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2 Considering the Establishment Survey Response Process in the Context of the Administrative Sciences Diane K. Willimack U.S. Census Bureau

3 Survey Methodology draws upon multiple disciplines – Statistics/sampling Psychology Sociology Economics Political science Computer science Human-computer interaction

4 Examples Cognitive response model Cognitive Psychology draws upon Cognitive Psychology Survey participation decision models Social Psychology draw upon Social Psychology Web survey design Software Development & Human-Computer Interaction draws upon Software Development & Human-Computer Interaction

5 Establishment survey methodology draws upon Household Survey Research Methods

6 Tourangeaus (1984) Cognitive Response Model 1. Comprehension 2. Retrieval 3. Judgment 4. Communication Survey

7 Response Process Model for Establishment Surveys Sudman et al., ICES-2 Encoding in Memory / Record Formation Selection / Identification of Respondent(s) Assessment of Priorities (Motivation) Comprehension Retrieval Judgment Communication Release of the Data Business Survey from Memory and / or Records from Memory and / or Records

8 Response Process Model for Establishment Surveys Sudman et al., ICES-2 Encoding in Memory / Record Formation Selection / Identification of Respondent(s) Assessment of Priorities (Motivation) Comprehension Retrieval Judgment Communication Release of the Data from Memory and / or Records from Memory and / or Records Organizational in Nature

9 Hybrid Response Model (Sudman et al., 2000 ICES-2) 1.Encoding in memory / record formation 2.Selection/identification of respondent(s) 3.Assessment of priorities 4.Comprehension of data request 5.Retrieval from memory and/or records 6.Judgment of adequacy of response 7.Communication 8.Release of data

10 Hybrid Response Model (Sudman et al., 2000 ICES-2) 1.Encoding in memory / record formation 2.Selection/identification of respondent(s) 3.Assessment of priorities 4.Comprehension of data request 5.Retrieval from memory and/or records 6.Judgment of adequacy of response 7.Communication 8.Release of data

11 Hybrid Response Model (Sudman et al., 2000 ICES-2) 1.Encoding in memory / record formation 2.Selection/identification of respondent(s) 3.Assessment of priorities 4.Comprehension of data request 5.Retrieval from memory and/or records 6.Judgment of adequacy of response 7.Communication 8.Release of data

12 Disciplines relevant for surveys of businesses and organizations – Organizational behavior Managerial science Administrative science Behavior of people in organizations

13 Synthesis of Literatures Social psychology of organizations Social behavior within organizations Administrative behavior Managerial science

14 Organizational Goals 1. 1.Produce goods & services 2. 2.Maintain viability over time Attributes of Organization Structure Differentiation of functions (De)centralization Authority hierarchies Coordination Effectiveness People Social Behavior

15 Organizational Goals 1. 1.Produce goods & services 2. 2.Maintain viability over time Attributes of Organization Structure Differentiation of functions (De)centralization Authority hierarchies Coordination Effectiveness People WORK!

16 WORK The establishment survey response process is viewed as WORK. Fails to contribute to organizations goals Intra-organizational project without organizational sanctions

17 How is work accomplished? Divisions of labor Divisions of labor Managerial hierarchies Managerial hierarchies Information subsystems Information subsystems

18 How is work accomplished? Coordination Coordination Communication Communication Cooperation Cooperation Individual self-control and self-directed behavior Individual self-control and self-directed behavior

19 WORK The establishment survey response process = WORK. Fails to contribute to organizations goals Intra-organizational project without organizational sanctions Relies on social norms of cooperation and self-directed behavior

20 Dimensions of Social Behavior in Organizations Authority Responsibility Accountability Influence Allegiance / Loyalty

21 Dimensions of Social Behavior in Organizations Authority –Decision-maker re: survey participation –Release data –Delegate activity

22 Dimensions of Social Behavior in Organizations continued Responsibility –Without authority –Capacity Knowledge of data sources Access to data Accountability –Job performance criteria & evaluation

23 Dimensions of Social Behavior in Organizations continued Influence –Authority –Reciprocation –Commitment / consistency –Social proof –Liking –Scarcity

24 Dimensions of Social Behavior in Organizations continued Allegiance / Loyalty –Personal goals Organizations goals –Decisions & actions Organizations goals

25 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

26 Role Episode Role Sender Expectations Sent Role Role Receiver: Focal Person Received Role Behavior

27 Role Episode: Responding to a Survey Role Sender Expectations: Compliance Sent Role: Data specs Influence Focal Person Received Role: Interprets Rs request Role Behavior: Compliance Respondent (R) Local Data Provider (LDP) Request for Information Organi-zationalfactorsthatconvey to R Interpersonal factors associated with LDP Personal attributes of LDP

28 Role Episode between LDP and Supervisor Focal Person Received Role: Assigned work Performance criteria Role Behavior: Compliance Role Sender Expectations: Compliance Sent Role: Assignment Authority Supervisor Local Data Provider (LDP) Organi-zationalfactorsthatconvey to the Super-visor Interpersonal factors associated with LDP Personal attributes of LDP

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

30 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

31 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

32 Census Bureau Examples

33 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?

34 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

35 Developing Data Collection Software for the U.S. Economic Census continued Re-engineered software –Versatile spreadsheet functionality –Supported organizational context for Rs and LDPs roles

36 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?

37 ICT and ACES continued Problem: Operating Expenses vs. Capital Expenditures –Different uses by management –Different treatment by tax rules Possible implications: –Distributed knowledge –Different data systems? –Different respondents?

38 ICT and ACES continued 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

39 ICT and ACES continued 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

40 Conclusions

41 Survey organizations… Are members of businesses external environment Have indirect / disjoint relationship with businesses Cannot manage the response process Cannot manage the response process

42 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?

43 Future Research Other theories / models of social behavior in organizations –Management –Influence –Authority Do this approach add value? How can it be applied?

44 Feedback? Comments? Questions? Go Forth and Research!! Diane K. Willimack U.S. Census Bureau ph