Census Management Workshop based on UN Handbook 1 Census Management Workshop Prototype PowerPoint...

Census Management Workshop based on UN Handbook

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Census Management Workshop

Prototype PowerPoint

March, 2009


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Census Management Workshop Topics by Day

1. Overall Census Management

2. Preparatory Tasks

3. Field Operations

4. Data Processing

5. Census Products/Evaluation


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Day 1. Overall Census Management

A. The imperative of relevance

B. Census planning

C. Quality assurance

D. Management structure

E. Software and hardware evaluation and acquisition

F. Use of sampling

G. Selecting and managing external consultation and outsourcing


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1A. The importance of relevance

1. Introduction

2. Relevance to user needs *

3. Public relations to reinforce relevance to ordinary population *

4. Relevance to overall national strategies

5. Relevance to other elements of national statistical systems *

* Asterisk means that item is discussed below


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1A2. Relevance to user needs

When assessing potential census topics:a) Is the topic of major national importance?b) Is there a need for data on the topic for small

groups in the population or for small geographic areas?

c) Is the topic suitable for inclusion in the census?

d) Are there sufficient resources available to collect and process the data for that topic?

e) Does it allow for international comparability?


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What goes in an information paper:

a) The topics planned for inclusion in the forthcoming census

b) The topics planned for exclusion from the forthcoming census

c) Other topics, to assess user demand


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Elements of census testing relevance:

a) Design of enumeration areas

b) Design of operational tasks

c) Training of field staff

d) Dissemination of data


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1A3. Public relations to reinforce relevance to ordinary population

a) Major releases of data from the previous census

b) Seizing opportunities for case studies, like opening of new schools and hospitals

c) Publicizing the development of census information in forms easily accessible and in accessible places


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1A4. Relevance to overall national strategies

Depends on:• Stage of country’s economic develop-

ment• Quantity and quality of existing infra-

structure (e.g., electricity?)• Extent to which population

characteristics are evenly dispersed across the country (e.g., where no clerical workers?)


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1A4. Relevance to overall national strategies

Other objectives:a) An opportunity to acquire funding for improving

and increasing the stock of information technology equipment

b) Providing employment in economically depressed areas

c) Opportunity to train a large number of people in tasks such as data processing or census collection

d) To improve the mapping capabilities


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1A5. Relevance to other elements of national statistical systems

a) Population estimates

b) Household survey program


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1B. Census planning

1. Introduction

2. Specifying the role of the census

3. The role of Government *

4. Setting goals *

5. Developing project plans *

6. Monitoring project plans *

7. Developing a budget *


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1B3. Census planning – Role of Government

a) Providing a legal framework for the conduct of the census *

b) Providing funding for the census

c) Providing logistical support for census activities *


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1B3a. Census planning – Legal Framework

1. The authority of the census agency to undertake census activities

2. Topics to be included in the census

3. Requirements of individuals to provide information

4. Provisions about confidentiality of information supplied by individuals

5. The role of other organizations (especially government ministries) in census taking


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1B3a. Census planning – Legal Framework

• Reference date

• Form of census should not be mandated

• Penalties for noncompliance


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1B3c. Census planning – Logistical support

• Funding

• Use of teachers

• Use of other agencies


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1B3c. Census planning – Logistical support

Examples of govt organizations supporting:1. Local or provincial governments, which

may encourage staff of their agencies to work on census

2. Local or provincial steering committees made up of staff from govt organizations

3. Other govt agencies that supply special services such as form printing, mapping, transport, media liaison


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1B4. Setting goals

• What do the stakeholders want?

• Current and potential users


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1B4. Setting goals

a) Stakeholders within the census program• Census evaluation• Census processing• Census dissemination• Other areas – internal stakeholders for

transport and printing

b) Other stakeholders w/in the statistical agency *

c) Community *


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1B4. Stakeholders within the census program

• Integration of phases: “Quality circle”

• Potential stakeholders for the field operations phase: how field operations influence others


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1B4b. Setting goals – Other stakeholders in the statistical agency

• Regional offices are important

• Sometimes the census office is NOT the Statistics office

• Sometimes various statistical results are interrelated (census, survey, admin records)

• Use of census results on daily basis


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Examples of special skills:

1. Statistical methodology (design of follow-up samples, advice on quality monitoring sampling rates)

2. Information technology (evaluation of processing systems, hardware and software maintenance

3. Public relations (training and advice on public relations strategies and advertising campaigns)


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Stakeholders using as part of operations:1. Statistical analysts preparing material by

further analysis: e.g., income, housing2. Client services, sales and marketing

units identifying and satisfying external clients'’ needs

3. The area responsible for household surveys using census small area counts to update sample frames


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1B4c. Setting goals – Community

• Often only occasional interest

• Confidentiality

• Privacy

• Sensitivity

• Timing – the longer it takes to get the results, the less the interest

• Goals will interact: the following goals


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1B4c. Setting goals – Community

Goals of census:1. The topics to be collected2. Confidentiality3. Timeliness of data release4. Data quality5. The nature of the output6. Trade-off between what topics can be

collected and costs7. The total cost of the census


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1B5. Census planning – Developing project plans

The basic structure – these form a hierarchy:a) Projects. The total set of tasks needed to

achieve a specific goal *b) Phases. The major project components *c) Activities. The phase components *d) Tasks. The smallest identifiable amount of

work leading to a deliverable *e) Milestones. Specific points in time at which

key outcomes are expected and which measure a project’s progress – measurements!


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1B5a. Developing project plans -- Projects

Project definition:1. Planning: Setting strategic directions for the

entire census program and developing project plans

2. Preparation: Establishing the basis of enumeration, form design and testing, mapping, and printing the census forms

3. Field operations: Recruiting and training field staff, public relations campaigns, form distribution and return


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1B5a. Developing project plans -- projects

4. Data processing: Recruiting and training data processors, selecting and managing premises, processing forms

5. Dissemination: User consultation, product development, marketing and sales strategies

6. Evaluation: All Evaluation plans and processes.


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1B5b. Developing project plans – Example of Phases

• Need a head for each phase

• Need time frames for each

• Need milestones

• Phases will overlap, so use flow charts


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3.01 Methods and procedures: Development of all enumeration and administrative procedures. Includes determining how enumerators and supervisors will conduct the census, as well as the procedures for recruitment and payment of temporary field staff


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3.02 Test program: Development and implementation of all tests. As a major activity, this brings together all aspects of the enumeration, on a small scale, and can act effectively as a quality assurance measure on the operation in addition to the specific goals of each test.

3.03 Field mapping: Design of enumeration area and preparation of maps


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1B5c. Developing project plans – Activities for Field mapping

3.03.01 Enumeration area design

3.03.02 Enumeration area file

3.03.03 Management area design

3.03.04 Map production

3.03.05 Enumerator record book preparation


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1B5d. Developing project plans – Enumerator area design tasks

3.03.01.01 Review previous census methods, procedures and outcomes

3.03.01.02 Establish or review enumeration area design principles and criteria

3.03.01.03 Prepare enumeration area design manual3.03.01.04 Establish enumeration area update

methods, procedures and processes3.03.01.05 Test enumeration area design process3.03.01.06 Implement and monitor enumeration area

design3.03.01.07 Evaluate enumeration area design


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1B5i1. Activity issues – Overview

• Activities are parts of phases

• Each activity needs a leader


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1B5i1. Activity issues – Overview

Description

Describe enough background to the activity for people to quickly gather where it fits in

Questions

How would I describe this activity to someone in 2 or 3 sentences


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1B5i2. Activity issues – Approval

Description

Note if there has been, or should be, any formal approval for this activity

Questions

Does this activity need to be approved by anyone?


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1B5i3. Activity issues – Goals/objectives

Description

Describe the goals of the activity

Questions

What is the purpose of this activity? Why do it? Is it important? How does this activity add value to what we are going?


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1B5i4. Activity issues – Deliverables/output

Description

What the end result of the activity is. This may be a specification document, a manual, a computer system, etc. They may be inputs to other activities

Questions

What is the actually produced activity?


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1B5i5. Activity issues – Schedule/dates

DescriptionStart and finish dates as well as any key

dates along the way. This may simply be a file that progress is shown in or it may be a separate document

QuestionsWhat do people need to know about the

timing or scheduling of this activity? Are there are critical dates involved?


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1B5i6. Activity issues – Stakeholders

DescriptionPeople relationships. The people or areas,

including outside the agency, are important to this activity. They may be dependent on this activity or vice versa.

QuestionsWho would I need to involve in planning,

developing or implementing this activity? Who is the client?


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1B5i7. Activity issues – Dependencies

Description

Process relationships. The activities or tasks, including other areas, depend on this activity or vice versa.

Questions

What inputs do I need? Where do the outputs of this activity go?


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1B5i8. Activity issues – Key tasks

Description

Describe the key tasks that make up this activity

Questions

What tasks have to be done for the activity to be completed?


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1B5i9. Activity issues – Risks

Description

Describe the potential risks, their likelihood and contingency plans

Questions

What can go wrong and how likely is it? What are the critical success factors?


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1B5i10. Activity issues – Specifications

DescriptionThese may be technical specifications as for an

information technology application or a description of what is involved in this activity. Will depend very much on the nature of the activity

QuestionsWhat do I have to specify in order for the activity to

get done? What would I have to tell someone about how to go about it?


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1B5i11. Activity issues – Resources

Description

Staffing, budgets, costs, etc. Staffing costs refer to people working on the activity and do not have to be exact

Questions

How much is this activity costing in terms of people and money?


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1B5i12. Activity issues – Training

Description

Training that may be required to enable this activity to be done

Questions

What skills would someone need to do this activity? For example, software, acceptance testing, negotiation and procurement


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1B5i13. Activity issues – Performance measures

Description

The performance measures against which the success of this activity will be measured

Questions

How will I know if this activity has been successful?


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1B5i14. Activity issues – Management Information

Description

Information that can be extracted from the activity to inform people about the progress, et. And also to provide data for analysis (number of people paid, number of EAs)

Questions

What information from this activity will help people know how many things are going or assist in analyzing the activity later?


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1B5i15. Activity issues – Testing

Description

The testing plan for this activity

Questions

How will I test this activity to be confident that it will work or that the right outcomes will be achieved?


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1B5i16. Activity issues – Evaluation

Description

The evaluation plan for the activity

Questions

How will this activity be evaluation? How will other items in this table contribute to the evaluation? How has previous feedback been dealt with?


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1B5i17. Activity issues – Reporting

DescriptionInformation about the level and detail for

reporting on this activity. Name and location of relevant project management software file

QuestionsWhat do I have to report, and how often, so

that people know the status of this activity?


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1B5i18. Activity issues – Documentation

Description

Describe what documentation exists about this activity. This may be other items in the table such as specifications, etc

Questions

What would I tell someone who wanted to learn about this activity to read?


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1B5i19. Activity issues – Service agreement

Description

Details of any service agreement associated with this activity

Questions

If other persons are doing some work on this activity for me, what agreement should I have in place with them?


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1B5i20. Activity issues – Closure

Description

How the activity is closed. What occurs when the activity is finished

Questions

How do I know when this activity is finished? Who needs to be told?


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1B5d. Tasks

• Tasks are parts of activities

• You need to plan the tasks

• Someone has to be responsible for each task

• Transitions: each task has to fit into the whole series


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1B5f. Issues

• Timing and resources are everything!

• An issues table is useful (see table)


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1B5g. Risks

• “Risks are events that could occur and in some way have a negative impact on the success of the census”

• Risk must be controlled


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1B6. Census planning – Monitoring project plans

The most important components to track:

a) The calendar time for completing the task

b) Resource usage per task

c) Cost per task

d) Milestones


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1B6. Census planning – Monitoring project plans

a) What to review *

b) What to report and to whom


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1B6a. Monitoring project plans – Status information

a) Status of tasks (not started, started, or completed)

b) Status of important milestones

c) Progress (percentage completed, or, preferably, estimated time to complete)

d) Actual start and end dates


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1B6a. Monitoring project plans – Status information

Special attention to:a) Slippage of critical tasks leading up to a milestoneb) Critically late tasks, indicating that that the estimated

time to complete is later than the planned finish datec) An over-commitment of resources in the remainder of

the projectd) Too many tasks appearing to be “nearly complete”

[99% complete syndrome]e) Rebase-lining. If the project cannot complete on time,

then have to extend on Gantt chart of other document


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1B7. Developing a budget

• Have to think about the TOTAL budget

• Also, what happens over time, flow of costs

• Allotments for different activities

• Salary costs year by year

• Other costs year by year


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Ways of estimating budgets:a) Based on the same allocations received for the

previous census, brought up to current prices by adjusting for:

• Inflators for increased costs (e.g., salaries)• Deflators for efficiency gains (new technology)• Policy changes• Population increasesb) Based on previous expenditure pattern, adjustedc) Zero based using costing models to establish the

requirements of each phase


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1B7a. Monitoring the budget

• Must monitor each project re budget

• Check regularly

• Look ahead to possible problems

• Should implement formal mechanisms for checking

• REMEMBER: Enumeration itself is always the largest cost


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Monitoring the budget using forward estimates:

a) Managers can bid for increases or indicate savings in resources over time and/or reallocate expenditures between different financial years or items

b) Bids can be considered by senior census management, taking all bids for all years into account at one time


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Census budget cycle: expected expenditure patterns

0

20

40

60

80

100

120

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Cos

t


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1B7. Items in a census budget

Salaries: Salaries for both permanent staff from the census agency, and temporary field operations and data processing staff, usually calculated separately, and allowing for overtime

Travel and subsistence: all fares and per diem costsVehicles: Cost of purchase and/or hire of cars, boats and

aircraftOffice consumables: stationary, folders, pens, etcPrinting questionnaire: all printing costs (paper, printing)

associated with the census questionnaireManuals: all instruction manuals


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1B7. Items in a census budget -- continued

Mapping:

Data maintenance: Costs associated with maintaining and updating map data

Equipment: Computer hardware, etc

Development: Software development costs

Printing: Map printing


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Form packing and transport: Distribution and return of census forms and associated material for field operations

Enumerator equipment: Satchels, pens, clipboards, etc

Public relations: Publicity costs (e.g., pamphlets, posters)

Training: Production of training guidesConsultants/contractors: Cost of external

consultants providing advice and/or services


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Publications: Printing and development costs of publications containing census results

Product development: Development costs for census output products

Telephone and postage: Ongoing telephone and postal costs

Storage: Storage costs for census forms and mapsSecurity: Costs associated with securing census forms and

dataTaxes: Any applicable government taxesEquipment purchases: office machines and computers


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Software licenses: Cost of purchasing off-the-shelf software

Software development: Cost of developing census-specific software

Office lease: Any rental costs of buildings required for data processing, etc

Office running costs: Fuel, electricity, cleaningOffice equipment expenses: Cost of equipping

officesTravel: Cost associated with the travel of census

personnel


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1C. Quality assurance

1. Introduction *

2. The role of managers

3. Quality improvement and the census *


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1C1. Quality assurance -- Introduction

