screen and conduct NSDUH interviews. This chapter and Chapter 5 contain detailed explanations of how to contact a DU and obtain cooperation. Chapter 6 provides details on the screening process, which determines who, if anyone, to interview. It is important to resolve any questions you have about survey procedures before contacting the first dwelling unit.
One of your most important responsibilities is planning your fieldwork carefully to maximize the effectiveness of your time in the field. Below are general rules to apply when planning your work:
The timing and planning of your field trips is very important.
Your FS makes assignments based generally on the location of the segment area in relation to your home. Whole segments are usually assigned, although sometimes they may be split. You will receive your initial assignment once you have successfully completed the training program. Your FS will make additional assignments as you complete your assigned work. As discussed in Chapter 3, you will receive the appropriate segment materials for each of your segments.
Each individual DU assigned to you—whether it is an HU or a GQU—will appear on the Select Case screen of your Newton and on the computer–generated Selected DU List (see Exhibit 3.6). Both the Select Case screen and the Selected DU List have the information necessary to help you identify and find the unit. Record all data collected during the screening process on your Newton. There are also ample note spaces within the Newton program. However, if you wish, you may make notes to yourself on the segment materials.
4.3.1 Case Identification InformationThe first column on the left of the Newton's Select Case screen, labeled Case_ID, shows the RTI case identification number and is referred to as the "Case ID number."
The Case ID numbers themselves provide you with important information. For example, the Case ID number TX23020119 tells you the following:
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State Abbreviation—in this case, Texas |
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Segment ID number |
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DU indicator (always a zero (0) for HUs, or any letter A–Z for GQUs) |
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SDU line number from the List of DUs for the segment |
This information is also listed on the Selected DU List. The first six spaces are listed as the Segment ID on the top left of the form. The last four spaces of the Case ID are listed under the "DU Indicator and Line #" column. For example, refer to the Selected DU List shown in Exhibit 3.6. The first selected HU listed is in segment NY1234 and is line number 001. The Case ID for this HU is NY12340001.
The actual street address, or a physical description of the HU or GQU and its general location, also appear on both the Select Case screen and the Selected DU List. If you have difficulty locating one of your assigned DUs, refer back to Chapter 3.
4.3.2 Controlled Access SituationsThere may also be assigned DUs in an apartment building, group of buildings, or entire community which you can locate but cannot readily access. This may be for many reasons, such as:
Each of these circumstances can present a unique set of problems when you attempt to contact SDUs. In your review of your assignment materials, make note of any possible access situations. Usually, the person preparing the listing has already experienced—and resolved—the access problem.
While challenging, few of these locations are impossible to enter. Interviewers have been successful by carefully observing the situation, contacting the proper personnel and then providing a thorough explanation of the study. Some tips that may help in gaining access include:
Also explain that selected respondents who complete the interview are given a cash payment. Most guards will not want to deny residents the chance to earn some extra money! However, do not reveal the actual amount of the incentive—in some neighborhoods, $30 may not be a significant amount.
Each situation is unique. You should diligently explore every avenue possible, remaining open to methods or approaches that may vary considerably based on location. In most cases, you should gather all relevant facts possible and complete the FI Segment Access Documentation Form (Exhibit 4.2). Prepared with the details, call your FS to discuss a plan of action. As mentioned, a letter may help. Your FS has a copy of RTI's "Guide to Controlled Access Situations" plus information from RTI's Website about controlled access situations identified during other phases of the study. Your FS can access these resources to locate additional ideas about how to gain access to problem areas.
Exhibit 4.1 Controlled Access Video Script
This message comes to you from Research Triangle Institute in North Carolina. RTI is a not–for–profit research organization affiliated with the University of North Carolina, Duke University, and North Carolina State University. One type of research we do here, survey research, involves talking to people all over the country. Sometimes we ask for their opinions, and sometimes we ask for very detailed information. For this study, participants are able to receive 30 dollars for completing the survey.
Right now, RTI is collecting information for the United States Public Health Service through their annual National Survey on Drug Use and Health. The purpose of this study is to provide Government administrators and policy makers, and the public, with statistics on a variety of health related issues, including the use of tobacco, alcohol, and non–medical use of a variety of drugs, as well as access to health insurance and issues related to mental health.
