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
ph. 301-763-3538