Four attributes of quality assurance:

a) Relevance

b) Cost

c) Timeliness

d) Data quality (or accuracy)


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• The three attributes – cost, timeliness, accuracy – are essentially trade-offs

• Regular measures• Highly repetitive – as soon as you learn one task

you move on• Complete evaluation of each phase• Remember that People Rule!• Also traditional quality control• Think about improvement more than correction


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Quality relies on:

a) Established, documented processes

b) Systems to monitor the outcomes of these processes

c) Active encouragement by management to involve staff undertaking the processes in identifying and resolving deficiencies in quality


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How errors in process are detrimental:a) Adds significantly to the cost of the operationb) Errors in the inspection process can fail to detect true

errors or falsely identify errorsc) The correction process can introduce errors into the

datad) Operators take less responsibility for the quality of their

work, believing it to be the responsibility of the inspectors

e) Where a sample of units is inspected, the quality of data is only ensured for those units that are inspected


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1C1. Quality assurance circle

Implement corrective

action

Measure quality

Identify mostImportant

quality problem

Identify rootcauses ofproblem


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Table . Percentage of costs spent on items

Item Australia Kyrgyzstan Kazakhstan Cambodia

Total 100 100 100 100

Enumerator salaries 24 16 29 0

Data processing 14 5 3 0

Census agency staff 15 15 3 25

Hardware/software 6 35 2 26

Form printing 3 6 5

Mapping 3 3 1 3

Office equipment 3 3 1 1

Building costs 3 2

Transport/per diem 13 20 6

Other costs 29 2 36 39

Source: UN Census Management handbook

Note: For Cambodia, census agency staff includes enumeration and data processing


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1C2. Quality assurance – Role of Managers

• Managers must manage• Environment: we all have to be in the same

canoe, paddling the same direction• Client expectations must be known• Processes must be understoof and documented

for staff• What they DO, rather than what they SAY• Stress teams over individuals• But sometimes individuals have to be blamed• Must have culture of looking at the BIG picture


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1C3. Quality assurance – Quality improvement and the census

The quality circle can be applied to the entire census cycle with:

a) Performance in the previous phase being evaluated at any given level of detail

b) Problems with quality ranked in order of importance

c) Root causes identified and corrective action implemented


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Quality Circle Dependency ChartEvaluation

1. Data quality2. Process

3. Products/4. Services

Topic selection

Form designAnd testing

Field operations

Dissemin-ation

Dataprocessing

Classification and subject

matter specialists


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Quality Circle Dependency Chart

• Can start at any point

• Quality control circle superimposed on census cycle


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1C3. Quality assurance – Quality improvement and the census

a) Topic selection

b) Form design and testing *

c) Field operations *

d) Processing

e) Dissemination

f) Evaluation


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1C3a. Quality improvement and the census – Topic selection

• Product must be relevant

• Need to cover all areas and all subjects

• Must finish one census completely before going on to the next one


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1C3b. Quality improvement and the census – Form design and testing

• Must Design and test the forms• These are key and must be accounted:1. The dissemination team, to ensure that the

questions asked will deliver the data to meet the needs of the users

2. The subject matter specialist team3. The team responsible for developing the

processing system4. The field operations team, which is responsible

for training the enumeration workforce and printing the forms


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1C3c. Quality improvement and the census – Field operations

• Must test all field operations• The internal client is the Processing group• This is an iterative process• Quality monitoring for each phase• Quality difficult during enumeration

because time is so short BUT must do it• Look at problem enumerators• Quality of enumeration


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Quality circle mechanisms in play:

1. Demarcation of enumeration areas

2. Map production

3. Form printing, where a sample of forms is rigorously tested for adherence to standards


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Quality circle mechanisms to be achieved during enumeration:

1. Clearly establishing the aims of the field operations phase

2. Applying thoroughly documented procedures3. Ensuring that the enumerators understand

their role through appropriate training and providing inspection of corrupted forms

4. Providing opportunities for field staff to be observed operating on the job for feedback and retraining


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General overview of quality of enumeration from:

1. The use of techniques such as post-enumeration surveys to gauge the level of under-enumeration of people and dwellings

2. Feedback from field staff

3. Measures of the quality of any coding undertaken by field staff

4. Mechanisms that may be in place to handle queries from the public


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1C3d. Quality improvement and the census – Processing

• Dissemination is the product

• Dissemination and processing areas must agree on a format

• Make sure products are compatible with those from other collections

• Extensive testing of processing

• Processing cannot improve accuracy


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1C3e. Quality improvement and the census – Dissemination

• Easy to overlook

• Manage quality in dissemination:

1. Deliver relevant products WHILE

2. Maintaining accuracy AND

3. Timeliness and within cost


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1C3f. Quality improvement and the census – Evaluation

• Evaluation throughout

• All aspects of the census

• Accuracy of census data

• 2 stages: (1) preliminary for all, (2) after for a few

• Evaluations must be made available


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1D. Management structure

1. Introduction – usually within Stats

2. Generic management structure *

3. Management of the operational aspects *


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1D2. Management structure – Generic management structure

a) Census agency executive officer *b) Deputy executive officersc) Project managers *d) Project teams e) Project board *f) Use of advisory committeesg) Differences between development and

operational phases


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1D2. Management structure – Generic management structure

• Need to make sure that census results can be used in planning the next census

• Keep open options for various aspects of census

• Chart roles and responsibilities

• Keep in mind can shift staff around during process


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Top-level management structureStatisticalAgency

executive

Census agencyExecutive

officer

Projectboard

DeputyExecutive

officer

Advisorycommittees

DeputyExecutive

officer

Project managerPlanning &

administration

ProjectManager

preparations

ProjectManager

Field operations

ProjectManager

processing

ProjectManager

dissemination

ProjectManager

evaluation


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1D2a. Management structure – Census agency executive officer

Responsibilities:1. Establishing strategic directions for the census

program2. Setting expectations and outcomes3. Taking on responsibility for assessing and ratifying the

census program’s feasibility and achievement of outcomes

4. Ensuring that the census program’s scope aligns with the requirements of the stakeholder groups

5. Providing those directly involved in the census with guidance on strategic issues

6. Ensuring that effort and expenditure are appropriate to stakeholder expectations


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1D2a. Management structure – Census agency executive officer --

cont7. Keeping the census program’s scope under control as

emerging issues force changes to be considered8. Reconciling difference in opinion and approach

between stakeholders and resolving disputes arising from them

9. Communicating expectations and critical decisions to the executive management of the statistical agency

10. Allocating project resources11. Addressing any issue that has major implications for

the census program


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1D2c. Management structure – Project managers

Responsibilities:1. Developing and maintaining project plans2. Managing and monitoring project activity

through use of detailed plans and schedules

3. Reporting to the deputy executive officers as requested

4. Managing stakeholder expectations5. Liaising with all project stakeholders


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1D2c. Management structure – Project managers – cont

6. Fostering communication among all project stakeholders

7. Negotiating the resolution of technical issues

8. Completing the project on time and to budget

9. Ensuring the quality of the deliverables


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1D2d. Management structure – Project teams

• Project teams are responsible for:

1. Completion of project task to the agreed timetable

2. Completion of project taks to agreed and accepted levels of quality

3. Peer group reviews of project outputs


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Project team structureProject manager

Fieldoperations

Project teamField mapping

Project teamrecruitment

Project teamtraining

Project teamDispatch and

return


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1D2e. Management structure – Project board

• Major stakeholders

• Advisory

• Representatives from various parts of statistics

• Can continue to identify problems


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1D2f. Management structure – Use of advisory committees

Types of advisory committees:

1. An information technology review panel, to ensure that the most effective use is made of technology

2. System user review groups, to ensure that the views of the people who will operate the system are considered

3. Client advisory groups, to provide advice on the need for statistical output in specific areas.

4. Technical advisory panels, for example, a panel of methodologists may be helpful in determining sampling rates; on employment for pay levels, etc


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1D3. Management of the operational aspects

Three main operational aspects:

a) Field operations phase

b) Processing phase

c) Dissemination phase

d) Project management tools to manage timetables and other deliverables


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Field operations management structure

Project managerField operations

Regional officeOperations

management

Regional/deputyRegional managers

Supervisors

Enumerators

Other regionalOffice staff


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1D3c. Management of the operational aspects – Dissemination phase

Management for dissemination:a) A great deal of attention paid to

coordination with the enumeration and processing systems

b) Due attention given to the use of standard classifications across the entire range of outputs

c) A process that is based on a clearly spelt out set of user objectives *


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1E. Software and hardware evaluation and acquisition

1. Introduction

2. Evaluating software *

3. Acquiring software *

4. Developing software applications in-house *

5. Evaluating hardware needs

6. Acquiring hardware *


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1E1. Evaluating software/hardware – Introduction

• Purpose

• Data capture method

• Budget

• Others’ experiences


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1E2. Evaluating software

Software must meet needs and must evaluate against criteria. Criteria:

a) Software is easy to learn and useb) Is integrated tool that provides a common approachc) An easy development environment for user interfacesd) Easy-to-use programmer development environment,

including configuration management, testing and debugging facilities incorporating breakpoints and step-through capabilities

e) Software can display required objects such as form images, if applicable

f) Software has strategic value to the organization responsible for the census and other statistics


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1E2. Evaluating software – cont

g) Software is compatible with current industry trendsh) Current expertise in the agency [Are experienced

programmers in it readily available; what level of training and support is required?; what support from the supplier?]

i) Evidence of current strength and longer-term viability of the supplier

j) Software is sourced locally or internationallyk) Well-recognized and used business with known

products [compatible with current trends; supplier is financially secure]


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Test process for evaluating software should include:

a) Obtain test copies

b) Develop test prototypes, and test packs

c) Detail implications on and for the organization’s computer environment

d) Get access to reference sites and demonstrations relating to the supplier and its products and gauge user satisfaction


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e) Ensure a viable support mechanism

f) Conduct tests according to previously established criteria

g) Assess and document upgrade policy

h) Determine full costing

i) Produce a report on the evaluation process


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1E3. Acquiring software

a) Package software

b) Contracting specific functionality for parts of systems

c) Contracting out complete software systems


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1E3. Acquiring software – cont

Ways of acquiring software:a) Purchasing complete off-the-shelf packages

that require no further developmentb) Purchasing packages that can be further

developed for census-specific activitiesc) Contracting out the provision of specific

functionality for parts of systemsd) Contracting for externally developed software

for complete systemse) Obtaining free software such as IMPS or

CSPro


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1E3. Acquiring software -- cont

Evaluate specific software for the following:

a) Country size

b) Data entry

c) Editing

d) Fast tabulations

e) Tabulations

f) Camera ready


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Why use packaged software?a) The reduced risk, cost and time-frame

associated with the implementation of proved solutions to recognized business needs

b) The reduced overhead involved in maintaining the resulting system by procuring packages from vendors committed to their on-going maintenance


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Most frequent problems with acquired software:a) Mismatch between package functionality and agency

requirementsb) Level of customization required to ensure successful

implementationc) Inflexibility of the package to meet the changing needs

of the agencyd) The level of maintenance requirede) An inadequate level of vendor supportf) Poor vendor choiceg) Amount of effort required to interface a package to an

existing system


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1E4. Developing software applications in-house

Why do it?

a) Budget available

b) Technical skills available in the organization and ability to retain those skills

c) Timetable for development

d) Complexity of the required software


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1E5. Evaluating Hardware needs

• Consider existing hardware and software

• Evaluating team

• Number of phases

• Initial cost PLUS maintenance

• Product quality – set of standards for deliverables

• Period of warranty


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1E6. Acquiring hardware

• Tender process to make sure of correct hardware

• Detailed specifications

• What are the REAL requirements


122

1E6. Acquiring hardware

Rules for acquiring hardware:a) Use requests for proposals or requests for

tender to control the processb) Try to keep proposals simplec) Purchase only what is required, but as much

as possible to encourage competitiveness in the evaluation process

d) Shortlist ruthlessly, focusing on the best technical solution and overall value for money

e) Negotiate the warranty period


123

1E6. Acquiring hardware -- cont

f) Negotiate free training to be provided by the vendor

g) Consider the level of local maintenance support available

h) Consider the advantages and disadvantages of purchasing locally compared to internationally

i) Avoid being under any obligation to a vendor

j) Consider ethics and probity issues at all stages


124

1F. Use of sampling

1. Introduction *

2. Tests before the census

3. During the census

4. After the census


125

1F1. Use of sampling -- Introduction

Census phases useful for sampling:

a) In tests conducted before the census (pretests and pilots)

b) During the census itself (long and short forms)

c) In quality control operations, such as for printing and reviewing questionnaires

d) After the census, to produce preliminary estimates before tabulations are prepared and in PES


126

1F3. Use of sampling – During the census

• Sampling to save money

• But don’t expect too much

• Consider if you save with long and short forms

• NOTE: UN recommends that countries with small populations not adopt long & short forms


127

1F4. Use of sampling – After the census

• Preliminary estimates

• Preliminary results

• Post-enumeration survey


128

1G. Selecting and managing external consultants and outsourcing

1. Introduction

2. Differing objectives

3. Specification

4. Monitoring the outsourced project


129

1G1. Selecting & managing external consultants -- Introduction

• Use of Numbers of consultants have increased

• Outsourcing within the country

• COST

• SKILLS

• Bilateral agreements

• Tenders committees


130

Day 2. Preparatory Tasks

A. Establishing the basis of enumeration

B. Structure of the workforce

C. Mapping

D. Form design and testing

E. Instruction manuals

F. Printing of forms and other documents


131

2A. Establishing the basis of enumeration

1. Introduction

2. Responsibility for the census enumeration *

3. Key goals *

4. Key stakeholders

5. Type of enumeration –

de facto vs de jure *

6. Method of enumeration *

7. Enumeration timing *

8. Census reference time *

9. Duration of enumeration *

10. Critical dates *

11. Other major constraints *

12. Performance indicators *


132

2A2. Responsibility for the census enumeration

• Look at what happened previously• Usually, the Stats office does the planning• Sometimes a separate agency• Two structures: (1) Internal (2) Added• Key factors (next page)• Countries have various agencies using Stats –

all must be involved• Heads of Regional Offices become heads of

Decennial offices


133

2A2. Responsibility for the census enumeration

Key factors to consider when establishing roles and responsibility:

1. The structure of the census agency itself2. Which agency will undertake the

enumeration? Statistical agency or some other agency?

3. Number of permanent staff in the statistical agency involved in enumeration


134

2A3. Key goals

• Need broad goals

• Goals for a few important items

• Training enumerators

• Broad topics (next page)

• Statistical measures


135

2A3. Key goals

Some goals of any census:

1. Full coverage

2. Confidentiality

3. Census publicity

4. Non-compliance

5. Cost-effectiveness

6. Recruitment and training of field staff


136

2A3. Key goals - cont

7. Accountability

8. Availability of instruments (e.g. maps)

9. Involvement and cooperation of local leaders

10.Consistency of procedures across all regions

11.Special enumeration


137

2A3. Key goals - cont

Goals expressed as absolute numbers:

1. A gross undercount rate of x percent or less

2. A cost per capita of ‘y’ units of currency

3. Relative to a benchmark or x percent, reduction in underestimation relative to the previous census


138

2A4. Key stakeholders

• Processing area is one of the most important key stakeholder


139

2A5. Type of enumeration

a) Place of enumeration (de facto)b) Place of usual residence (de jure) *c) Obtaining both place of enumeration and

usual residence *d) Population groups *• Exclusion of groups in a population• Inclusion of residents in other countries• Enumeration of the defense forces


140

2A5a. Type of enumeration – De facto

• Where found – present location

• Travelers – where do they go?

