2. Assessment Framework
3. Permission to Use TCU Forms
4. List of Short Forms
4.1 Client Health and Social Risk
4.2 Client Drug Use and Crime Risk
4.3 Client Functioning and Treatment Engagement (CEST)
4.4 Organizational (Staff) Assessments
4.5 Staff Training and Workshop Evaluations
5. Bulk Forms and Scanner Systems
[Jan. 30, 2011] Alert: This page is revised to offer important new content, including new assessments and scoring guides. Please read carefully both the Introduction and Assessment Framework sections about rationale and procedures before using the assessments offered on this page.
We have seen growing needs in recent years for more targeted assessments that allow automated data capture or online techniques for efficient clinical applications of tools to measure client needs and functioning. Without this type of information being available in a timely and user-friendly form, frontline clinicians are not optimally positioned to plan and deliver services that meet “evidence-based” criteria. Several optical reader or online internet applications for TCU assessment forms have been considered but many require technical and financial resources beyond the practical reach of our treatment-provider collaborators. Security-related restrictions (such as using offender internet-based assessments in correctional settings) also present unique challenges.
Practical requirements for these technical applications call for (1) flexible options in choosing a set of efficient and effective forms that meet practical clinical needs, (2) affordable equipment for reading and scoring data, (3) low cost and easy access to obtaining forms, and (4) on-site provision of rapid and user-friendly feedback for making time-sensitive clinical applications. A history of educational and business applications using a wide range of equipment and information software offer potential solutions. By adding customized Microsoft Excel©-based scoring and feedback templates, we have developed a feasible and low-cost “turn-key” system that meets these requirements.
Single-page client assessments appear to be optimal for these applications, so selected TCU Forms have been reformatted and new ones developed. These “TCU Short Forms” are described below, along with scoring and software user manuals. Like the larger inventory of other TCU Forms available from our Website, these also can be downloaded and used without cost in non-profit applications for direct administration and hand scoring (see Permissions for use).
To expedite the use of these forms, an optical scanning hardware and software system can be purchased and low-cost bulk purchase options are available for administration copies of the forms. (Note: No financial interests or rewards accrue to TCU/IBR in relation to purchases of recommended scanning equipment or from bulk sales of TCU Forms.).
Figure 1. The TCU Client Assessments and Treatment Process for Client Recovery Conceptual Framework
Figure 1 illustrates relationships of the TCU Client Assessments to stage-based Treatment Process Stages for Client Recovery and to TCU Treatment Interventions. It indicates some of the TCU Short Forms are intended primarily for pre-treatment (Intake stage) assessments of problem areas, need severity, and motivation for making changes. Others focus on during-treatment functioning and therapeutic engagement process (for Process and Progress stages) to help gauge needs and effectiveness of specific interventions. Because progress towards client recovery (Re-Entry stage) involves both cognitive and behavioral changes, some forms can be re-administered over time throughout treatment as well as after release of clients for community re-entry.
Program goals and client care strategies should dictate testing and re-testing protocols, with psychological, cognitive, and social functioning measures typically included in addition to behavioral indicators of substance use disorders (SUD). Ideally, the particular set of goals and clinical phases developed for treatment programs serve as the basis for selecting and scheduling assessments. While some programs rely on comprehensive client intake interviews, others choose to “customize” their assessments by selecting instruments and scales that meet particular service delivery and reporting needs. The principle of “get what you will use and use what you get” should prevail in either case.
Based on evidence for therapeutic process dynamics (Simpson, 2004) and measurement specificity (Joe, Simpson, Greener, & Rowan-Szal, 2004), TCU Short Forms are available below for measuring four core domains: Client Health and Social Risk, Client Drug Use and Crime Risk, Client Evaluation of Self and Treatment, and Client Recovery Indicators. The scales they contain have been extracted and reconfigured from earlier versions of TCU assessments. A few that were found in previous research to have marginal applications have been eliminated, and replacement items have been added to some forms (e.g., a Social Desirability response scale). Several new client-level forms also have been developed in response to the needs of our field collaborators and on-going research projects. In some cases, they represent abbreviations or subsections adapted from previously studied TCU assessments or work of other clinical researchers.
