1. 2 considering the establishment survey response process in the context of the administrative...

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Considering the Establishment Survey Response Process

in the Context of the Administrative Sciences

Diane K. WillimackU.S. Census Bureau

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Survey Methodology draws upon multiple disciplines –

Statistics/sampling Psychology Sociology Economics Political science Computer science Human-computer interaction

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Examples

Cognitive response model

draws upon Cognitive PsychologyCognitive Psychology Survey participation decision models

draw upon Social PsychologySocial Psychology Web survey design

draws upon Software Development & Software Development & Human-Computer InteractionHuman-Computer Interaction

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EstablishmentEstablishment survey methodology survey methodology

draws upon

Household Survey Research MethodsHousehold Survey Research Methods

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Tourangeau’s (1984)

Cognitive Response Model

1. Comprehension

2. Retrieval

3. Judgment

4. Communication Survey

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Response Process Model for Establishment Surveys

Sudman et al., ICES-2

Encoding in Memory / Record FormationEncoding in Memory / Record Formation

Selection / Identification of Respondent(s)Selection / Identification of Respondent(s)

Assessment of Priorities (Motivation)Assessment of Priorities (Motivation)

4. Comprehension

5. Retrieval

6. Judgment

7. Communication8.8.

1.1.

2.2.

3.3.

Release of the DataRelease of the Data

Business Survey

from Memory and / or Recordsfrom Memory and / or Records

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Response Process Model for Establishment Surveys

Sudman et al., ICES-2

Encoding in Memory / Record FormationEncoding in Memory / Record Formation

Selection / Identification of Respondent(s)Selection / Identification of Respondent(s)

Assessment of Priorities (Motivation)Assessment of Priorities (Motivation)

4. Comprehension

5. Retrieval

6. Judgment

7. Communication8.8.

1.1.

2.2.

3.3.

Release of the DataRelease of the Data

from Memory and / or Recordsfrom Memory and / or Records

Organizational Organizational in Naturein Nature

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Disciplines relevant for surveys of businesses and organizations –

Organizational behavior Managerial science Administrative science

Behavior of people Behavior of people in organizationsin organizations

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Synthesis of Literatures

Social psychology of organizations Social behavior within organizations Administrative behavior Managerial science

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Organizational Goals

1. Produce goods & services

2. Maintain viability over time

Attributes of Organization

Structure Differentiation of

functions (De)centralization Authority

hierarchies Coordination Effectiveness

People

Social Social BehaviorBehavior

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Organizational Goals

1. Produce goods & services

2. Maintain viability over time

Attributes of Organization

Structure Differentiation of

functions (De)centralization Authority

hierarchies Coordination Effectiveness

People

WORK!WORK!

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How is work accomplished?

A ss t. B oss #1 A ss t. B oss #2 A a sst. B oss #3

C h ie f B o ss

Divisions of laborDivisions of labor

Managerial hierarchiesManagerial hierarchies

Information subsystemsInformation subsystems

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How is work accomplished?

A ss t. B oss #1 A ss t. B oss #2 A a sst. B oss #3

C h ie f B o ss

CoordinationCoordinationCommunicationCommunication

CooperationCooperationIndividual self-control and Individual self-control and self-directed behaviorself-directed behavior

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The establishment survey response process

= WORKWORK.

Fails to contribute to organization’s goals Intra-organizational “project” without

organizational sanctions

Relies on social norms of cooperation and self-directed behavior

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Dimensions of Social Behaviorin Organizations

Authority Responsibility Accountability Influence Allegiance / Loyalty

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Dimensions of Social Behaviorin Organizations

Authority– Decision-maker re: survey participation– Release data

– Delegate activity

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Dimensions of Social Behaviorin Organizations continued

Responsibility– Without authority– Capacity

• Knowledge of data sources• Access to data

Accountability– Job performance criteria & evaluation

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Dimensions of Social Behaviorin Organizations continued

Influence– Authority– Reciprocation– Commitment / consistency– Social proof– Liking– Scarcity

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Dimensions of Social Behaviorin Organizations continued

Allegiance / Loyalty– Personal goals Organization’s goals– Decisions & actions Organization’s goals

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Social Behavior + Role-taking = Work

Role-taking – the manifestation of social behavior among persons in organizations for the purpose of accomplishing work.