• Enumerators at travel places

• People at work – full time or part time


141

2A5b. Type of enumeration – De Jure

• Where people usually are

• Special cases (see next)

• Avoid double counting

• Prescribe clear time limits

• Consistency in enumeration – once AND over time


142

2A5b. Type of enumeration – De Jure

Special cases to be covered in enumeration:1) Persons with more than one residence2) Students who stay in hostels/dorms3) Persons who sleep away from their homes

during the week for work-related reasons and only return home for a few days at the end of the week

4) Defense and other personnel who live in official accommodations but continue to maintain residences


143

2A5b. Type of enumeration – De Jure cont

Special cases to consider:

1. Persons who are out of the country temporarily and likely to return

2. Persons within the country who are at places other than their usual residence for a brief period and likely to return before end of enumeration


144

2A5c. De Jure and De facto

1) Usually resident and actually present (code 1)

2) Usually resident but temporarily absent (code 2)

3) Not usually resident but present in the household (code 3)

De facto: codes 1 and 3

De jure: codes 1 and 2


145

2A5c. De Jure and De facto

• Be wary of double counting

• Self-enumeration

• Usually one or the other

• But more countries doing both


146

2A5d. Population Groups

Groups needing special attention:1) Nomads2) Persons living in areas where access is difficult3) Defense and diplomatic personnel of the

country, and their families, living outside the country

4) Merchant seamen and fishermen resident in the country but currently at sea

5) Civilian residents temporarily in another country as seasonal workers


147

2A5d. Population Groups - cont

6) Civilian residents who cross the border daily to work in another country

7) Civilian residents other than above who are working in another country

8) Civilian residents other than above who are temporarily absent from the country

9) Foreign defense and diplomatic personnel and their families located in the country

10) Civilian aliens temporarily in the country as seasonal workers


148

2A5d. Population Groups - cont

11) Civilian aliens who cross a frontier daily to work in the country

12) Civilian aliens other than above who are working in the country

13) Civilian aliens (including refugees) other than those above who are temporarily in the country

14) Transients on ships in harbor at the time of the census


149


• Write special procedures

• Treatment of different groups

• Define total population for use over time

• Countries will differ on the definitions

• But each country needs uniformity


150


• Exclusion of groups in the population

• Inclusion of residents in other countries

• Enumeration of the defense forces


151

2A5d. Population Groups – exclusion of groups in the population

• Who should not be enumerated

• Structure the questionnaire to get what you need

• How to handle short term visitors


152

2A5d. Population Groups – inclusion of residents in other countries

• Exclude long-term expatriates

• But some do include them

• Total nationals: Enumeration through the country’s own diplomatic

representatives in the host country Collection from the members of their families who are

being enumerated in the source country

• Data will be of poor quality

• Present data separately


153

2A6. Method of enumeration – cont

The method adopted will influence:a) Budgetb) Organizational structurec) Type of Questionnaire and its contentd) Training programe) Content and scope of the publicity

campaignf) System of management of records


154

2A6. Method of enumeration

Methods of enumeration and considerations:

1. Interviewer method

2. Self-enumeration (including mail out/mail back

3. Combination methods

• Other methods

• Possibilities for change


155

2A6a. Method of enumeration – Interviewer method

Used in most developing countries

(a) Enumerators can be well trained in the concepts, instructions and procedures

(b) If sufficient numbers of enumerators and supervisors short time

(c) Low literacy can explain

(d) In EA uniform quality and consistency

(e) More complex questions can be included


156

2A6b. Method of enumeration – Self-enumeration method

• Developed countries – distributed to HHs• Sometimes Enumerators distributed• Sometimes mail out – enumerator pickup• Sometimes mail out – mail back• Need ID and location(a) Literacy near universal(b) Educational levels relatively high(c) Communication is widespread• Consultation!!!


157

2A6b. Method of enumeration – Mail-out/mail-back method

• Subset of self-enumeration• Cost savings• Disadvantage: Census materials out of

Statistical Office hands(a) Determining delivery strategies(b) How to monitor effectively(c) Relationship with postal services(d) Non-response rates


158

2A6b. Method of enumeration – Mail-out/mail-back method - cont

• Non-response rates

• Sampling plans

• Tolerance rates


159

2A6d. Method of enumeration – Other methods

• Preliminary Round then followup (Two round approach)

• Assembly method

• Assembly with language interpreters – immigrants, refugees

• Individuals separately from their HHs


160

2A6e. Method of enumeration – Possibilities for change

• Careful testing if changing technique

• Fraught with risk


161

2A7. Timing of enumeration

Issues determining best time of year:• Desirability of selecting a particular period

(simultaneous, typical data, few operational problems)

• Operational issues• Seasonal conditions• Expected change with seasons• Demographic and social factors• Periods of long holiday festivals• Availability of field force


162

2A8. Census Reference Time

• Fixed specific date• So, exclude new births, include deaths• All structures at that specific date• Reference for age, marital status, etc• If before, then update afterwards• Watch for a rolling census date (see next)• If it goes on, people forget• Keep same date for next census if possible


163

2A8. Census Reference Time

Problems with long reference periods:

1. Insufficient field staff

2. Unsatisfactory map base

3. Absence of sufficient logistical support


164

2A9. Duration of enumeration

• Not exact science

• Magnitude of operations

• No rushing, BUT urgency

• Self-enumeration – not too long


165


1. One-day enumeration period

• People stay at home

• Can distribute forms early

2. Longer enumeration period

• Fewer enumerators

• Better trained enumerators


166


Problems with one-day enumeration:

1. Large number of enumerators needed

2. Higher budgetary overheads

3. Supervision of work may be superficial

4. More coverage errors

5. Content has to be restricted


167

2A10. Critical dates

• Census Day – must be established early on

• Critical dates in the process MUST be immovable

• Consider the following in determining the dates:


168

2A10. Critical dates

Critical dates, depending on the country and type of enumeration:

1. Government approval of the census2. Completion of questionnaire design to ensure

that printing can star on time3. Start and end dates for printing4. Recruitment of field staff in sufficient time to

allow training to end before enumeration starts5. Training of field staff before enumeration starts6. Start of enumeration7. End of enumeration!


169

2A11. Other major constraints

a) Cost

b) Government or other authority decisions

c) Producing capacity

d) Logistics capacity

e) Coincidence of other national activities

f) Seasonal weather patterns

g) Security of enumerators in dangerous area

h) Public attitudes


170

2A12. Performance Indicators

a) Rate of under-enumeration, including net underenumeration and gross overcount or undercount

b) Response rates to specific questionsc) Refusal and prosecution ratesd) Number of calls to inquiry servicee) Extent of forms through other than standard

processesf) Performance of enumeratorsg) Coincidence of political campaignsh) Adverse conditions (weather, civil unrest)


171

2B. Structure of the workforce

1. Introduction

2. Roles and responsibilities

3. Time available

4. Staffing ratios


172

2B2. Structure of the workforce -- introduction

General hierarchy:1. Regional manager• Public communications• Little enumerator contact• Main communicator with Stat agency

2. Deputy regional manager3. Supervisor (or crew leader)• Work with each enumerator• Quality assurance• Administrate

4. Enumerator (see next)


173

2B2d. Structure of the workforce -- Enumerators

(a) Contact with respondents involves representing the Stats agency, answering questions, provide assistance

(b) Clerical work at home and in field, involving understanding of census

(c) Travel to and around EA

(d) Spend full time in the field


174

2B3. Time available

• Takes time for meetings

• Actual enumeration period


175

2B4. Staffing ratios

(a) Regional manager/deputy regional managers – Permanent vs temporary employees

(b) Deputies

(c) Supervisor/enumerator ratio

• Too many enumerators

• Varies within the country


176

2C. Mapping

1. Introduction

2. Geographic classification *

3. Mapping technology *

4. Undertaking the mapping program *


177

2C1. Mapping -- Introduction

• Quality of the maps crucial

• Most countries use maps

• They use hard copies (that will change)

• Becoming more Digital

• Need A LOT of time before

• Geographic systems


178

2C2. Geographic classification

• With the mapping• Defined for Users and Legal requirements• Statistical requirements DO NOT EQUAL

legal requirements• Census management may disagree with

statistical management• Other Areas for outputs – electoral areas

postal areas, etc• Look for “best fit”


179

2C2. Geographic classification

a) Design criteria for enumeration area• Need to ensure complete coverage of

the country• Ability to manage field operations

effectively • Usefulness of the area for census output,

including dissemination by geographyb) Design criteria for Census Management

Areas


180

2C2ii. Ability to manage field operations effectively

Determination of EA boundaries

• Density of pop

• Type of terrain

• Method of enumeration

• Mode of enumerator transport

• Area boundaries

• Special enumerator procedures


181

2C2iii. Census data dissemination

• Small area data confidentiality

• Determine aggregation

• Postal areas

• Use of census outputs

• Compare across censuses

• EAs across censuses

• Concordances in hierarchy


182

2C3. Mapping technology

Types of technology:

a) Hand-drawn maps *

b) Map overlaps and technology assisted mapping *

c) Geographic Information Systems (GIS) *


183

2C3a. Hand-drawn maps

These are used when:1. No map exists for an area2. The available maps for an area are too

small a scale to provide sufficient detail3. The available maps for an area are

considered seriously out of date and inappropriate

4. During enumeration, map is so out of date that a hand-drawn one is essential


184

2C3b. Map overlays and technology assisted mapping

1. Satellite imagery

2. Aerial photography

3. Global Positioning System (GPS)


185

2C3c. Geographic Information Systems (GIS)

GIS is VERY expensiveIssues to be considered:a) Relevant technical skills are availableb) Computing infrastructure is availablec) Availability of maps or digital geographic datad) Determination of functions to be performed

within census agency vs those outsourcede) Cost of hardware, software, maintenance and

trainingf) Cost and time in updating base maps and

boundaries …


186

2C3c. Geographic Information Systems (GIS) – cont

Advantages and benefits of GIS:a) GIS requires a significant level of technical expertiseb) GIS requires higher level of computing infrastructure

than clerical basedc) Clerical can proceed with rudimentary mapsd) Decide which parts of GIS census agency will do and

which outsourcede) GIS may produce cheaper duplicate mapsf) Digital maps take up less spaceg) GIS gives better quality assurance for boundariesh) Census agency can have greater ability to perform

spatial queries against geographic data base in GIS


187

2C4. Undertaking the mapping program

• Mapping is the “most daunting, costly and technically demanding of all census activities”

• Within agency vs outsourcing

• Other govt agencies

• Working together – various staff within and outside


188

2C4. Undertaking the mapping program

Two basic types of mapping programs:

a) Census agency-based mapping program

• Agency vs outsourcing

• Other government agencies

• Work together

b) Contract/agreement based mapping program


189

2C4a. Census agency-based mapping program

Main activities:

1. Establishing a mapping unit

2. Developing a timetable *

3. Identifying the source of basic mapping and digital data *

4. Preparing the map base *


190

2C4a. Census agency-based mapping program

5. Designing the enumeration areas and field management boundaries *

6. Preparing the maps for enumeration *

7. Producing enumeration and dissemination maps

8. Developing other dissemination map products and services


191

2C4a. Agency-based mapping program

(i) Establish a mapping unit

(ii) Developing a time table *

(iii) Sourcing of basic mapping and digital geographic data

(1) Basic mapping data

(2) Digital geographic data

(iv) Preparation of base maps


192

2C4a. Agency-based mapping program - con

(v) Undertaking enumeration area and census management area design

(1) Enumeration area design(2) Census management area design(3) Quality assurance(vi) Preparation of enumeration and dissemination maps(1) Enumeration maps(2) Dissemination maps(vii) Map production(viii) Preparation of other dissemination products and

services


193

2C4a2. Agency-based mapping program – Developing a timetable

Timing for mapping program will depend on:

a. Maps from previous censuses

b. Extent of change considered for the mapping systems

c. Extent of change in the features depicted on the maps (including changes in the size and distribution of the population)


194

2C4a3. Agency-based mapping program –

Sourcing of basic mapping/digital geographic data # Need base maps

# Need source maps

Two types of data:

1. Basic mapping data *• Need permission to use• Types of maps (see

below)• Sufficient size• Remote sensing

2. Digital geographic data• Digital data need to be in form

of boundary, topographic, cultural features

• Must have standards• May have many data

items• Need common

specifications• Single format• Map features


195

2C4a3a. Agency-based mapping program – Basic mapping data

Agencies that might have maps:

a. Public utilities, such as power, water, telephone, gas services

b. Transport, defense, or the environment

c. Oil or other mineral exploration

d. Air, rail, or road transport

e. Automotive associations

f. Commercial cartographic firms and providers of aerial photographic services


196

2C4a3a. Agency-based mapping program – Basic mapping data

Types of maps these agencies might have:1. Small-scale reference maps for use in

the census agency to manage overall operations

2. Relatively large-scale topographic maps for use by enumerators

3. Maps of subregions or administrative areas above the village or equivalent, for supervisor use, showing villages, etc


197

2C4a3b. Agency-based mapping program – Digital geographic data

Issues with digital geographic data:1. The digital format being acceptable2. Transfer media acceptable, tape, CD3. Datum and projection4. Required level of detail5. Delivery units6. Table structure for each required feature type7. Data attributes required for each feature8. Symbol-ogy for each feature


198

2C4a4. Agency-based mapping program – Preparing base maps

Update base maps

Watch for scale and detail

Issues to consider:

1. Accurately named and presented roads and waterways

2. Administrative boundaries

3. Landmark features, such as schools, churches, post offices, parks, large buildings

Make sure they are accurate and readable!