The result is a streamlined, focused, and flexible series of “short forms,” enhanced with an automated scoring and feedback protocol for making normative clinical interpretations of results. Evidence on the psychometric properties of these “modified” assessment formats indicates they are scientifically sound and consistent with earlier “original” aggregated versions of the forms (see Knight, Simpson, & Flynn, 2011). Each form carries footnoted citations to its main publication source. (For technical questions or assistance concerning these forms, contact IBR Help.)
It is recommended that potential users of the TCU Short Forms begin with a review of the assessment framework illustrated above. First, clinical leaders for a treatment program should enumerate core elements of the intervention curriculum in relation to conceptual stages of treatment process for client recovery. Next, client assessments should be listed in relation to treatment stages and interventions used. This list should include assessments currently administered, how/when they are conducted, and what else may be needed but not being obtained for effective “care planning.” Finally, assessment scheduling should be considered to determine optimal timing and information feedback methods for use by clinical staff (as well as other interested parties, such as drug court officers or probation officers) in regard to client needs, response to services, and indicators of progress over time.
In addition to the four domains of client-focused assessments, Organizational (Staff) Assessments are available for examining program needs, attributes, and functioning as viewed from the staff perspective. Forms for Staff Training and Workshop Evaluations also are available for monitoring innovation implementation programs. (See IBR studies and evidence on Organizational Readiness for more details on effective dissemination and implementation of innovations.)
The Institute of Behavioral Research at Texas Christian University is pleased to make available, without charge, a wide array of data collection instruments developed for drug abuse treatment and outcome assessments. Collectively, they are referred to as the “TCU Forms.”
Optional formats are available for these assessments in order to serve users with different levels of optical scanning and automated or manual scoring technology. The forms themselves are available in simple textual format as well as in a single page scanning version (labeled as Automated Data Capture—ADC —format). The simplest alternative for their use is to download PDF versions from the links below, print copies of the forms of interest, and use them for direct administration and scoring by hand (as specified in the scoring guides). This is the most reasonable “first step” for new users who want to become better acquainted with applications and explore potential benefits of these assessments.
Sets of TCU Short Forms available:
4.1 Client Health and Social Risk
4.2 Client Drug Use and Crime Risk
4.3 Client Functioning and Treatment Engagement (CEST)
4.4 Client Follow-up Recovery Indicators
4.5 Organizational (Staff) Assessments
4.6 Staff Training and Workshop Evaluations
This subset of forms has roots in treatment preadmission assessments such as the TCU Intake (see Joe, Simpson, Greener, & Rowan-Szal, 2004). They include parallel versions of "adult" and “youth” forms for collecting socio-demographic information along with risk indicators based on key social functioning (family, friends, education) information. Forms focused on physical/mental health functioning as well as a PTSD-based evaluation of trauma symptoms and infectious disease risks (HIV and hepatitis) round out this subgroup of background assessments. (Note that limitations apply to the extent that pretreatment reference periods—or pre-incarceration periods for correctional system inmates—may in some cases be poorly defined or temporally remote).
Global Risk Assessment (TCU RSKForm) documents age, gender, race/ethnicity, education, employment, family involvement, living arrangements, and a broad checklist of background problems.
Adult version (TCU A-RSKForm)
[Adult ID & Background Risks]
TCU A-RSKForm Short Form (PDF; 26KB / 2 pages)
TCU A-RSKForm Short ADC Form (PDF; 25KB / 1 page)
Scoring Guide for TCU A-RSKForm (Coming soon)
Youth version (TCU Y-RSKForm)
[Youth ID & Background Risks]
TCU Y-RSKForm Short Form (PDF; 28KB / 2 pages)
TCU Y-RSKForm Short ADC Form (PDF; 29KB / 1 page)
Scoring Guide for TCU Y-RSKForm (Coming soon)
Family and Friends Assessment (TCU FMFRForm) addresses conflict, warmth, and conflict in family relationships, and with respect to friends (or peers), focus on types of mutual activities and levels of involvement.