Coordination Communication Interpersonal interaction Cooperation

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Role Episode

Role SenderRole Sender

Expectations SentRole

Role Receiver:Role Receiver:““Focal Person”Focal Person”

ReceivedRole

RoleBehavior

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Role Episode: Responding to a Survey

Role SenderRole Sender

Expectations:

Compliance

Sent Role:

Data specsInfluence

Focal PersonFocal Person

Received Role:

InterpretsR’s request

RoleBehavior:

Compliance

Respondent (R)“Local Data Provider”

(LDP)

Request forInformation

Organi-Organi-zationalzationalfactors factors

thatthatconveyconvey

to Rto R

Interpersonal factorsInterpersonal factorsassociated with ‘LDP’associated with ‘LDP’

Personal attributesPersonal attributesof ‘LDP’of ‘LDP’

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Role Episode between LDP and Supervisor

Focal PersonFocal Person

Received Role:

Assigned workPerformance

criteria

RoleBehavior:

Compliance

Role SenderRole Sender

Expectations:

Compliance

Sent Role:

AssignmentAuthority

SupervisorSupervisor“Local Data Provider”

(LDP)

Organi-Organi-zationalzationalfactors factors

thatthatconvey convey to theto theSuper-Super-visorvisor

Interpersonal factorsInterpersonal factorsassociated with ‘LDP’associated with ‘LDP’

Personal attributesPersonal attributesof ‘LDP’of ‘LDP’

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Role Conflict

Role episodes between:– R and LDP– LDP and Supervisor

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Role Episodes: A Framework for Evaluating Response Process

“Draw” the role episode diagram for people involved in providing survey data

Account for multiple roles of each player Study, understand, analyze interactions

between people in the organization

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Role Episodes: A Framework for Evaluating Response Process

continued

Use as a tool – Diagnose potential problems and

breakdowns– Suggest strategies that facilitate response

process– Avoid strategies that hinder organizational

processes

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Census BureauExamples

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Developing Data Collection Software for the U.S. Economic Census

Detailed establishment-level data “Task analysis” with business

respondents– “How do respondents go about pulling

together all this data?”

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Developing Data Collection Software for the U.S. Economic Census

continued

Pervasive use of spreadsheets– Means of communication– Organizational norm for exchanging data

Some Rs lacked response “capacity” – e.g., knowledge of specific data items– Unable to “assign” items to LDPs

R LDP: sent role relied on differentiation of expertise

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Developing Data Collection Software for the U.S. Economic Census

continued

Re-engineered software– Versatile spreadsheet functionality– Supported organizational context for R’s

and LDP’s roles

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Survey of Information & Communication Technology (ICT)

ICT– Annual– Company-level– Data on expenses

Annual Capital Expenditures Survey (ACES)

– Annual– Company-level– Data on capital

expenditures

Can these two surveys be joined?Can these two surveys be joined?

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ICT and ACEScontinued

Problem: Operating Expenses vs. Capital Expenditures– Different uses by management– Different treatment by tax rules

Possible implications:– Distributed knowledge– Different data systems?– Different respondents?

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ICT and ACEScontinued

Pretesting results– Best ACES respondent best ICT respondent– ACES respondent wanted to –

• Receive ICT form• Take responsibility for gathering ICT data

Role Episode:– Role sender – ACES respondent– Focal person – LDP for ICT data

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ICT and ACEScontinued

Design solution– Separate forms / separate return envelopes– Used ACES respondent as contact person

Supports a variety of potential social behaviors by ACES respondent– No direct access to ICT data

• Coordinates / compiles data from ICT sources

– Direct access to ICT data• Gathers all data and responds

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Conclusions

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Survey organizations…

Are members of businesses’ external environment

Have indirect / disjoint relationship with businesses

Cannot manage the response processCannot manage the response process

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Models of Social Behavior in Organizations

Framework for studying organizational context for survey response process

Address research questions– Who is the “right” respondent?

• Interplay between Authority and Responsibility / Capacity

– How to facilitate reporting from multiple data sources?• Respondents, “Local Data Providers,” and Role Episodes

– What are effects of alternative data collection strategies on data quality?

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Future Research

Other theories / models of social behavior in organizations– Management– Influence– Authority

Do this approach add value? How can it be applied?

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Feedback? Comments? Questions?

Go Forth and Research!!

Diane K. Willimack

U.S. Census Bureau

diane.k.willimack@census.gov

ph. 301-763-3538