199

2C4a5. Agency-based mapping program – EA design

a. Enumeration area design *

b. Census management area design

c. Quality assurance *


200

2C4a5. Agency-based mapping program – EA design

• Enumeration area design manual needed

• What should go into the manual *

• Use standard design manual

• Then do EA boundaries

• EA design will determine boundaries *

• Use previous censuses to help

• Sometimes lack information


201

2C4a5a. Agency-based mapping program – EA design

Enumeration area design manual should include:

1. Enumeration area design background2. Role of enumeration areas in

enumeration and dissemination3. Definition and explanation of higher area

admin and stat boundaries4. Cut-off date for accepting changes to

higher area boundaries


202

2C4a5a. Agency-based mapping program – EA design – cont

5. Procedures to delineate areas by urban and rural definition

6. Enumeration area design criteria, processing procedures and design rules

7. Procedures for assigning geographic IDs and allocating higher area codes

8. Roles and responsibilities of staff involved


203

2C4a5a. Agency-based mapping program – EA design – cont

EA design information should include:1. Legally published boundary changes in each

province or regional area2. Indicators of building activity3. Population data from previous census4. Intercensal population estimates5. Enumerator comments from the last census

field operation6. Field inspections7. Information from local or regional govts


204

2C4a5c. Agency-based mapping program – Quality Assurance

Quality assurance:

1. Enumeration area boundaries do not cross administrative or statistical boundaries

2. Enumeration area boundaries have been drawn correctly and completely

3. Design done according to enumeration area design criteria

4. Enumeration area list contains all data items and geographic codes for each area


205

2C4a6. Agency-based mapping program – Map preparation

Both enumeration & dissemination maps neededEnumeration maps, points to consider:a. Enumerators not expert map readers, so must be easyb. Poor lighting, especially at nightc. Avoid large maps needing folding/unfoldingd. Need to be able to have hand written commentse. Cost effective (large scale production)f. Boundaries must be clear and unambiguousg. Enumeration boundaries distinguishable from featuresh. Suitable for dissemination


206

2C4a7. Agency-based mapping program – Map production

• Different levels different scales

• Need at least one map for each EA

• Need maps for regional managers

• Takes a lot of time!


207

2C4b. Contract/agreement based mapping programs

• Contracting maps• Need details specifications• Two broad areas:(1) Mapping for field purpose(2) Mapping products for dissemination• Try to use same maps• Mapping for field purposes (se below)• Statistical agency must define boundaries• Dissemination mapping more difficult because outputs

with statistical information• Advanced mapping .. Part of overall outputs


208

2C4b. Contract/agreement based mapping programs – Field maps

(a) Acquire base map data(b) Create or obtain the statistical

boundaries and align them to the base map

(c) Provide a process for enumeration area designers to advise on changes to boundaries (and updates)

(d) Produce hard-copy maps as specified for field work


209

2D. Form design and testing

1. Introduction *

2. Form design *

3. Form testing *

4. Census tests *

5. Methods of testing *


210

2D1. Form Design and Testing -- Introduction

Purpose of questionnaire to capture the dataUse other countries’ experiencesFive different types of census questionnaire:1. Building, housing units and households2. Household and living conditions3. Collective institutions4. Establishments5. Agriculture


211

2D2. Form design

Issues:

a) Respondent burden – minimize

b) Format and question wording, affected by whether interviewer or self-enumeration used *

c) Layout and design of response areas *

d) Whether a combination of short and long forms is used


212

2D2b. Form design – question wording and format

Important to remember language diversity in designingIssues:a) Data needs of usersb) Level of accuracy and detail requiredc) Availability of the data from the respondentsd) Appropriate language that is easily understoode) Data item definitions, standard question wording and

other relevant informationf) Data processing system being usedg) Sequencing or order of questionsh) Space required for each answer


213

2D2c. Form design – layout and design

Three issues:1. Interviewer/respondent perception of the form• Layout affects results • Poor design will create obstacles2. Processing system requirements• Must think about capture components of

system• Remember to think about respondents• Imaging can help .. As can precodes3. Format of the census forms


214

2D3. Form testing

Principles of good form development:

a) Always evaluate the performance of a form before changes are made

b) If necessary, change the form to improve its performance

c) Always evaluate the form after changes are made to find out if its performance has improved


215

2D3. Form testing – cont

Ways of evaluation forms:a) An analysis of errors – what errors but not why

*b) Cognitive testing • watching respondents complete the form• VERY expensive but you can observe the

respondents• Must take care in analyzing itc) Analyzing the quality and level of detail given

in response to particular questions on the form – open ended questions


216

2D3a. Form testing – analysis of errors

Purposes of analysis of errors:

1. To find out what errors are occurring on a form

2. To provide a benchmark against which to judge the form’s performance

3. To provide information on which to base modifications of the form which lead to reduction in errors

4. To determine the costs of repairing the errors, both before and after re-design


217

2D3a. Form testing – analysis of errors

Kinds of errors:

1. Omission

2. Commission

3. Mistakes


218

2D3. Form testing – cont

Ways of evaluation forms:a) An analysis of errors – what errors but not why

*b) Cognitive testing • watching respondents complete the form• VERY expensive but you can observe the

respondents• Must take care in analyzing itc) Analyzing the quality and level of detail given

in response to particular questions on the form – open ended questions


219

2D4. Census tests

• Testing depends on diversity of the population

• Must be comprehensive

• First, test form design – this is always crucial

• Should always have final pilot, often called dress rehearsal


220

2D5. Methods of testing

• Need benchmarks in the testing

• Final test should approach reality as much as possible – same season, same conditions

• Make sure enough staff available for the testings


221

2E. Instruction manuals

1. Introduction

2. Enumerators’ handbook *

3. Supervisors’ handbook *

4. Regional managers’/deputy regional managers’ handbook *


222

2E. Instruction manuals -- Introduction

Types of instruction manuals:

(a) Enumerators

(b) Supervisors

(c) Regional Managers/Deputy Regional Managers

• Hierarchy is maintained – each higher level has to have what is below


223

2E2. Instruction manuals – Enumerators’ handbook

Chapters:

a) Timetable

b) Introduction *

c) Enumerator responsibilities *

d) Before training *

e) Training *

f) Pre-listing *

g) Delivery *

h) Collection *

i) Conducting interviews *

j) Review of completed materials and reviewing completed work *

k) Annexes *


224

2E2b. Enumerators’ handbook – Introduction

a) About the statistical agency

b) About the census

c) Census organization

d) How to use the handbook


225

2E2c. Enumerators’ handbook – Enumerator responsibilities

a) Enumerator dutiesb) Enumerator conductc) Identificationd) Safetye) Confidentialityf) Lost materialsg) Access to dwellingsh) Handing materialsi) Marking questionnairesj) Checking questionnaires


226

2E2d. Enumerators’ handbook – Before training

a) Collecting or receiving materials from supervisor

b) Reading enumerators’ handbookc) Completing home study exercised) Checking or updating mapse) Reviewing enumeration areaf) Planning enumeration route or pathg) Advice about managing time


227

2E2e. Enumerators’ handbook – Training

a) Preparation

b) Training session

c) On-the-job training

Enumeration – depends on circumstances


228

2E2f. Enumerators’ handbook – Pre-listing

a) Purpose

b) Preparation

c) Method to be used

d) How to complete pre-listing forms

e) Conducting the pre-listing exercise

f) Checking completed workloads


229

2E2g. Enumerators’ handbook – Delivery

a) Before approaching dwellingsb) Making contactc) Completing the record book and questionnaired) Large householdse) Special (non-private) dwellingsf) Refusals or objectionsg) No contact madeh) Unoccupied dwellings or vacant blocksi) Delivery checks


230

2E2h. Enumerators’ handbook – Collection

a) Before approaching dwellingsb) Making contactc) Checking questionnaires and completing the record

bookd) Special (non-private) dwellingse) Refusals or objectionsf) No contact madeg) Unoccupied dwellings or vacant blocksh) Creating dummy questionnaires or record entriesi) Collection checks


231

2E2i. Enumerators’ handbook – Conducting interviews

a) Introduction to the household questionnaire

b) Introduction to the individual questionnaire

c) Principles of interviewing

d) The art of asking questions

e) How to write in the questionnaire

f) Exploration of procedures

g) Births/deaths and so on


232

2E2j. Enumerators’ handbook – Review of work

a) Sorting and checking questionnaires

b) Completing summary records

c) Packing questionnaires and materials

d) Returning materials to supervisor

e) Certifying work completed

f) Administrative procedures


233

2E2k. Enumerators’ handbook – Annexes

a) Definitions or glossary

b) Census scope

c) Frequently asked questions

d) Additional mapping information

e) Explanation of census questions


234

2E3. Supervisors’ handbook

a) Timetable

b) Introduction *

c) Supervisor responsibilities *

d) Administration and recruitment *

e) Receipt of materials and workload review (pre-training) *

f) Supervisor training *

g) Training enumerators *

h) Pre-listing *

i) Delivery and collection (interviewing) *

j) After collection or interviewing *

k) Packing and returning materials *

l) Annexes *


235

2E3b. Supervisors’ handbook -- Introduction

a) About the statistical agency

b) About the census

c) Census organization

d) How to use the handbook


236

2E3c. Supervisors’ handbook – Supervisor responsibilities

a) Supervisor dutiesb) Supervisor conductc) Contact with regional manager/deputy regional managerd) Contact with enumeratorse) Role in telephone inquiry servicef) Identificationg) Safetyh) Confidentialityi) Lost materialsj) Access to buildingsk) Births/deaths and arrivals in the area at census timel) Handling materialsm) Marking and checking questionnairesn) Quality assurance tasks


237

2E3d. Supervisors’ handbook – Administration and recruitment

a) Issues relating to supervisor employment

b) Recruiting enumerators

c) Administration

d) Financial matters/expenses

e) Enumerator pay issues

f) Supervisor pay issues


238

2E3e. Supervisors’ handbook – Receiving materials & workload review

a) Receipt of materialsb) Allocating materials to enumeratorsc) Reading handbooksd) Review workloadse) Checking or updating maps and/or boundariesf) Completing enumerator training home study

exercisesg) Completing supervisor training home study

exerciseh) Advice about supervising enumerators


239

2E3f. Supervisors’ handbook – Supervisor training

a) Preparation

b) Training session

c) Additional training


240

2E3g. Supervisors’ handbook – Training enumerators

a) Preparation

b) Checking completed enumerator home study exercises

c) Training session

d) On-the-job training

e) Additional training


241

2E3h. Supervisors’ handbook – Pre-listing

a) Purposeb) Preparationc) Method and forms usedd) Checking staff preparatione) Accompanying staff in the fieldf) Special cases and problemsg) Checking completed listingh) Post-listing activitiesi) Writing progress reports


242

2E3i. Supervisors’ handbook – Delivery and collection

(interviewing)a) Supervising enumerators during delivery

(interviewing)

b) Access difficulties, objections and refusals

c) Special dwelling issues

d) Other special cases

e) Checking workloads before collection

f) Supervising enumerators during collection

g) Writing progress reports


243

2E3j. Supervisors’ handbook – After collection or interviewing

a) Receipt of materials from enumerators

b) Completing summary records

c) Evaluation information and supervisor’s report

d) Certifying enumerator’s work

e) Certifying supervisor work completed


244

2E3k. Supervisors’ handbook – Packing and returning materials

a) Sorting completed questionnaires

b) Sorting unused material

c) Packing material for return

d) Material delivery and pick-up arrangements

e) Completing administrative tasks


245

2E3l. Supervisors’ handbook – Annexes

a) Definitions or glossary

b) Special enumeration strategies

c) Frequently asked questions

d) Additional administration and recruitment information


246

2E4. Regional managers’ handbook

This handbook assumes the regional manager:

a) Will be provided with computer equipment (of some description)

b) Has a significant role in the recruitment and payment of staff

c) Has responsibility for financial delegations

d) Will have some involvement in public relations

e) Will undertake training of supervisors


247

2E4. Regional managers’ handbook

a) Introduction *b) Regional manager

responsibilities *c) Safety issues *d) Computer equipment *e) Computer application *f) Expenditure of

government funds *g) Mapping *h) Public communications

*

i) Special enumeration strategies *

j) Recruitment and administration *

k) Training *l) Census telephone

services *m) Special dwellings *n) Refusals or objections *o) Payment *p) Materials *


248

2E4a. Regional managers’ handbook -- Introduction

1. The statistical agency

2. Overview of the census of population and housing

3. Outline of the census operation

4. Structure of the census workforce

5. Support services


249

2E4b. Regional managers’ handbook – Regional manager

responsibilities1. Overview

2. Contact with statistical agency

3. Responsibilities

4. Ethics of census work and conduct of field staff

5. Security and confidentiality of census material

6. Lost materials

7. Access rights to dwellings

8. Contact with supervisors and enumerators


250

2E4c. Regional managers’ handbook -- Safety

1. Introduction

2. Regional manager safety

3. Enumerator and supervisor safety

4. Handling materials

5. Screen-based equipment

6. Accidents or illness


251

2E4d. Regnl managers’ handbook – Computer equipment

1. Introduction2. Equipment to be delivered3. Setting up4. Getting started5. Problem solving6. Backup and recovery7. Security of equipment and data8. Passwords9. Authorized use of equipment10. Packing and returning equipment


252

2E4e. Regnl managers’ handbook – Computer application

• Software/programs for tracking

• Software/programs for entry/verification

• Software/programs for editing

• Software/programs for tables and dissemination

• Software/programs for archiving and maintenance


253

2E4f. Regnl managers’ handbook – Expenditure of government funds

1. Authority and role

2. General conditions and limits in purchasing

3. Operating bank/trust/credit card accounts

4. Acquittal and accountability


254

2E4g. Regnl managers’ handbook – Mapping

1. Overview

2. Definitions

3. Statistical geography used in the census

4. Review of supervisor and enumerator workloads

5. Changing workloads


255

2E4h. Regnl managers’ handbook – Public communications

1. Overview and public communications strategy

2. Dealing with the media

3. Special public communication strategies

4. Local communications issues


256

2E4i. Regnl managers’ handbook – Special Enumeration Strategies

This section should describe any special enumeration strategies.

For example, there may be a specific strategy for very remote, isolated or near-city areas or for large holiday resorts.


257

2E4j. Regnl managers’ handbook – Recruitment and administration

1. Overview2. Record keeping and forms use3. Recruitment policies and guidelines4. Recruiting supervisors5. Recruiting enumerators6. Recruiting other field staff7. Appointing staff8. Employment forms (including taxation)9. Staff changes after recruitment10. Unsatisfactory staff11. Accident and/or incident reports12. Travel required for census work


258

2E4k. Regnl managers’ handbook – Training

1. Overview

2. Regional manager training

3. Training preparation and attendance

4. Supervisor training

5. Enumerator training

6. Other training


259

2E4l. Regnl managers’ handbook – Census telephone services

1. Overview

2. Description of operation

3. Regional manager role

4. Supervisor role

5. Enumerator role

6. Administration


260

2E4m. Regnl managers’ handbook – Special dwellings

1. Overview

2. Definitions

3. Enumeration strategy


5. Available information about special dwellings

6. Communication strategy and/or approach

7. Special training issues

8. Administration and forms used


261

2E4n. Regnl managers’ handbook – Refusals or objections

1. Overview

2. Definitions and policy


4. Supervisor role

5. Enumerator role

6. Specific training issues

7. Administration and forms used


262

2E4o. Regnl managers’ handbook – Payment

1. Overview


3. Timetable of payment activity

4. Policy and guidelines

5. Forms used

6. Rates of payment

7. Method of payment

8. Paying staff who are on other benefits

9. Supervisor payment

10.Enumerator payment

11.Payments to other staff

12.Payments for incomplete work

13.Unsatisfactory work

14.Claims for additional payment

15.Checking payments

16.Pay slips


263

2E4p. Regnl managers’ handbook – Materials

1. Overview2. Transport arrangements and/or contracts3. Timetable of transport activities4. Regional manager role5. Forms used6. Packaging of census materials7. Delivery of material to regional managers8. Bulk delivery to supervisors9. Delivery to enumerators and return to supervisor10. Bulk pick-up from supervisors11. Return of regional manager materials


264

2F. Printing of forms and other documents

1. Introduction

2. Planning and management of printing *

3. Types of forms *

4. Quality assurance *


265

2F1. Printing of forms and other documents – Introduction

• Printing is a MAJOR activity

• Each item needs printing requirements and follow-up

• Often done outside statistical office


266

2F2. Planning and management of printing

Information required:

• Details of the items that will need to be printed – forms, invoices, etc

• Specifications sufficiently detailed for printers to provide quotes AND logistical support staff to develop plans for printing

• Estimates of quantities of each item – reliable and no shortfalls


267

2F2. Planning and management of printing

Planning the printing process is about:a) Establishing the timetable for preparation

of manuscripts by relevant areas of the agency

b) Establishing key requirements and dates for the receipt of printing material (to feed into packing and distribution) *

c) Setting up processed to obtain information and quotations


268

2F2b. Planning and management of printing -- cost and quantity

sheetInfo on spreadsheet for

MIS:

a) Item name

b) Printed quantity

c) Initial quantity

d) Actual cost

e) Quoted cost

f) Estimated cost

g) Date ordered

h) Date delivered

i) Supplier


269

2F3. Planning and management of printing -- Types of items

a) Census forms, and post-enumeration forms *

b) Enumeration items *

c) Procedural and training items *

d) Administrative items *


270

2F3a. Planning and management of printing -- Census forms

The importance of the main census form is so great that it should be treated as a separate printing activity form the other groups.