What we call the "sampling process" is extremely critical in a scientific survey like this one. The survey results are meant to reflect the entire American population which obviously includes many individuals who don't use drugs, alcohol, or tobacco at all. To do this, a computer randomly selects smaller and smaller geographical areas, until ultimately, a household address—not a name—is selected, and the people we interview collectively represent the entire population of the United States.
It happens, as it should, that some of these addresses are located in residences where we just can't walk up to the door, such as secure buildings, gated neighborhoods, and dormitories. In fact, some of your residences are among these selected addresses. We are very aware that you are responsible for the security and privacy of your residents, and we know that you don't take that responsibility lightly.
I'm speaking to you today to ask you for your help. Most of our selected households are already aware that someone from RTI is coming to see them. We've sent them a letter, explaining that one of our professional interviewers will be in the neighborhood to provide additional information. This letter mentioned that they may have the opportunity to earn a cash payment for their participation. Please understand that we have nothing to sell, nor are we soliciting donations. We also want to make it clear that participation is voluntary. But, the decision to participate or not is really up to the selected residents, which is why we need access to some of the residential units.
Remember, we are not knocking on every door—we will only be visiting those selected addresses to which we have already sent a letter.
The RTI interviewer will have an identification badge that is prominently displayed. With your permission, he or she will contact only those households that were selected through our sampling process. You are welcome to provide information to our interviewer on addresses that are vacant or seasonal and will not need to be visited.
Every RTI interviewer has been trained especially for this national survey. After they introduce themselves, they explain the study and obtain permission to ask a few screening questions to find out if anyone at the address is eligible to participate. If someone is eligible, the interviewer will ask that person to take part in the full study. They'll spend between 45 minutes and an hour, at the participant's convenience, privately completing an interview on a laptop computer.
Our interviewers do not ask for, or record, a participant's full name. The information obtained remains confidential forever, protected by a number of safeguards.
At the end of this video, you'll see a listing of Website addresses where you can access additional information about this study. Our interviewer or one of our field supervisors will call on you again in the next few days.
In the meantime, please understand that the work we're doing here is very important, and that we're making an important request. We understand general policies regarding unwanted solicitation. However, residents at each selected address should have the opportunity to decide for themselves whether or not they choose to participate in this study. It is their own decision to make.
On behalf of the U.S. Public Health Service, and Research Triangle Institute, thank you for your time and assistance.
Exhibit 4.2 FI Segment Access Documentation Form
Each time you contact an assigned SDU to complete a screening, record the details about each contact in the Newton's Record of Calls (ROC). This includes any attempted or actual contact with either a resident or a neighbor or other person whom you ask for contact information. Record each contact or attempted contact separately by adding a call record. For example, if you visit the SDU once and find no one home, then visit again 2 hours later, you should fully document both contacts separately in the ROC. For each contact, the Newton automatically records the date, day of the week, and time of day. You will need to record the appropriate screening result code (result code definitions are discussed in the next section) and any comments about this contact for future use by you or another FI (see Section 4.4.2).
4.4.1 Screening Result CodesScreening result codes are assigned and reported during the process of screening SDUs. Some screening codes are "PENDING" codes (01–09) and indicate that a final resolution has not yet been obtained. Codes 10–32 are "FINAL" screening codes that show a screening effort is complete. The list of screening codes is shown on the following screen.
Result codes describe the current status of each case and are discussed routinely with your supervisor. Each time you transmit data from the Newton to RTI, the result codes are included with the actual screening data. These transmitted codes are then tabulated to produce reports that provide information on the progress of the fieldwork. In these reports on the project Website, your supervisor sees the result code assigned for each contact you made with a particular DU. Having this information available helps as you and your supervisor discuss the best approach to the case.
RTI staff and project management rely heavily on these progress reports. Decisions on how to properly manage the project are made based on these reports. It is very important that you understand when and why to use each code. It is also critical to keep the codes on your cases in the Newton up–to–date as you complete your work in the field.