Adult version (TCU A-FMFRForm)
[Adult Family & Friends]
TCU A-FMFRForm Short Form (PDF; 26KB / 2 pages)
TCU A-FMFRForm Short ADC Form (PDF; 21KB / 1 page)
Scoring Guide for TCU A-FMFRForm
(PDF; 24KB / 2 pages)
Spanish version--A-FMFRForm Short ADC Form
Youth version (TCU Y-FMFRForm)
[Youth Family & Friends]
a revision of the “TCU Family, Friends, and Self Form” for youth (see Simpson & McBride, 1992)
TCU Y-FMFRForm Short Form (PDF; 29KB / 3 pages)
TCU Y-FMFRForm Short ADC Form (PDF; 23KB / 1 page)
Scoring Guide for TCU Y-FMFRForm
(PDF; 36KB / 2 pages)
Spanish version--Y-FMFRForm Short ADC Form
Physical and Mental Health Status Screen (TCU HLTHForm) contains 11 items about types of physical disease or health problems experienced in the past year, and 10 items on symptoms of psychological distress during the past 30 days (based on K10; see Kessler, Barker, Colpe, et al., 2003, Archives of General Psychiatry).
TCU HLTHForm Short Form (PDF; 24KB / 1 page)
TCU HLTHForm Short ADC Form (PDF; 21KB / 1 page)
Scoring Guide for TCU HLTHForm
(PDF; 22KB / 1 page)
Spanish version--HLTHForm Short ADC Form
Mental Trauma and PTSD Screen (TCU TRMAForm) contains 17 symptom-severity items representing post-traumatic stress disorder (based on PTSD civilian version, Weathers, Litz, Herman et al., Oct 1993).
TCU TRMAForm Short Form (PDF; 24KB / 2 pages)
TCU TRMAForm Short ADC Form (PDF; 20KB / 1 page)
Scoring Guide for TCU TRMAForm
(PDF; 40KB / 2 pages)
Spanish version--TRMAForm Short ADC Form
HIV/Hepatitis Risk Assessment (TCU HVHPForm) contains 17 items focused on risks associated with injection drug use (including needles and cooking works) and sexual activities, as well as health concerns and related attitudes (see Simpson, Camacho, Vogtsberger et al., 1994).
TCU HVHPForm Short Form (PDF; 26KB / 2 pages)
TCU HVHPForm Short ADC Form (PDF; 22KB / 1 page)
Scoring Guide for TCU HVHPForm (Coming soon)
Spanish version--HVHPForm Short ADC Form
This subgroup of forms addresses preadmission drug use and criminal history as risk factors for treatment progress and outcomes. Each form has roots in the TCU Intake and related assessments (e.g., Joe, Simpson, Greener, & Rowan-Szal, 2004; Knight, Flynn, & Simpson, 2008; Simpson, Joe, Knight, Rowan-Szal, & Gray, 2011). Limitations apply, of course, to the extent that pretreatment reference periods (or pre-incarceration periods for correctional system inmates) are poorly defined or temporally remote. It should be emphasized that by changing the time frames for administering these forms, they also can serve as the basis of follow-up assessments.
TCU Drug Screen II (TCU DSII) is self-administered and serves to quickly identify individuals with a history of heavy drug use or dependency (based on the DSM and the NIMH Diagnostic Interview Schedule). It is particularly useful and widely used as a tool in criminal justice settings for identifying offenders eligible for treatment services (see Knight, Simpson, & Hiller, 2002).
TCU Drug Screen II Short Form (PDF; 29KB / 2 pages)
TCU Drug Screen II Short ADC Form (PDF; 22KB / 1 page)
Scoring Guide for TCU DSII
(PDF; 18KB / 1 page)
Spanish version--TCU DSII Short ADC Form
Criminal History Risk Assessment (TCU CRHSForm) contains 22 items focused on previous arrests, convictions, and incarcerations (see Hoffman & Beck, 1974, Journal of Criminal Justice; Joe, Simpson, Greener, & Rowan-Szal, 2004.