What to think about in printing:• Quantity – crucial because of cost and

efficiency• Quality – crucial to quality of whole census,

standards for processing the data• Paper stock• Timing


271

2F3b. Planning and management of printing -- Enumerator items

Items used by enumerators:1. Information booklets that explain the taking of

the census2. Privacy envelopes3. Multilingual brochures to help communicate4. Calling cards for call-backs5. Non-contact cards6. Enumerator ID cards7. Objection/refusal forms


272

2F3c. Planning for printing -- Procedural and training items

1. Enumerators’ record book

2. Enumerators’ handbook or manual

3. Enumerators’ training exercises

4. Enumerators’ prompt care

5. Supervisors’ handbook6. Supervisors’ record

book7. Supervisors’ training

exercises

8. Instructions for training enumerators

9. Regional managers’ handbook

10.Regional managers’ control book and home study exercises

11.Special enumeration instructions

12. Inquiry service instructions


273

2F3d. Planning for printing -- Administrative items

1. Recruitment and/or appointment• Application form for enumerator position• Application form for supervisor position• Interview form• Offer of employment form2. Finance and/or taxation• Advice on payment• Taxation forms• Other financial forms


274

2F3d. Planning for printing -- Administrative items -- cont

3. Control forms• Record of attendance at training• Record of receipt of materials• Record of quality assurance on completed workloads• Record of return of materials4. Letters and/or notices• Approach letter to special dwellings• Letter to persons objecting or refusing5. Labels• For completed census material• For unused census material• For administrative material


275

2F4. Planning for printing -- Quality assurance

a) Checking of proofsb) Production runs• Sample for quality assurance• Sample at various stages of the printing

Checks to be made on forms:1. Horizontal and vertical trimming2. Positioning or skew of response areas on the actual

page3. Page numbering and correct order of pages4. Color, including any smudging5. Strength of any binding


276

What can go wrong with printing

Book gives example of unspecified African country with govt printer not prepared in time, causing:

• Enumeration work extended for some days in some areas

• Printing costs increased due to the overtime costs associated with the use of private printing presses

• Transport costs increased because vehicles sent from various provinces to collect printed questionnaires, in small batches, from the capital city


277

Day 3: Field Operations

A. Publicity *

B. Recruitment and remuneration *

C. Field staff training *

D. Distribution and return of materials *

E. Monitoring field operations *

F. Quality assurance for field operations *

G. Technology issues for field operations *


278

3A. Publicity

1. Introduction

2. Developing a publicity strategy *

3. Implementing a publicity strategy *

4. Publicity support services *

5. Budget

6. Evaluation


279

3A1. Introduction

• Publicity helps make the whole census work

• Allied with collection• Amount varies• Good publicity• Must account for interaction• Use professional communications people• Can be extension of regular publicity


280

3A2. Developing a publicity strategy

a) Background

b) Situation analysis *

c) Statement of objectives *

d) Defining target audiences *

e) Statement of messages *

f) Publicity strategies *


281

3A2b. Developing a publicity strategy: Situation analysis

• Government may or may not help• Get stakeholders’ ideas• Respondent public opinions• Changes in wording affect publicity needs• Groups that don’t approve of the census• Privacy• Views of own staff• Make sure community is ok with it


282

3A2b. Situation analysis: Important issues

• Privacy and confidentiality of information given• Whether information provided was actually put to good

use• Cost of the census• Potential use of census information for non-statistical or

other inappropriate purposes• Issues raised by lobby groups regarding the inclusion or

exclusion of specific topics• Requirement that name and address be on the form• Concerns about potential government intrusion into

private affairs• Where individuals can find additional information about

the census


283

3A2c. Statement of objectives should include:

• Organizing a recruitment campaign for field staff

• Getting interested groups involved in census planning and gaining their cooperation

• Organizing awareness campaign to: (1) maximize awareness of when census

occurring,(2) addressing issues needing clarification, (3) promote awareness of procedures and ways to

get assistance, and (4) encourage respondents to cooperate


284

3A2d. How to get target audiences

• The media• Opinion leaders and public figures endorsing census• Groups of influential people – religious leaders, teachers,

unions• Speakers of the national language• Speakers of other languages• Groups under-represented in previous censuses• Ethnic groups with special geographic, social,

communication or logistical disadvantages• Heads of households, if appropriate• Users of census data• Staff of the census agency


285

3A2e. Examples of external messages

• The census is for the good of all because it is the best way to plan for the future

• Filling is a patriotic duty of citizens• The census agency has a human face• Census enumerators will call at household at certain

times• Aide is available for those having difficulty• Privacy and confidentiality will be honored• The census date and enumeration period• Cooperation is mandatory• Penalties for enumerators and other staff who misuse

information


286

3A2f. Publicity strategies

• Recruiting temporary field staff through advertising• Staging of extensive media events to mark the beginning

of the census, and periodically through it• Building awareness through effective media advertising

and active media programs of info dissemination• Building support through third-party endorsements• Being proactive in public debates about the census• Developing specific campaigns for each target audience• Training census agency staff to act as media spokesmen• Developing lists of expected questions and standard

model answers• Monitoring public debate and media coverage


287

3A3. Implementing a publicity strategy

a) Census agency staff• Permanent staff• Field operations workforceb) General external audiences*c) Specific audience tactics (different ethnic

groups in community, people travelling within country on census day, overseas visitors, the homeless(!))

d) Schools


288

3A3b. Key tactics for general external audience

• Information booklet• Media advertising• Community service announcements (statements by

media staff, interesting stories about census, incorporating census into regular news)

• Provision of speakers to the media and the community• Posters and comic books• Developing a census logo and slogan• Influencing key member of target audience (politicians,

village heads, religious leaders, media commentators, senior bureaucrats, industry leaders)


289

3A3c. Implementing a publicity strategy – specific audience tactics• As noted above, Cultural backgrounds

important

• Groups in communities

• Travelers

• Recent arrivals

• Events for specific groups


290

3A4. Publicity Support Services

a) Internetb) Telephone inquiry service *c) Managing demand:• The information booklet should contain straightforward

and convincing answers for those worried about compulsory, confidentiality, privacy

• The information booklet should include standard responses to queries about common procedural matters

• These topics should be emphasized by enumerators


291

3A4b. Publicity support – Telephone inquiry service

• Getting it set up

• All languages

• Hotline field staff

• Less important if using the interview method

• Formal contracts to provide services


292

3A4b. Publicity support – Telephone Hotlines

Centralized Hotline:• Provides a higher probability of standard responses to

callers• Provides economies of scale to a potentially large

undertaking• Releases regional management staff from the burden of

hotline• Offers more efficient and effective training of operatorsDecentralized Hotline:• The network demand is spread over a greater number of

sites, reducing likelihood of localized system overload• Operators are more likely to be able to respond to issues

specific locality


293

3A4b. Publicity support – Telephone Hotlines

• Must test them

• Widely advertised

• Emergency calls to the agency

• Entire period of the census, including both data collection and processing


294

3A4b. Publicity support – Telephone Hotlines – staffing

• Make sure enough staff• Temporary employees• Standard answers to questions – training!!• For difficult calls – expert staff• Training for hotline operators:(1) Basic conditions of work and telephone

techniques(2) Census knowledge and specific inquiries• Hands on training


295

3A5. Publicity support – Budget

• Budget depends on resources

• Investment in good communication makes a better census


296

3A6. Publicity support – Evaluation

• Approach:(1) Have established objectives that you can

measure(2) Meaure media exposure(3) Meaure impact on intended audience• Coverage and broadcast time• Internal feedback within agency• Continuous evaluation and modification• Long-term view


297

3B. Recruitment and remuneration

1. Introduction

2. Recruitment *

3. Remuneration


298

3B1. Recruitment and remuneration -- Introduction

• Recruitment varies

• Capable employees

• Need quality

• Amount paid

• Use of existing staff


299

3B2. Recruitment and remuneration – recruitment

• Structure must be set

• Basis of enumeration makes a difference

• See below for criteria


300

3B2. Recruitmenta) Determining number of field staff *• Number of enumerators• Number of supervisors, regional managers and deputy regional

managers• Number of reserve staffb) Recruitment campaign *• Timetable of the campaign• Type of campaign• Publicity• Government regulationsc) Selecting staff *• Using standard application forms• Distributing selection criteria and other • Assessing the applications and shortlisting, if required• Conducting interviews


301

3B2a. Determining number of field staff

a) Determining number of field staff

• Number of enumerators

• Number of supervisors, regional managers and deputy regional managers

• Number of reserve staff


302

3B2a. Determining number of field staff – number of enumerators

One per EA except:• Single enumeration area that requires more than one

enumerator• Several enumeration areas that may be combined to

create a workload for a single enumerator• Population groups that require particular attention and

therefore additional or specialist enumerators• Special dwellings in enumeration areas that may require

a separate enumerator• Reserve staff who can be used as replacements for staff

not able to complete their duties


303

3B2a. Determining number of field staff – enumerator workload

What the workload should be:

• An existing standard for the country

• Duration of the enumeration period

• Realistic assessment based on: travel time to and from site, hours of daylight, standard working day, expected limitations of enumerator availability, margin for contingencies


304

3B2a. Determining number of field staff – number of supervisors

Standards for determining numbers:

• Any existing standard

• Amount of face-to-face time required with subordinates

• Travel time

• Estimated time required on tasks not related to supervision

• Amount of total time available


305

3B2a. Determining number of field staff – reserve staff

Why hired staff may not complete assignments:• Available better employment• Sickness• Staff dissatisfaction with the duties they are undertaking• Census agency termination for poor performanceWhen reserve staff should be implemented:• Use pool of reserve staff already trained – so train extras

and be prepared to train more• Staff moved to other areas• Staff promoted to higher levels


306

3B2b. Recruitment campaign

b) Recruitment campaign• Timetable of the campaign Employment commencement dates, which may differ

for different staff Capacity required to process large number of

applications at once Adoption of joint process – universal or selected parts Desiring to attract applicants of appropriate quality to

each level of management hierarchy• Type of campaign – see below• Publicity – see below• Government regulations


307

3B2b. Recruitment campaign – type of campaign

• Networks

• Relvant media to recruit

• Census advertising

• Which government agencies involved

• Community groups


308

3B2b. Recruitment campaign -- Publicity

• Determine what publicity is needed for recruitment

• Target the appropriate audience

• Determine where shortages (spatially and by task) and target those


309

3B2c. Selecting Staff

c) Selecting staff• Using standard application forms• Selection criteria Type of work Duties of position Dates showing the period of employment Amount of payment and expected payment dates Code of conduct expected of staff • Assessing the applications and shortlisting, if required• Conducting interviews


310

3B3. Renumeration

• Payment depends on work done

• Field supervisors should not have to worry about pay

• Efficient pay is important


311

3B3. Renumeration

(i) Basis of payment

(ii) Timetable

(iii) System design


312

3B3i. Renumeration – Basis of payment

• Should be simple

• Like Hours, Time per HH, or total time

• See possibilities below

• Note Option C!


313

3B3i – Basis of Payment – A. Record of hours worked

General application: For staff under direct supervision. This is not generally the case with field operation staff.

Advantages: Payment is only made for actual hours worked

Disadvantages: High supervision overhead


314

3B3i – Basis of Payment – B. Estimate of time per household

General application: For staff where the amount of work in the workload is not known until after the contract is completed

Advantages: Payment is made for every household enumerated. The budget can be calculated on the basis of number of units, together with growth factors.

Disadvantages: • Staff cannot be advised of the total remuneration before

completion of the contract. • Requires a greater degree of administrative effort to

process, which delays the date of final payment• Enumerators may be tempted to increase the number of

households in their workload.


315

3B3i – Basis of Payment – C. Estimate of time per workload

General application: For staff where the amount of work in the workload can be estimated.

Advantages: • Staff can be advised of the payment before

commencement of contract• Administratively simple: requires little information flow

from collection process• TimelyDisadvantages: • Relies on estimate of workload size being reasonably

accurate• Enumerators may not revisit households at which they

initially had no contact


316

3B3i – Basis of Payment – D. Fixed payment

General application: Usually in countries that use staff from other government agencies.

Advantages: • Staff can be advised of the payment before

commencement of contract• Administratively simple: requires little information

flow from collection process• TimelyDisadvantages: Provides no incentives to staff to

complete the workload


317

3B3i – Basis of Payment – E. Fixed payment, plus additional rate based

on the number of HHs above certain levelGeneral application: Usually in countries where the amount

of work cannot be easily estimated.Advantages: More homogeneity in the payment of

enumerators.Disadvantages:• Staff cannot be advised of the totoal renumeration before

completion of the contract• Requires a greater degree of administrative effort to

process, which delays the date of final payment• Enumerators may be tempted to increase the number of

households in their workload


318

3B3ii. Renumeration – Timetable

• Balance field needs against cost of processing

• Available money and staff to pay

• Do not pay before work is done

• Multiple payments

• Be realistic


319

3B3iii. Renumeration – System design

System could be clerical or electronic and include:(a) Present systems in place in the census agency(b) Delegation of administrative control of payment(c) Security: need to sure• No fraud• Funds accurately transferred to employees(d) Accountability(e) Reporting• Expenditures by pay – within budget• Future estimates of pay• Other internal reports(f) Government policy of outsourcing (but with cautions)(g) Links to other agencies


320

3C. Field staff training

1. Introduction *

2. Training programs *

3. Trainers (training hierarchy)

4. Developing training material

5. Training sessions *

6. Training regional managers

7. Training supervisors and enumerators *

8. Administration training

9. Health and safety training

10. Computer systems training


321

3C1. Field staff training – Generally Important elements

• The importance of their duties

• How their efforts fit into the overall census goals

• Issues such as confidentiality

• The way they are expected to undertake these duties


322

3C1. Field staff training – Introduction

• General training (above)

• Must have sufficient traiong

• Positive relation between field staff and census

• For short and long forms – split training

• Field operations staff

• Others: Government officials, village heads, etc


323

3C2. Field staff training – Training programs

• Related to what must be done!