PENDING SCREENING CODES
Pending codes are used when the case is not yet complete. Explanations of when to use a particular code, and what action to take to resolve the situation so that the case can be completed, are provided below:
| Result Code | Result Code Description | Use This Code When... | Follow Up Actions to Take |
| 01 | NO ONE AT DU | No one is at the unit. |
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| 02 | SCREENING RESPONDENT (SR) UNAVAILABLE | Someone is at the unit but that person is not an eligible or knowledgeable screening respondent (young child, babysitter, housekeeper, etc.). The screening respondent MUST be an adult resident of the SDU. |
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| 03 | NEIGHBOR INDICATES OCCUPANCY | A neighbor (or other informant) indicates the unit is occupied. |
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| 04 | PHYSICALLY/MENTALLY INCOMPETENT | No one at the unit is physically or mentally able to respond meaningfully to the screening questions. |
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| 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 screenings in Spanish (see Chapter 6). |
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| 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. |
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| 07 | REFUSAL TO SCREENING QUESTIONS | The screening respondent you are talking with refuses to allow you to proceed with the screening process. |
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| 08 | UNABLE TO LCOATE SDU | You are unable to determine the exact location of the SDU. |
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| 09 | OTHER | The situation you encounter does not fit into any of the above categories. |
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Final screening codes indicate the case is finished. This means either screening information was obtained OR the SDU is ineligible for the study (e.g., vacant) OR you were unable to obtain the screening information. Be sure you have completed all suggested relevant steps described in the pending codes section and have consulted your FS on any additional possible steps before requesting permission to finalize a case where you could not obtain screening information. If all attempts fail, your FS must agree that the case is complete before giving you approval to assign the final code. The list below describes the final codes:
A complete list of both screening and interviewing result codes is included in Appendix B. For your reference, examples are provided.
| SDUs That Are Ineligible for the Study | ||
| Result Code | Result Code Description | Use This Code in This Situation |
| 10 | VACANT | Assign this code only after verifying with an adult neighbor, landlord, or real estate agent that the unit is vacant. The Newton prompts you to complete the verification information. |
| 13 | NOT A PRIMARY RESIDENCE | Assign this code after verifying with the current or temporary residents, an adult neighbor, the landlord, or real estate agent that the unit is not used as a primary residence (that is, it is only a weekend or vacation home). To qualify as a primary residence, the residents must spend the majority of their time living at the DU. The Newton prompts you to obtain verification information.
Note: If residents are not there for ½ or more of the quarter, see code 26. |
| 18 | NOT A DWELLING UNIT | Assign this code after verifying with an adult neighbor, landlord, or real estate agent that the unit does not meet our definition of a dwelling unit (see Section 3.4). Possible examples are units that have been demolished or merged with another unit, a unit used by a church or nonprofit organization as a meeting facility, or a unit used only for business or storage. Enter the verification information when prompted by the Newton. |
| 19 | GQU LISTED AS HU | If the GQU was listed incorrectly as an HU, use this code. Check with your FS for further instructions. |
| 20 | HU LISTED AS GQU | If an HU was listed incorrectly as a GQU, use this code. Check with your FS for further instructions. |
| 22 | DU CONTAINS ONLY MILITARY PERSONNEL | The Newton will automatically assign this code if during screening all DU members are found to be military personnel on active duty. Persons on active duty in the military are not eligible for NSDUH. Be sure to enter the verification information in the Newton as prompted. |
| 25 | NO ELIGIBLE SDU MEMBERS | When all DU members listed on the screening roster are changed to ineligible status, the Newton will automatically assign this code at the end of the screening. It is not available for you to assign in the Newton ROC section. Enter the verification information in the Newton. |
| 26 | WILL RESIDE / HAS RESIDED IN DU LESS THAN ½ OF THE QUARTER | This code is automatically assigned by the Newton when no one in the DU will live there (or has lived there) for most of the time during the three months of the quarter. Enter verification information in the Newton. |
| 29 | LISTING ERROR | If you encounter an SDU that should not have been listed during the Counting Listing phase, check with your FS who may check with RTI's Sampling Department, if needed. Possible situations include:
Assign this code once your FS has approved. Document the situation in the ROC comments sections. |
| Screening Not Obtained | ||
| Result Code | Result Code Description | Use This Code in This Situation |
| 11 | NO ONE AT DU AFTER REPEATED VISITS | If repeated visits at different times of the day and days of the week have failed, use this code once your FS has given approval. |
| 12 | SCRENING RESPONDENT (SR) UNAVAILABLE AFTER REPEATED VISITS | If repeated visits at different times of the day and days of the week have failed, use this code once your FS has given approval. |
| 14 | PHYSICALLY / MENTALLY INCOMPETENT | We expect this code to be used rarely. However, if no one at the unit is able to respond meaningfully to the screening questions, use this code once your FS has given approval. |
| 15 | LANGUAGE BARRIER – SPANISH | Again, this code should rarely be used. If there isn't a translator, use this code once your FS has given approval. |
