Diane K. Willimack U.S. Census Bureau

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

5. draws upon Household Survey Research Methods Establishment survey methodology

6. Survey Tourangeau’s(1984)Cognitive Response Model • Comprehension • Retrieval • Judgment • Communication

7. Business Survey 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 • from Memory and / or Records • Release of the Data

8. Organizational in Nature 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 • from Memory and / or Records • Release of the Data

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

10. Synthesis of Literatures • Social psychology of organizations • Social behavior within organizations • Administrative behavior • Managerial science

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

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

13. How is work accomplished? • Divisions of labor • Managerial hierarchies • Information subsystems

14. How is work accomplished? • Coordination • Communication • Cooperation • Individual self-control and self-directed behavior

15. The establishment survey response process = WORK. • Fails to contribute to organization’s goals • Intra-organizational “project” without organizational sanctions • Relies on social norms of cooperation and self-directed behavior

16. Dimensions of Social Behaviorin Organizations • Authority • Responsibility • Accountability • Influence • Allegiance / Loyalty

17. Dimensions of Social Behaviorin Organizations • Authority • Decision-maker re: survey participation • Release data • Delegate activity

18. Dimensions of Social Behaviorin Organizations continued • Responsibility • Without authority • Capacity • Knowledge of data sources • Access to data • Accountability • Job performance criteria & evaluation

19. Dimensions of Social Behaviorin Organizations continued • Influence • Authority • Reciprocation • Commitment / consistency • Social proof • Liking • Scarcity

20. Dimensions of Social Behaviorin Organizations continued • Allegiance / Loyalty • Personal goals Organization’s goals • Decisions & actions Organization’s goals

21. 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

22. Role Receiver: “Focal Person” Role Sender Sent Role Role Behavior Role Episode Expectations Received Role

23. Personal attributes of ‘LDP’ Organi- zational factors that convey to R Request for Information Sent Role: Data specs Influence Role Behavior: Compliance Interpersonal factors associated with ‘LDP’ Role Episode: Responding to a Survey Focal Person Role Sender “Local Data Provider” (LDP) Respondent (R) Expectations: Compliance Received Role: Interprets R’s request

24. Personal attributes of ‘LDP’ Role Sender Supervisor Expectations: Compliance Sent Role: Assignment Authority Role Behavior: Compliance Interpersonal factors associated with ‘LDP’ Role Episode between LDP and Supervisor Focal Person Organi- zational factors that convey to the Super- visor “Local Data Provider” (LDP) Received Role: Assigned work Performance criteria

25. Role Conflict • Role episodes between: • R and LDP • LDP and Supervisor

26. 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

27. 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

28. Census BureauExamples

29. 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?”

30. 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

31. 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

32. ICT Annual Company-level Data on expenses Annual Capital Expenditures Survey (ACES) Annual Company-level Data on capital expenditures Survey of Information & Communication Technology (ICT) Can these two surveys be joined?

33. 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?

34. 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

35. 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

36. Conclusions

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

38. 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?

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

40. Feedback? Comments? Questions? • Go Forth and Research!! Diane K. Willimack U.S. Census Bureau diane.k.willimack@census.gov ph. 301-763-3538