• Some New staff, some already on board

• Workshops for continuing workers

• Duration of workshops (see below)

• Close as possible to when training will be applied

• For Senior staff: how pieces will fit together


324

3C2. Field staff training – Duration and Content

Things to take into account during training:• The nature of the staff who have been

engaged• Their experience in census-related

activities• The degree of change in processes since

the previous census• The amount of time and other resources

available


325

3C3. Field staff training – Trainers

• Cascade principle – each level trains next

• Each layer adds

• Master trainers – Geographic areas

• Specialists staff – could be temporary employees


326

3C4. Field staff training – Developing Training material

• Agency developed materials

• High quality products

• Use of video

• For various languages: think about terms


327

3C5. Field staff training – Training Sessions

What the trainer must do:• Set the goals of the session for each group• Plan the session using the guide, goals, and

materials• Prepare any additional materials required• Practice the session, testing all visual and

technical aids• Ensure the venue is set and seating is arranged

in an appropriate manner


328

3C5. Field staff training – Training Sessions

Techniques for success in training:• Knowing the subject matter• Following the standard training guides to ensure

consistency in training• Encourage training participation• Conducting practical exercises, including role playing

and mock interviews• Looking for and overcoming signs of fatigue and

boredom• Sticking to the main issues and not getting bogged down

with other ones• Dealing separately with persons within the group who

need special attention


329

3C5. Field staff training – Training Regional Managers

• Training phases(a) First, soon after hiring, general(b) Second, just before enumeration, specifics• Models for training• Training in place• Class size• 1st phase: initial tasks• 2nd phase: actual enumeration• How to train, including modules


330

3C7. Training Supervisors and Enumerators

a) Home study exercises *

b) Classroom training exercises *

c) On-the-job training


331

3C7. Training Supervisors and Enumerators – Home study

• Familiarize before hand

• Exercises – training the trainers

• Deliver materials well before needed

• Questions during training

• Trainers still must have the answers


332

3C7a. Training Supervisors and Enumerators – Home study

Topics in home study for enumerators and supervisors:• Rationale for the census and its use• Confidentiality• Supervisors and enumerators roles• Receiving, checking, and accounting for material• Coverage• Definitions for topics and items• Sequence guides• Procedures at the doorstep• Procedures for the interview• How to handle difficult respondents• Checking and editing completed materials


333

3C7a. Training Supervisors and Enumerators – Home study

Additional home study topics for supervisors:• Materials checking procedures• What to watch for in observed interviews, and

recording of information• Managing poor performing interviewers• Quality assurance checks• Editing• Materials collection


334

3C7. Training – Classroom training sessions

• Classroom time will vary

• Models available


335

3C7b. Training Supervisors and Enumerators – Classroom

Classroom topics:• Welcome and introduction to the census• Confidentiality• Enumerator role• Occupational health and safety• Administrative issues• Definitions, mapping, and other concepts• Special enumeration strategies• Duties of enumerators and procedures to be employed

(a) before contact with HHS and (b) during contact• Quality assurance of completed forms• Preparation of forms for transport to supervisor


336

3C8-10. Administrative, health & safety, & computer systems training

Administrative training• Follow employment guidelines• Administration should not distract from real workHealth and safety training• Health and safety in general• Health and safety in trainingComputer systems training – including Internet!• Training and computers• Use of reporting and questions• Provide online references


337

3D. Distribution and return of materials

1. Introduction *2. Inputs *3. Material *4. Specifications5. Estimating quantities *6. Packing *7. Census agency management role8. Mail-out/mail-back census *


338

3D1. Distribution and return of materials -- Introduction

Distribution and return of materials is the term used to cover tasks associated with materials that are:

1) Supplied to a packing center

2) Distributed to field staff

3) Picked up from field staff

4) Returned to data processing centers


339

3D1. Distribution and return of materials -- Introduction

The tasks include:1) Receipt of material from manufacturers and other

external suppliers2) Bulk storage during the packing operation3) Packing4) Consignment preparation and delivery to enumeration

staff5) Bulk transport outward6) Pick-up from enumeration staff7) Bulk transport inward to processing centers8) Close-down operations


340

3D2. Distribution and return of materials -- Inputs

Key inputs to the dispatch and return of materials:

1) Workload estimates from the mapping program to establish packing volumes for transport requirements

2) Name and address details from the recruitment activities to establish details on delivery and pick-up points


341

3D3. Distribution and return of materials -- Material

a) Enumerator material (large volume, few elements; packed centrally then transport & arranged; pick up from enumerators)

b) Supervisor material (pack & transport; central to out regions; out to central)

c) Regional manager and/or deputy regional manager material

d) Other material


342

3D4. Distribution and return of materials -- Specifications

• Specifications and transport

• Planning important

• Costs

• Commercial vs government delivery


343

3D5. Distribution and return of materials – Estimating Quantities

• Estimates for printing, etc., contingency• What enumerators need• Amount of work to be done• Spare census forms provided• Calculated from mapping• Calling cards, etc, must be provided• Spreadsheet for estimates• Spreadsheet for tracking


344


Factors:

a) Number of enumeration areas

b) Number of enumerators

c) Number of supervisors

d) Number of regional managers


345


Items:1. Item2. Number per enumeration area3. Total required for enumeration areas ((a)*2)4. Number per enumerator5. Total required for enumerators ((b) * 4)6. Number per supervisor7. Total required for supervisors ((c) * 6)8. Number per regional manager 9. Total required for regional manager ((d) * 8)10. Subtotal required (3 + 5+7+9)11. Reserve factor (10 * percent) where percent is judged on an item-

by-item basis12. Total requirement (10 + 11)


346

3D6. Distribution and return of materials – Packing

• Cardboard boxes• Bundle forms• Must be sealable• Price per box• Used for storage, too• Two methods:(a) Bulk supply(b) Pre-packing


347

3D6a. Distribution and return of materials – Bulk Supply

Reliance on supervisors to count and repack the material

Reliance on suitable packing by the original printer or supplier

Larger number of different shaped and sized boxes (non standard)

Low likelihood of materials being clearly labeled as census material


348

3D6b. Distribution and return of materials – Pre-packing

Pre-packed CENTRALLY Content of packages determined

somewhat in advance May be several pack types – must

consider this Could be variation in pack types


349

3D7. Distribution and return of materials – census agency management role

• Should be liaison and monitoring

• Meet frequently with contractors

• Monitor delivery and return of materials


350

3D8. Distribution and return of materials – mail out-mail back

Issues:• A complete and accurate list of addresses for the

entire country – may not be comprehensive• The postal service infrastructure throughout the entire

country – some regions unsuitable – may need combination of delivery options

• Cost – Issues to consider in mail-back:• Form size• Weight• Cost per unit• Confidentiality and security of census forms

Where forms are mailed …Bar codes …Follow up for low response rates …


351

3E. Monitoring field operations

1. Introduction

2. Planning a management information system *

3. How to collect management information (electronically via email, postal service, return of questionnaires)

4. Where to start

5. What to collect *


352

3E1. Monitoring field operations -- Introduction

• Management Information Systems (MIS)

• May take time to develop

• Small amount of good information a lot of zeros might occur

• Computers


353

3E2. Monitoring field operations – Planning the MIS

Stages in planning MIS for field:• List all potentially useful items of info, including

Number of applications received, etc• Consider how and when each item may be

collected• Consider how each item will be used and by

whom• Review the value and usefulness of each item• Incorporate final list into relevant work plan


354

3E2. Monitoring field operations – Planning the MIS

Types of information collected:• Date or dates that particular activities are started

or completed• Piece rates of amounts, such as number of

dwellings interviewed• Volume, such as percentage of enumeration

completed• Status, such as incomplete, started or finished• Type (and number) of calls to the telephone

inquiry line


355

3E3. Monitoring field operations – How to collect management information

• Communication infrastructure

(a) Electronically (e-mail, fax, phone, internet)

(b) Postal service

(c) With return of bulk census material

• Relative urgency

• Methods of communication


356

3E4. Monitoring field operations – Where to start

• Not isolated integrated

• Start with questions

• Think of “What if” questions


357

3E5. What to collect

a) Budget

b) Mapping and household listing

c) Logistics

d) Recruitment

e) Training

f) Operations

g) Public relations and inquiry services


358

3F. Quality assurance for field operations

1. Introduction

2. Role of supervisors

3. Observing interviews *

4. Checking households already enumerated *

5. Checking coverage of the enumeration area

6. Checking completed census forms *


359

3F2. Quality assurance for field operations – Role of Supervisors

• Use quantitative measures• During the census after the census• Training• Know guidebook for supervisors• Help enumerators as needed• Retraining• Supervising• Positive relationships with enumerators


360


Role of Supervisor:(a) Provide retraining of enumerators who require it

following their initial training course(b) Enhance the enumerators performance through

practical advise(c) Provide support and encouragement(d) Provide contact, open communication and

feedback(e) Perform quality assurance on enumerators’ work(f) Ensure recommended improvements are

implemented


361


Responsibilities of supervisor:(a) Ascertain that the enumerator has checked the

maps and household list before starting(b) Observe introductions to sample of HHers(c) Observe completion of sample of forms(d) Observe sample of enumerator’s editing work(e) Check sample of dwellings to make sure

enumerators actually went there(f) Report to managers on progress of quality

assurance checks


362

3F3. Quality assurance in field operations – Observing interviews

a) Preparation *

b) Interviewing technique

c) Scope and coverage

d) Completing census form

e) Completing the observed interview report

f) Observing interviews during tests


363

3F3a. Observing interviews -- Preparation

• Complete training of all interviewers• Make arrangements with each interviewer for a

mutually agreeable meeting time and place• Ensure that there is sufficient time between

appointments, esp in rural areas• Ensure that they have a full kit of required forms,

incl census forms and observer reports• Ensure that they have the required handbooks


364

3F3a. Observing interviews – Managing the work

To make sure enumerators are managing their work, supervisors should:

(a) Meet with enumerators at appointed times

(b) Make sure enumerators have correct equipment and forms

(c) Make sure materials are organized(d) Make sure enumerators are managing

completed forms


365

3F3b. Observing interviews – Interviewing techniques

(a) Make sure to identify and interview household head (unless each person)

(b) Apply customs and etiquette expected(c) Explain the census & how long it will take(d) Tactfully keep the respondent to the point(e) Pace interview to allow respondent time for thought

without wasting time(f) Assess the situation of the household from the door(g) Be flexible enough to come back at a later time(h) Maintain a friendly yet positive and professional

manner(i) Be prepared, informed, and keep to the point


366

3F3d. Observing interviews – Completing Census Form

Checking enumerator question wording:• Identification and recording any errors• Recording the initial asking of any questions• Recording of the response to any questionStrive for consistency Use own form while enumeratingScale for scoring each question:• Exactly as worded• Reworded, meaning the same• Reworded, meaning different• Not asked, response inferred[PROBE, CLARIFY, CHANGE THINGS]


367

3F4. Quality assurance in field operations – Checking HH enumerated

Supervisors need to:• Introduce themselves and the census• Explain the purpose of the visit is to conduct

quality assurance• Establish who spoke to the enumerator and

speak to that person• Ask “Was the interview completed to your

satisfaction?”• Ask “Do you have any questions about the

census?”• Thank the respondent for their cooperation


368

3F5. Quality assurance in field operations – Checking coverage of enumeration area

• Coverage

• Maps


369

3F6. Quality assurance in field operations – Checking complete forms

• All fields to be completed by enumerator have been completed correctly

• All census forms are accounted for

• Census forms have been fully completed

• Summary information completed correctly


370

3G. Technology issues for field operations

1. Introduction

2. Types of technology

• Telephone

• Facsimile (Fax)

• Computers

• The Internet


371

3G1. Technology issues for field operations – Introduction

• Why sophisticated technology is a problem:

(a) Disperse nature of the operation over the entire country

(b) Cost

(c) Lack of suitable infrastructure

(d) Majority of field staff being temporary employees who only work for short period

• Telephones, faxes, internet, messenger


372

3G1. Technology issues for field operations – Introduction

• Objectives of technology in field operations:(a) Improve efficiency of enumeration through

communication between office and field(b) Improve accuracy and quality of admin and

Operational information recorded• Field operations: (1) recruitment (2) Enumeration• Consistent technology• Internet (not two systems)• What is transmitted


373

Day 4: Data Processing

A. Processing strategies *

B. Location of processing centers *

C. Establishing the workforce structure and recruiting staff *

D. Processing operations *

E. Quality assurance for processing *

F. Technology issues for processing *


374

4A. Processing strategies

1. Introduction

• Determine processing strategies early on

• Allow sufficient time for testing

2. Processing system *


375

4A2. Processing system

a) Strategic directions for the census program – timeliness, cost-effectiveness; hardware and software

b) Technology infrastructure currently establishedc) Level of technical support available• Offsite• Onsited) Level of information technology expertise

present in the census agency – training onsite and offsite


376

4A2. Processing system - cont

e) Technology used in previous censuses

• Evaluate• Re-test continuing

systems• Sometimes noew things

not cost effectivef) Establishing the viability

of the new technology• Test viability of various

technologies

• Use small tests then larger ones

• Do Final test in census-like conditions

g) Outsourcing• Specialist expertise not

available within agency• Specialized equipment,

like scanners• Watch contractingh) Cost-benefit *


377

4A2h. Cost benefits

Costs include:

• Capital cost of hardware, including spare parts

• Software license and development costs

• Vendor support costs

• Training costs

• Salary costs for number of processors needed


378

4A2h. Cost benefits - cont

Benefits include:

• Time needed to process the forms

• Quality of the data produced

BUT we have risks:


379

4A2h … Risks

• Identify the risk• Quantify the probability of each specific risk• Quantify the impact of the consequences of

each risk• Identify the risk mitigation strategy of each risk• Cost the risk mitigation strategies of each risk• Quantify the probability of each risk after the risk

mitigation strategy is in place• Quantify the impact of the consequences of

each risk after mitigation strategy is in place


380

4B. Location of processing centers

1. Introduction – think about

• Number of locations (centralized vs decentralized)

• Suitability of premises

2. Number of locations *

3. Selecting suitable premises *


381

4B2. Number of locations

a) Availability of skilled workforceb) Availability of support servicesc) Coordination of processing activitiesd) Qualitye) Geographic location for delivery of formsf) Dispersing infrastructure and skills

throughout the countryg) Costs


382

4B3. Selecting suitable premises

a) Security

b) Access to transportation

c) Building layout


383

4B3a. Selecting suitable premises -- security

• “The security of the census forms is necessary owing to the confidential nature of the information on the forms and the assurance given to the public about protecting their personal information”