TCU CRHSForm Short Form (PDF; 27KB / 2 pages)
TCU CRHSForm Short ADC Form (PDF; 20KB / 1 page)
Scoring Guide and Information for TCU CRHSForm (Coming soon)
Spanish version--CRHSForm Short ADC Form
Criminal Thinking Scales (TCU CTSForm) include 36 items from 6 scales representing Entitlement, Justification, Power Orientation, Cold Heartedness, Criminal Rationalization, and Personal Irresponsibility (see Knight, Garner, Simpson, et al., 2006).
TCU CTSForm Short Form (PDF; 28KB / 3 pages)
TCU CTSForm Short ADC Form (PDF; 23KB / 1 page)
Scoring Guide for TCU CTSForm
(PDF; 25KB / 2 pages)
Spanish version--CTSForm Short ADC Form
The forms below comprise the “family” of 4 self-report assessments for monitoring client needs and progress. Collectively, these are known in previous research and related applications as the “CEST Form.” They include 1) treatment motivation, 2) psychological functioning, 3) social functioning, and 4) clinical engagement scales designed to be administered throughout treatment to help inform planning of services and gauge client changes over time. (See TCU Manuals, especially on using CEST assessments, for planning care and monitoring progress in relation to therapeutic interventions; also see Garner, Knight, Flynn, et al., 2007; Joe, Broome, Knight, & Simpson, 2002; and Simpson, Joe, Knight, Rowan-Szal, & Gray, 2011).
Treatment Needs and Motivation (TCU MOTForm) includes 36 items from 5 scales representing Problem Recognition, Desire for Help, Treatment Readiness, Treatment Needs Index, and Pressures for Treatment Index. It is used mainly for intake and early treatment phases.
TCU MOTForm Short Form (PDF; 28KB / 3 pages)
TCU MOTForm Short ADC Form (PDF; 23KB / 1 page)
Scoring Guide for TCU MOTForm
(PDF; 30KB / 2 pages)
Spanish version--MOTForm Short ADC Form (PDF; 19KB / 1 page)
Psychological Functioning (TCU PSYForm) includes 33 items from 5 scales representing Depression, Anxiety, Self-Esteem, Decision Making, and Expectancy.
TCU PSYForm Short Form (PDF; 25KB / 2 pages)
TCU PSYForm Short ADC Form (PDF; 22KB / 1 page)
Scoring Guide for TCU PSYForm
(PDF; 27KB / 2 pages)
Spanish version--PSYForm Short ADC Form
Social Functioning (TCU SOCForm) includes 36 items from 4 scales representing Hostility, Risk-Taking, Social Support, and Social Desirability.
TCU SOCForm Short Form (PDF; 28KB / 3 pages)
TCU SOCForm Short ADC Form (PDF; 23KB / 1 page)
Scoring Guide for TCU SOCForm
(PDF; 31KB / 2 pages)
Spanish version--SOCForm Short ADC Form
Treatment Engagement (TCU ENGForm) includes 36 items from 4 scales representing Treatment Participation, Treatment Satisfaction, Counseling Rapport, and Peer Support.
TCU ENGForm Short Form (PDF; 28KB / 3 pages)
TCU ENGForm Short ADC Form (PDF; 23KB / 1 page)
Scoring Guide for TCU ENGForm
(PDF; 24KB / 2 pages)
Spanish version--ENGForm Short ADC Form (PDF; 19KB / 1 page)
Organizational Readiness for Change (TCU ORC-D4) is self-administered by program staff. This version separates the original ORC Form into its four domains (i.e., “ORC-D4”) which can be administered collectively or individually, depending on assessment strategy. Compared to earlier versions (e.g., ORC-S), the ORC-D4 not only has been reorganized into four separate and sequentially-ordered assessment components, but some items have been edited in an effort to make it applicable to a wider array of organizational settings. In addition, three new scales were added (i.e., for addressing staff needs, satisfaction, and supervision).