| 16 | LANGUAGE BARRIER – OTHER | This code should rarely be used. If there isn't a translator, use this code once your FS has given approval. |
| 17 | REFUSAL | If all attempts to convert the refusal have been unsuccessful and your FS gives approval, use this code. The Newton will then prompt you to enter a refusal reason. Be sure you have made accurate notes about the situation. |
| 21 | DENIED ACCESS TO BUILDING / COMPLEX | If after many attempts you are UNEQUIVOCALLY denied access, use this code once your FS has given approval. |
| 23 | OTHER | Use this code for all cases that do not fit any of the above categories. Be sure you have fully described the situation to your FS, and he/she has given approval to use this code. Be sure to document the circumstances. |
| Screening Completed | ||
| Result Code | Result Code Description | Use This Code in This Situation |
| 30 | NO ONE SELECTED FOR INTERVIEW | The Newton automatically assigns this code at the end of the screening when a resident of the dwelling unit has provided the screening information, but no one listed on the roster was selected for the interview. Enter the verification information when prompted. |
| 31 | ONE SELECTED FOR INTERVIEW | The Newton automatically assigns this code at the end of the screening when one DU member is selected to be interviewed. Next you add another call record and enter the interview result code for the interviewing case. These codes are discussed in Section 7.3.2. |
| 32 | TWO SELECTED FOR INTERVIEW | The Newton automatically assigns this code at the end of the screening when two DU members are selected to be interviewed. Next, add another call record for each interview and enter the appropriate interview result code for each case. |
The comments area of the ROC allows you space to comment upon the situation. Comments should be:
The Newton speed is directly related to the number of ROC events, Refusal Records, etc. Be complete, but only enter what is necessary.
Examples of good ROCs:
When entering ROCs, only include relevant information. For example, there is no need to enter "No one home" for a code 01—the result code already provides that information. Also, keep your comments appropriate and non–judgmental.
Exhibit 4.3 ROC Abbreviations
| PROJECT ABBREVIATIONS | |
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respondent (for the interview) |
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screening respondent |
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field interviewer |
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Q&A brochure |
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dwelling unit |
| STANDARD ABBREVIATIONS | |
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(with 3 letters) |
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female |
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male |
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black |
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white |
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Hispanic |
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Spanish |
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information |
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refused |
| SUGGESTED HELPFUL ABBREVIATIONS | |
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call back (or come back) |
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appointment |
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morning |
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afternoon |
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evening |
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neighbor |
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gatekeeper |
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weekend |
Prior to the start of each calendar quarter of data collection, RTI automatically generates an introductory lead letter for each SDU with a good or complete mailing address in an assigned segment. A copy of the lead letter is in Exhibit 4.4. These letters, along with pre–stamped, window envelopes, the Selected DU List, and your packet of segment materials, are sent to you once your FS makes the assignment.
The SDUs in each segment are grouped into partitions, and may not all be assigned at one time. As explained earlier, the last column on the Selected DU List indicates to which partition each SDU belongs. Only prepare and mail letters for the cases assigned by your FS. When talking with your FS, he or she will tell you exactly which partition(s) are assigned to you at the start of the quarter. For example, if only the Partition 1 cases are available, only send letters to the SDUs with a 1 in the last column.
Keep all remaining letters. Your FS may assign you Partition 2 and possibly cases from any other remaining partitions later in the quarter. No new letters will be generated.
Once the correct letters have been pulled from the pile, check all the addresses carefully for any that do not have mailable addresses (e.g., check for those listed with just a description). Do not send letters to these SDUs as they cannot be delivered. When you visit an SDU that did not have a mailable address, be prepared to give an extra lead letter to the residents.
About one week prior to working an area, write the date on the line at the top and write your name on the letters to personalize them. Then place one in each of the pre–stamped envelopes so that the pre–printed address shows throughout the window, seal, and simply drop them in the mail. Mailing the letters close to the time you will be in the area means residents will be more likely to remember receiving the letter.
Each interviewer will develop an individual approach to organizing the materials needed for this complex project. A listing of all materials provided is included in Chapter 12. Before leaving on a trip to the field, be sure you have all the materials and supplies you will need for both the screening tasks as well as any interviews you will conduct with selected respondents. Also before you leave, check the date and time on your Newton by looking at the bottom of the Select Case screen. If the date/time is incorrect, transmit to RTI so that it can be corrected. (Transmission instructions are provided in Chapter 6 of the FI Computer Manual.)