• Building has to be secure• Cannot share with any other agency• Both electronic and physical security

needed


384

4B3c. Selecting suitable premises – Building layout

• Need both office space and large storage area

• Need efficient flow of forms, so building has to have this

• Storage must be adequate and safe

• Occupational health and safety issues


385

4C. Establishing the workforce structure and recruiting staff

1. Introduction – get best staff within time and budget contraints

2. Establishing the workforce structure *3. Establishing staff numbers *4. Recruiting managers – organized chaos5. Recruiting supervisors and processors *6. Recruiting other specialist staff7. Timing of recruitment campaign8. Contingency planning9. Remuneration – Set wage rates OR piecemeal


386

4C2. Establishing workforce structure

• Need to establish processing workforce structure beforehand

• If decentralized, this has to be taken into account• Director must report to Census director• Managers can be distributed• Need one for operations and one for quality control – not

same person• Director will have to mediate sometimes• Then, lower level section heads• Consider ratios of workers to managers• Things to consider (see below)


387

4C2. Establishing workforce structure

Must develop hierarchy in workplace. Supervisors must:a) Conduct day-to-day supervision of a team of

processorsb) Prioritize, coordinate and monitor the work flowc) Maintain an effective team environmentd) Conduct on-the-job traininge) Ensure that all procedures are being followedf) Provide performance feedback to processorsg) Report to management on issues affecting data quality h) Co-ordinate with the storage room


388

4C2. Workforce - cont

Group leaders should:

a) Provide performance and daily production reports to the supervisor

b) Assist processors with technical issues

c) Provide processors with all needed materials and questionnaires

d) Check-in and checkout of questionnaires with the storage room


389

4C3. Estimating staff numbers

a) Estimate total units (persons and EAs) to be processed

b) Estimate total units to be processed for particular items

c) Average production rates (units processed per hour) per processor

d) Average processing hours per shift per processor

e) Number of shifts per day


390

4C3. Estimating staff numbers - cont

f) An allowance for public holidays and staff taking leave

g) Estimated staff turnover *

h) Building capacity

i) Length of time for processing• This can be constant or variable• Very important to watch that processing stays

on track• Staff may have to vary


391

4C3 – Booming economy and/or high turnover results in:

• Loss of best quality staff first• Additional recruitment costs and delays• Additional training costs for replacement staff• Learning curves for new staff, reducing

production rates and quality of work overall• Management focus on training rather than on

production• Possible greater use of leave credits• Increased risk of industrial disharmony


392

4C4. Recruiting managers

• Managers need be recruited carefully• Some from the main office must be there, too• Will be organized chaos!• Environment differs from main office• Remember, mainly temporary workforce• Don’t assume main office workers know how to

manage• Must know processing center principles• Balance between technical and managerial


393

4C5. Recruiting supervisors and processors

a) Agencies conducting their own recruitment campaign, Issues:

• Bulk recruitment is not a core function of the agency

• Timing of the task not ideal• Economic situationb) Using other specialist govt employment

agenciesc) Outsourcing to private sector recruiting


394

4C5. Processor recruitment criteria

• Aptitude for the repetitive clerical tasks to be performed

• Accuracy in performing this type of work

• Comprehension of written material

• Speed in performing tasks, without loss of accuracy


395

4C7. Timing of recruitment campaign

• Recruit as close to start of processing as possible

• Positions should be filled top-down

• Large centers may need to process intake


396

4C9. Renumeration

• Pay should be market rate• Either:(1) Set wage rates regardless of the output

produced by the individual(2) Payment based on the number of units

processed (piecemeal rates)• Set rates give less administrate overhead & no

production line mentality• Payment by unit provides for work actually

done


397

4D. Processing operations

1. Introduction – need quality staff and quality hierarchy

2. Data-processing cycle *

3. Controlling work flows *

4. Management information system *


398

4D2. Data processing cycle

• Cycle depends on technology used• Each process affects the next onea) Quality assurance and editsb) Receipt and registrationc) Preliminary checkingd) Codinge) Data capture – keying, OMR, OCR, Internetf) Balancingg) Validation


399

4D3. Controlling work flows

(a) Movement of forms

(b) Status of data


400

4D3a. Controlling work flows -- Movement of forms

Movement of forms in processing must be efficient but also controlled – need flow control system

• Legal and illegal movements

• Flow backward as well as forward

• Timely management info about the flow


401

4D3b. Controlling work flows – Status of data

Control of electronic data• Edits that check for inter- and intra-record

consistencies• Derivations of data items (Recodes)• Imputations for missing data items• Imputations for number of persons in HHs

where form is missing• Quality assurance points• Aggregations and transformation of files for

final releaseReports on the flow of each workload (see below)


402

4D3b. Controlling work flows – reporting needs

• Rules that specify when the next automated stage can begin – recodes cannot start before regular edit

• Flexibility to allow the stage of a data file to be reset if reprocessing is required for an EA, household, or topic

• Provision for timely management info about the stages of the files


403

4D4. Management information system – Key requirements

MIS is extremely important in processingCan be very costly and complex (CENTRACK)General requirements:• Allow access to all relevant management information,

levels, etc.• Ensure that MIS info is timely and detailed as needed,

while maintaining integrity and accuracy of data• Forecast and report on outcome of (1) crisis resolution when alternatives and (2) highlight potential problems• Ensure info collected in a census can be used in futureMUST Monitor .. See below


404

4D4. Management information system – Activities

(a) What to collect• Production rates• Flow control• Staffing• Quality assurance (error rates)• Automatic edits(b) What to report – production(c) Feedback to staff


405

4E. Quality assurance for processing

1. Introduction *

2. Total quality management philosophy *

3. Quality management framework *

4. Quality management system *

5. Quality assurance points *

6. Continuous quality improvement *

7. Validation *


406

4E1. Quality assurance for processing -- Introduction

• Multidimensional

• Accuracy

• Budget

• Timeliness and relevance

• May have to improve one at the expense of another


407

4E2. Quality assurance for processing – Total quality management philosophy

• Managers responsible• Staff must buy in – quality management• Most problems the process of the processing• Geographic differences are important – some

geographic areas do better than others• Staff must understand the philosophy• Staff observations must then be considered• Feedback is paramount• Have to create a culture• Most problems are result of deficiencies


408

4E3. Quality assurance for processing – Quality management

frameworkFor highest possible data quality:

a) Quality management system

b) Quality assurance points for each process

c) Continuous quality improvement processes

d) Validation of data


409

4E4. Quality assurance for processing – Quality management

system

a) Units of work selected

b) Method of operation

c) Rejected units of work


410

4E4a. Quality management system – units of work selected

• Need to sample work done

• Need to be able to sample at any stage

• Rules (see below)


411

4E4a. Quality management system – units of work selected

a) Sampling rates should be relatively high at the beginning of the process, gradually tapering off to an ongoing monitoring rate

b) At a minimum, all processors should have their first workload sampled

c) More proficient operators should be subject to a lower sampling rate

d) All processors should have some of their work sampled over the complete life cycle


412

4E4a. Quality management system -- cont

e) Sampling rates may be increased towards the end do quality does not suffer as they finish

f) Complex processes (e.g., coding occupation and industry) should be sampled at a higher rate

g) Initial sampling units should be based on operational efficiency


413

4E4b. Quality management system – Method of operation

• Will depend on the process

• Second processor should check sample of work of first

• Quality management – supervisor checks sample of work [not outsider]

• Provide feedback that is clear and concise


414

4E4c. Quality management system – rejected units of work

• Rejected work usually not reprocessed

• Not enough time to redo

• More a matter of correcting for the rest of it

• But if severe problems – then redo


415

4E5. Quality management system – Quality assurance points

Points based on:a) Registration process. Every enumeration area and

each form associated with that area is receivedb) Balancing. Data have been captured for every

household in an EA and every person in those households

c) Coding. Coding results for each topic in each EA are of minimum accepted standard

d) Edits. Checks and necessary data transformations have been made to ensure consistency of data items, e.g., fertility only for females

NOTE: Role of tolerances


416

4E5. Quality management system – Quality assurance points

• Quality assurance points to target problems

• Define what discrepancy rates are acceptable

• Quality assurance points focus on each process achieving the best possible output rather than relying on later processes to correct data

• Continuous checking

• Tolerances

• Not mandatory, but help advise


417

4E6. Quality management system – Continuous quality improvement

Implemented:a) By using teams of processing staff to

identify and resolve quality problemsb) By using quantitative measures of

quality, based on discrepancies in the output of the process

c) By giving priority to identifying and addressing the root causes of these discrepancies


418


Four step cycle:1. Measure quality – detail discrepancy rate and

provide information2. Identify the most important quality problems• Find most frequent problems • Use level of discrepancy to decide what to do

next3. Identify the root causes of these important

quality problems4. Implement corrective action and return to step

1


419


Step 3. Identify the root causes of these important quality problems:

1. Case reporting forms2. Adjudication feedback reports – lets processors know

when they are not following rules and helps correct3. Quality improvement teams• Teams work together• Focus on formal mechanism for all staff to contribute to

process• Function: identifying root causes of problems• Discussions AND record of discussions


420


Step 4. Implement action & return to Step 1

Types of corrective action:

a) Change the procedures

b) Change the processing system

c) Retrain or add training

d) Reminders about particular procedures sent to the staff

e) Changes to coding indexes in processes where they are used


421

4E7. Quality management system – Validation

• Identify system problems and ensure data quality for final output

• Validation: ensures that significant errors can be corrected in final file

• Validation should not be the last process

• Should be included in any tests


422

4E7. Quality management system – Validation

a) Defining the data items (note previous census items) b) Define the methodc) Aggregating the datad) Comparison with other data and inter-censal change

(compare with surveys, changing items like new occupations)

e) Regional office participation• Seeking advice from regional offices before processing

for anything new or unusual• Determining if the level of growth or decline of pop/HH

is in line with expected


423

4F. Technology issues for processing

1. Introduction2. Processing platforms3. Data-capture methods *4. Coding *5. Editing *6. Imputation7. Data management *8. Communications


424

4F1. Technology issues for processing – Introduction

• Computers

• First used for 1950 US Census

• Scanning now used more and more


425

4F2. Technology issues for processing – Processing platforms

• Originally main frame computers

• Personal Computers (PCs) more and more available

• Laptops

• These provide greater flexibility and user-friendly systems


426

4F3. Technology issues for processing – Data capture methodsa) Key entry

b) Optical mark recognition *

c) Digital imaging

d) Intelligent character recognition (ICR) *

e) Electronic lodgment of forms (the Internet) *

f) PDA


427

4F3b. Technology issues for processing – Optical mark

recognitionAdvantages:

1. The capture of tick-box responses is much faster than key entry

2. Equipment is reasonably inexpensive

3. It is relatively simple to install and run

4. It is a well-established technology


428

4F3b. Technology issues for processing – Optical mark

recognitionDisadvantages:

1. Precision required in the printing process

2. Restrictions on the type of paper and ink

3. Precision required in cutting sheets

4. Restrictions on form design

5. Requirements that response boxes be correctly marked with appropriate pen

6. Significant additional costs for 1,2, & 3 above


429

4F3d. Technology issues for processing – Intelligent character

recognition1. Scanning

2. Recognition

3. Automated repair and validation

4. Operator repair

5. Advantages of ICR *

6. Disadvantages of ICR *

7. Risk management *


430

4F3d. Technology issues for processing – ICR advantages

1. Savings in salaries – reduced number of staff to code responses

2. Additional savings – electronic images rather than physical forms

3. Reduction in staff causes others cost savings4. Automatic coding improves data quality5. Processing time reduced due to automation6. Form design not as stringent as OMR7. Corrections for paper skew more sophisticated8. Some systems do not need special colors


431

4F3d. Technology issues for processing – ICR disadvantages

1. Higher costs of equipment2. Character substitution3. Tuning of recognition can be difficult4. Hand written responses must be legible5. Network design and capabilities crucial6. Expected savings might be hampered by low

automatic coding rates7. Systematic errors may occur in the automatic process

affecting quality8. Suitable character sets may not exist in some

countries9. Storing may raise privacy concerns


432

4F3d. Technology issues for processing – ICR risk management1. Reducing ICR response areas2. Limiting effect of character substitution in items

like age by repair operators constant checking or OMR for these items

3. Using lists of common responses in the “other” category

4. Additional items on Quest for cross-checking5. Results of some items verified by keying6. Image quality checking7. Manual sampling of all processes


433

4F3e. Technology issues for processing – Internet forms

Problems:1. Respondents must have computer and

internet2. Management of respondents3. Security concerns regarding transfer of

data4. Need to build parallel processing

systems since not all forms will be through the internet


434

4F4. Technology Issues -- Coding

• Coding systems can be clerical, computer assisted or automated or some combination

• Simple matching – like birthplace

• Structured coding – like occupation

• Bounded coding – some sort of hierarchy

• Quality of indexes obviously important


435

4F4. Technology Issues -- Coding

a) Clerical

b) Computer-assisted coding

c) Automatic coding


436

4F4b. Technology Issues – Computer assisted coding

• Method involves processors using computerized systems to assist

• Advantage: more coding rules

• Structured coding reduces number of matches, so easier

• More efficient that clerks alone


437

4F4c. Technology Issues – Automated coding

• Use a variety of algorihms to help

• High match rates

• Cannot code all responses automatically

• Will need super-coders or supervisors

• Update lists


438

4F5. Technology Issues -- Editing

• Editing system must be rigorously tested• The more complex the system, the more

difficult and expensive to implement• Types of editing (see below)• Minimalist approach is best• Otherwise, majority rule• Important: Overambitious and complex

editing systems fo not necessarily add value to the final product


439

4F5. Technology Issues -- Editing

Good editing system:a) Minimalist (i.e., only change obvious mistakes

clearly out of range)b) Automated (clerical editing is inefficient and

costly and only provides marginal improvement)

c) Systematicd) Compliant with procedures used in other

statistical collections carried out by the agencye) Compliant with UN or ILO or other standards


440

4F5. Technology Issues -- Imputation

• Computers allow complex imputation systems

• Look-up tables are lower level imputation

• Hot-deck imputation

• Can make very complex hot decks – difficult to check out

• [Book says use hot-deck only rarely – but this is not a good idea these days]


441

4F7. Technology Issues -- Data management

a) Data storage• Maintain copies at each stage of processing• Maintain metadata on all processingb) Data back-up• Develop and maintain a data back-up storage

system• Recovery strategyc) Data security• Unit record data produced during processing must

be subject to same strict security as physical forms• Computer viruses!


