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

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

4. 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. 5  Establishment survey methodology Household Survey Research draws upon Household Survey Research

6. 6 WORK The establishment survey response process is viewed as WORK.

7. 7 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

8. 8 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

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

10. 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. 11 Synthesis of Literatures  Social psychology of organizations  Social behavior within organizations  Administrative behavior  Managerial science

12. 12 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 Behavior

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

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

15. 15 The establishment survey response process is viewed as 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. 16 Dimensions of Social Behavior in Organizations  Authority  Responsibility  Accountability  Influence  Allegiance / Loyalty

17. 17 Dimensions of Social Behavior in Organizations  Authority –Decision-maker re: survey participation –Release data –Delegate activity

18. 18 Dimensions of Social Behavior in Organizations continued  Responsibility –Without authority –Capacity Knowledge of data sources Access to data  Accountability –Job performance criteria & evaluation

19. 19 Dimensions of Social Behavior in Organizations continued  Influence –Authority –Reciprocation –Commitment / consistency –Social proof –Liking –Scarcity

20. 20 Dimensions of Social Behavior in Organizations continued  Allegiance / Loyalty –Personal goals  Organization’s goals –Decisions & actions  Organization’s goals

21. 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. 22 Role Episode Role Sender Expectations Sent Role Role Receiver: “Focal Person” Received Role Behavior

23. 23 Role Episode: Responding to a Survey Role Sender Expectations: Compliance Sent Role: Data specs Influence Focal Person Received Role: Interprets R’s 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’

24. 24 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’

25. 25 Role Conflict  Role episodes between: –R and LDP –LDP and Supervisor

26. 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. 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. 28 Census Bureau Example

29. 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. 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. 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. 32 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?

33. 33 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?

34. 34 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

35. 35 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

36. 36 Conclusions

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

38. 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. 39 Future Research  Other theories / models of social behavior in organizations –Management –Influence –Authority  Do this approach add value?  How can it be applied?