Exhibit 4.4 Lead Letter
The confidence you display as a result of your careful preparation will increase your chances of obtaining participation. As mentioned earlier, you will mail a lead letter to each assigned SDU with a known acceptable mailing address. You will be given an additional supply of letters to hand out at your initial contact if the resident requests one or did not receive one due to mailing difficulties. You should approach the door confidently, with a positive attitude. Be sure your RTI identification badge is prominently displayed, and be aware of your surroundings as you approach the unit. Be sure to check—and double check—that you are at the address selected and displayed at the top of the Newton screen.
Your introduction at the door should be brief and clear, using language that is easily understood so that the respondent gets a general idea of what to expect from the study. The introductory screen on the Newton is shown below. While you do not have to read this exact text, you must convey the same 4 points in your introduction. NOTE: This is the ONLY Newton screen on which you can improvise, so that it does not have to be read verbatim. The introduction points to cover include:
Know what you are going to say so that you can maintain eye contact. If the respondent did not receive the letter, provide a copy, allowing time for reading. Be prepared to summarize the contents of the lead letter in your own words.
You will then need to determine if an eligible screening respondent is available and if the address you have in the Newton is correct.
For this study, an eligible screening respondent (SR) is:
Keep in mind three rules for the NSDUH:
Information from a resident under the age of 18 is acceptable only in the case of emancipated minors (someone under 18 living independent from parents or caregivers) or when a young person is serving as the translator for an adult SR who does not speak English.
All data are to be collected in–person, not over the telephone. Interviewers found to be conducting unauthorized telephone screenings in the past have been terminated. No telephone screenings are ever allowed without prior approval. This approval process requires permission from your FS, RS, RD, and even from the National Field Director. It is the expectation of project management that in these very rare and unusual circumstances, that the FS will conduct these screenings.
All responses to the screening questions must come from an adult resident of the household. Do not query neighbors for household composition, or record answers based on your observations of household members.
If an eligible screening respondent is not available, consider leaving a "Sorry I Missed You" card indicating that you will return. Before you start working, discuss with your FS the practice of leaving these cards in the area where you will be working. DO NOT leave your telephone number on this card or on any other materials left at the homes of potential respondents. This rule exists for your personal security.
Once you are speaking with an eligible screening respondent, verify with the SR that you are at the correct unit and have the address recorded accurately in the Newton.
Next, give the respondent a copy of the Study Description to read and to keep. When ready, read aloud from the text on the Newton Informed Consent screen, shown below. Consider memorizing this important script in order to present this important information accurately while maintaining eye contact with the respondent.
The Study Description, as shown in Exhibit 4.5, indicates that:
By law, each participant in the NSDUH must first be informed of the individual's rights and then agree to participate based upon that knowledge. By reading the introductory text shown and providing the Study Description as instructed, you give the respondent the information to make an informed decision about participation. Another important component of respondents' right to informed consent is an explanation of any potential risks or benefits associated with participation. Since RTI began contacting households for this survey, the field staff have conducted over one million screenings and over 500,000 interviews—all completed with no reported incidents involving a breach in confidentiality or any problems as a result of respondents' participation in the survey. Based on this information, RTI's Office of Research Protection determined that participation in this study does not pose any known risk to its participants.
The goal of these introductory screens is to give the resident enough information to gain his or her confidence so that you can continue with the screening process. The Newton screens are worded carefully to provide the necessary information to the resident in a concise, direct manner.
You are responsible for following these procedures which include covering the information on the Identify SR screen and reading the Informed Consent screen as shown. Doing so will ensure all residents are fully informed of their rights before they participate and that contact with each SDU is standardized.
Exhibit 4.5 Study Description
Contacting Dwelling Unit Residents
To assist your learning process, read the following summary of key points in this chapter. Following the summary are several questions to ask yourself. These questions will help you identify those areas you understand, and pinpoint the areas where you would benefit from re–reading a particular section.
SUMMARY
| The DU: | is located in FI region 42 in Ohio. is an HU listed at line number 184 in segment 10. |
| The DU: | is located in FI region 04 in Georgia. is an HU listed at line number 072 in segment 12. |
You approach a house and all of its residents speak only Polish.
At an apartment, the only adult at home is the babysitter.
You drive to a house that looks like no one is home—there are no cars in the driveway; you knock on the door and there is no answer.
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This page was last updated on May 16, 2008.
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