Motivational factors include staff needs, program needs, training needs, and pressures for change; program resources are evaluated in regard to office facilities, staffing, training, equipment, Internet, and supervision; staff attributes focus on growth, efficacy, influence, adaptability, job satisfaction, and clinical orientation; and organizational climate measures clarity of mission, cohesion, autonomy, communication, stress, and openness to change. (25 minutes, or 7-8 minutes for each module).
TCU ORC-D4 Short Form (contains all four modules as Parts A, B, C, and D)
(PDF; 67KB / 11 pages)
Scoring Guide for TCU ORC-D4 (items are listed separately according to the four modules)
(PDF; 40KB / 5 pages)
Means and Norms for TCU ORC Interpretations
The Workshop Evaluation Forms (TCU WEVAL-D4) are administered as part of each innovation training workshop to measure participants’ reactions to the training and their intentions to try out the workshop materials. They address adoption and implementation issues (including barriers) known to be relevant to this process. Pre-training surveys that address program needs and organizational readiness for innovations also are included (based on selected ORC-D4 scales). Applications of these WEVAL forms are illustrated in a recent newsletter (Research Reports from IBR, Spring-Summer 2009: PDF; 350KB/4 pages).
The Workshop Assessment Follow-Up Survey (TCU WAFU-D4) is sent directly to each participant in the months following training. The WAFU asks questions specific to the workshops attended in terms of whether or not participants used any workshop materials, their experiences and intentions to use the materials in the future, and reasons for not using the material in cases of non-utilization.
Follow-up process assessment of Adoption and Implementation Barriers encountered using training materials:
TCU WAFU D4-AIB Short Form (PDF; 33KB / 2 pages)
Scoring Guide for TCU WAFU D4-AIB
(PDF; 21KB / 1 page)
Follow-up process assessment of Adoption and Implementation experience after TCU Mapping (MAP) Training:
TCU WAFU D4-MAP Short Form (PDF; 33KB / 2 pages)
Scoring Guide for TCU WAFU D4-MAP
(PDF; 19KB / 1 page)
For an economical “optical mark reader,” the Scantron© iNSIGHT20 is currently recommended. It provides single-sided reading of pencil markings and includes a 40-sheet automatic document feeder operating at speeds up to 1800 forms/hour. ScanTools Plus is the bundled utility software for creating Windows-based ASCII files to record the scanning results. Pricing has been negotiated by the TCU/IBR team for this hardware/software package in 2 categories: non-profit and for-profit purchases. (Note that TCU has no financial interests or benefits that result from the purchase of these machines.)
TCU ADC Forms scoring templates are available on request from TCU (at no charge to service providers) for converting the ASCII records into data files, calculating scale scores, and generating client-level assessment feedback reports (available for download, ZIP / 400KB; contact Julie Gray at firstname.lastname@example.org for more information). Training workshops are expected to be available periodically, and establishment of mutual-help “user groups” is encouraged.
Information for ordering pre-printed TCU ADC Forms in bulk is available. Costs average 10-15 cents per form, depending on quantity ordered. (Note: TCU has no financial interests or benefits that result from purchases of these forms.) Special formatting for automated data capture is incorporated into these pre-printed forms for scanning purposes. Each form has a template available from TCU (based on Microsoft Excel© and provided at no cost) for scoring items and generating interpretative feedback in graphic and narrative formats. Scoring and clinical feedback protocols have been prepared by TCU/IBR researchers, in conjunction with several field collaborators, and are subject to on-going development and refinement.
PDF Sample of Clinical Feedback Report for TCU ADC Form “Treatment Engagement” (TCU ENGForm)
(PDF; 20KB / 1 page)
Data Collection and Scoring
Procedurally, each completed TCU ADC Form is fed through the optical reading process, and item scores are then stored in a data file according to form type and scale. This file in turn is accessed on command by the TCU (Excel-based) templates to score and simultaneously prepare a feedback report for clinical interpretations, as illustrated above (i.e., PDF Sample of Clinical Feedback Report: PDF; 20KB / 1 page). Depending on specifications of the local “management information system” regarding infrastructure and related applications, these records might be further enhanced by users and also be incorporated into “real-time” clinical management data systems.