442

4F8. Technology Issues -- Communication

• Effective and efficient communication needed

• Use of electronic media – email, messenger, website

• Transfer of data between sites – confidentiality

• Physical transfer of data


443

Day 5: Census Products and Evaluation

A. Broad dissemination strategy *

B. User consultation process *

C. Product development *

D. Marketing strategy *

E. Sales strategy *

F. Evaluation (Section 6) *


444

5A. Broad dissemination strategy

1. Introduction *

2. Wholesale versus retail approach to dissemination

3. Pricing of census products

4. Timeliness of release compared to accuracy

5. Stages of data release

6. General or customized releases

7. Integration of census results with other products


445

5A1. Broad dissemination strategy -- Introduction

Why some countries don’t have good dissemination:a) A policy decision by the census agency to use the

skills of external entities to add value to a suite of basic tables produced

b) Lack of suitably skilled staff within the user community to use advanced and/or complex output products

c) Lack of financial resources to fund the development of complex products within the census agency or for users to purchase them

d) Lack of proper use of consultants


446

5A2. Wholesale versus retail approach to dissemination

• Standard tabs vs selected tabs

• Wholesale approach

• Will still have requests

• Retail approach: limitations

• Costs – retail is much higher (developers of more complex products, sales and marketing experts, client support staff)

• Decide early


447

5A3. Pricing of census products

• Charge for everything

• Free, using general taxation system

• Issues:(a) Need for mechanism to ration demand for services of

census agency

(b) Encouraging users to identify and specify their real needs

(c) Relieving taxpayers

• Who pays: usually the government


448

5A4. Timeliness of release compared to accuracy

• Faster more errors

• So do CORE

• Then do the rest of it!


449

5A5. Stages of data release

• Preliminary data – no quality control

• NOTE: This practice is not recommended

• Stage release

• Consult users


450

5A6. General or customized releases

• Standard or complex tables

• Funding dictates

• Community service tables

• Basic set of tables


451

5A7. Integration of census results with other products

• Compatibility

• Sales area or stakeholders

• Other data to validate tables


452

5B. User consultation process

1. Introduction

2. Managing the process *

3. Tools to be used *

4. The business plan


453

5B1. User consultation process -- Introduction

• User consultation

• Informed decisions

• Nature of outputs


454

5B2. User consultation process – Managing the process

a) Objectives *

b) Stages of the process *

c) Information required *


455

5B2a. User consultation process – Managing the process: objectives

a) To better understand overall user reactions to the current broad direction of the dissemination phase

b) To understand user reactions to specific products and services

c) To report on the outcome of the research and make recommendations to users and census agency management for the dissemination phase


456

5B2b. User consultation process – Managing: stages in the process

i) Stage 1. Consultation on the broad directions First publication: Questions relating to the client’s use of current census products

and services Questions relating to strategies proposed by the census agency

for the products and services of the next census• Hard copy – mailed or emailed• Provide both quality and quantity for review

ii) Stage 2. Consultation on specific products• Second publication with more specific tables• Face to face sessions• Returned questions and spreadsheets for analysis


457

5B2c. User consultation process – Managing: information required

1) Content and functionality *

2) Views on, and reactions to, pricing of products and services *

3) Importance of timeliness *

4) Client support

5) Usefulness and appropriateness of the census data and products


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5B2c1. User consultation process – Managing: information content

1. Data Quality Comprehensiveness and breadth Reliability2. Software (if provided) Quality and performance Ease of use and intuitiveness (user-friendly) Level of functionality Technical support and training


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5B2c1. User consultation process – Managing: information content - cont

3. Service delivery Timeliness and predictability of release Range of media and formats Presentation and packaging Pricing and value for money Client support, awareness and training Usefulness of data or product Appropriateness of the product (standard vs

customized)


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5B2c2. User consultation process – Managing: views on pricing

Influences on views of pricing:a) Whether it is a standard product or a customized

serviceb) Timeliness of the product or servicec) Comprehensiveness, accuracy, breadth and relevance

of the datad) Scope and content of the product and the range of

media in which it is disseminatede) Level and effectiveness of the training and support

providedf) Breadth of functionality of the software (where

applicable) and its quality and performanceg) Complexity and ease of use of the software


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5B2c3. User consultation process – Managing: importance of timeliness

Users must understand the time required to undertake the following:

a) Quality assurance in the field

b) Transporting forms from enumeration

c) Data capture of the information from the forms

d) Coding textual responses

e) Validation of the unit record file

f) Compilation of the output files and preparation of products


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5B3. User consultation process – Tools to be used

How to tell if what you did actucally worked!

• Research during processing

• Users within agency must be involved

Three overlapping phases:

a) Qualitative studies *

b) Quantitative studies *

c) Detailed product design *


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5B3a. Qualitative studies

• Use focus groups

• Look at products and services

• Conferences and workshops

• Understand user reactions

• Tasks (see below)

• Use 6 months for this analysis


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5B3a. User consultation process – Tools to be used

Qualitative tasks:

1) Prepare detailed specifications

2) Contract external consultations

3) Organize focus groups

4) Prepare interim report (for the evaluation phase)

5) Prepare final report


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5B3b. User consultation process – Quantitative studies

• Sample of users• Focus on:(1) A particular product or service(2) Particular market segments or industry

sectors(3) Users’ technical requirements• Tasks (see below)• Spend 8 to 10 months on this


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5B3b. User consultation process – Tools to be used

Quantitative studies:

1) Determine detailed methodology

2) Develop questionnaires, covering letters, newsletter articles the response mechanisms

3) Conduct surveys

4) Analyze and prepare reports


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5B3c. User consultation process – Tools to be used

Major tasks in the detailed product design phase:

1) Determine overall product mix

2) Develop product plans for corporate approval

3) Develop prototypes

4) Devise classification proposals

5) Consult users

6) Finalize product design

Spend about 12 months on this


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5B4. User consultation process – The business plan

• Plan with costs

• Review the plan regularly


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5C. Product development

1. Introduction2. Product planning *3. Production strategy *4. Quality assurance *5. Development and testing of procedures6. Presentation guidelines *7. Storage issues *8. Management of intellectual property


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5C1. Product development -- introduction

• Need to be flexible but responsive

• Need predictable release dates


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5C2. Product development – Product planning

1. Review of products and services from previous census2. User consultation and market testing3. Method for protecting confidentiality• Change output cells• Confidentiality algorithms• Don’t release some tables to the outside

4. Hard copy or electronic dissemination• In the old days: no computers• Now: combination of hard and soft copy• Keep flexibility in the system – standard vs specific• Computer formats: ASCII,Excel, Media• Internet

5. Suppliers of information technology services – outside developers


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5C3. Product development – Production strategy

• Once everything produced in TPL, SAS, IMPS, Supercross

• Now: Have to use what is appropriateKey production activities:a. Development of geographic elements *b. Classifications *c. Data products *d. Software products *


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5C3a. Product development – Developing geographic elements

To maximize usefulness:

1. Geographic database

2. Time series concordance

3. Map dissemination system


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5C3a. Product development – Geographic database

Some information to be stored in database:

1. Comparability codes for current and previous geography

2. Latitude and longitude of the centroid of the enumeration area

3. Total area of the enumeration area

4. Various characteristics: schools, hospitals, etc


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5C3b. Product development – Classifications

• Standard classifications for occupation, industry, education, etc

• Guidelines onlyOutput classifications, consider:1. Review of classifications to cover new topics

and changes in concepts2. Development of a directory of classifications to

enable effective access by users3. Development of a directory of census terms to

assist users’ understanding the data items


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5C3c. Product development – Data products

• Data products refer to the tabulations

• Tables should be basic and easy

• Subpopulations

• Thematic maps

• Custom outputs

• Production of data products include:


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5C3c. Product development – Data products

Data Production includes:1. Development of prototypes based on results of

user consultation2. Coding and production of prototype tables

using test data3. Finalizing tabulation content4. Live data production for standard output5. Release of the consultancy service (for

customized tabulations)6. Specialized table production for specific

products


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5C3d. Product development – Software products

Developing software includes:1. Identify the broad nature, structure and content

of the product2. Determine software developers (internal and/or

external consultants)3. Specify detailed software design and

functionality4. Acquire needed hardware5. Develop and test software with test data6. Prepare training programs


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5C4. Product Development – Quality Assurance

• Flow of products

• Feedback mechanisms

• Accuracy cannot be improved at this stage

• How to deal with errors

• What works


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5C4. Product Development – Quality Assurance

Critical points for quality products:a) Documentationb) Skilled staffc) Validation proceduresd) Timeframee) Dependencies• Identify other things going on• If distinct sections for dissemination• New concepts and variables• Modified classifications


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5C5. Product Development – Development and testing the procedures

• Develop then test

• Maximum testing

• Use dress rehearsal data


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5C6. Product Development – Presentation Guidelines

• How you present the results IS important

• Sometimes guidelines already established

• Computer systems play an important role

• Hard copy – how much is right?

• Presentation guidelines (see next)


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5C6. Product Development – Presentation Guidelines

General guidelines (more for hard copy than electronic):

a) Landscape or portrait orientation *

b) Explanatory notes *

c) Detailed table of contents and index

d) Professional cover page


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5C6a. Product Development – Landscape vs Portrait

1. A cross-classification with a relatively small number of columns may well fit in portrait form, but more columns require landscape

2. Well-recognized difficulties in linking the data in more distant columns back to the stubs describing the data

3. If many rows in table, need for more frequent repetition of the table stubs may add considerably to the number of pages (and cost) of publication


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5C6b. Product Development – Explanatory notes

1. Important contextual information such as details about the collection of the info

2. The scope and coverage of the collection

3. Interpretation of technical terms used in the publication and any limitations affecting the accuracy of the data


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5C7. Product Development – Storage issues

Issues with storage:a) Statistical data for internal (census agency)

use, that is, current data retained because of need for further use

b) Copies of base material produced for output products to enable re-compilation of those products, if required, for disaster recovery or other purposes

c) Non-statistical data, that is, programs, test packs, metadata, reference data


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5C8. Product Development – Management of intellectual property

• Make sure rights to ownership of intellectual property are properly protected

• Make sure software complies

• Make sure sales are legal


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5D. Marketing strategy

1. Introduction *

2. The marketing strategy *

3. Marketing activities *

4. The marketing plan *


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5D1. Marketing strategy -- Introduction

• Marketing may no longer be traditional (see next)

• Must decide how to price

• Must decide on how to market with prices

• What the client needs


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5D1. Marketing strategy – Introduction

Why pricing:a) To enable the demand for statistical products

to be used as a reliable indicator of how resources should be used

b) To encourage users to address their real needs for statistical products and services

c) To relieve the general taxpayer of those elements of the cost of the statistical service that have a specific and identifiable value to particular users


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5D2. Marketing strategy – The strategy

How to get the highest quality:a) Maintain the relationship with the existing user base

and further explore other identified market segmentsb) Extend the market through focused promotion to high

potential untapped sectorsc) Develop new census products and services to meet

emerging needsd) Education potential users about the census product

range => research, planning, and decision-makinge) Make the data widely accessible to members of the

community through public and educational libraries


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5D3. Marketing strategy – Marketing activities

Key marketing activities:

a) The market *

b) Market research

c) Product development

d) Strategic marketing plan

e) Dissemination

f) Sales plan

g) Promotion

h) Public relations

i) Product launch

j) Evaluation and ongoing review


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5D3a. Marketing strategy – The Market

Market segments:

a) Key users

b) Subscribers

c) Ad hoc users

d) Media

e) Competitor: those that tailor to individual users

f) Competitor: provide data AND analysis

g) Competitor: secondary packagers


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5D4. The marketing plan

Attributes to be considered in marketing plan:

a) Realistic

b) Comprehensive

c) User-friendly

d) Organizational commitment

e) Ongoing review and improvement


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5D4. The marketing plan

Marketing Plan Elements:

a) Analysis of strengths, weaknesses, opportunities and threats

b) Planning assumptionsc) Marketing objectives

and strategiesd) Marketing mix

decisions *e) Prices

f) Distribution *g) Promotion *h) Programming timetablei) Budget and expected

revenue *j) Monitoring and

evaluation *


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5D4d. The marketing plan – marketing mix

Each product has intended audience:a) Reference publications: specific information on

definitionsb) Strategic publications containing summary for large

geographic areas for subscribers, media, and librariesc) Geography products, like maps and digital boundaries

for govt and private sector, education and researchd) Electronic products for education and libraries; small

area datae) Consultancy services, for those not using standard

products


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5D4f. The marketing plan – distribution

Dissemination channels:a) Subscription support unitsb) User managers, staff recruited to work with

usersc) Sales forced) Statistical support unitse) Bookshops within the agencyf) Librariesg) Public relations unit to service mediah) Internet


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5D4g. The marketing plan – promotion

Promotional activities:

a) Direct mail and advertising campaigns for general awareness, and specific groups

b) Trade shows, conferences and seminars

c) Public relations activities

d) Personal contact

e) Internet website


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5D4g. The marketing plan – promotion

Promotional materials:

a) Brochures, posters, demo disks, case studies, sales kits

b) Reference materials: Products briefs

c) Directory of census products and services to educate buyers

d) Newsletter


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5D4i. The marketing plan – budget

Marketing expenditures and sales:a) Advertisingb) Sales promotion (trade shows)c) Market researchd) Creative conceptse) Promotional materialf) Human resources developmentg) Administrative costs


501

5D4j. The marketing plan – monitoring and evaluation

Key areas to monitor:a) Sales volume and value of each product

and/or serviceb) Response rate to promotional activities

and conversion ratec) Technical assistance queriesd) Research on census data users within

key target sectorse) Market feedback and competitor activity


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5E. Sales strategy

1. Introduction

2. The sales strategy *

3. The sales plan *

4. The selling process *

5. Sales targets

6. Sales reporting/evaluation/

performance indicators *

7. Sales team organization *

8. Sales territory management *

9. Sales roles and responsibilities *

10. Training *


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5E2. Sales strategy – the sales strategy

a) Market segmentation

b) Distribution channels

c) Sales and client databases

d) Cross selling


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5E3. Sales strategy – the sales plan

Major aims of a sales plan:

a) To outline the responsibilities of the sales unit

b) To create an overall strategic approach to the selling of major products and services

c) To detail a sales strategy for each major product and service


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Indicating the month or quarter for each of these can establish sales objectives:

a) All products and/or all services

b) Strategically critical products

c) All distribution channels

d) By regional sales team

e) By each salesperson


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Sales objectives:• Achieve and exceed revenue targets for key

products• Implement an effectively program to cross sell

major-products and services to the existing client base

• Increase understanding of major products and services within selected sectors to increase client base

• Continue to expand the retail bookseller market for selected publications


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Sales strategies to achieve objectives:a) Developing the sales presentation skills of the

sales staff, b) Ensuring that adequate product training and

infrastructure support exists in the sales centers

c) Using direct marketing techniques to generate sales

d) Setting up sales demonstrations in-house and at the client’s premises


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5E4. Sales strategy – the selling process

a) The selling process• Know the product• Secondary providers

b) Personal selling1. Prospecting (leads and prospects)2. Planning the initial contact and presentation (first

contact, then more)1) prospect’s business, 2) buying influences, and 3) direct and indirect competition

3. Processing


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5E5. Sales strategy – sales targets

• Continuous planning

• Expected sales

• Sales history


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5E6. Sales Reporting/ evaluation/performance indicators

• Activity reporting

• National sales manager

• Feedback

• Reporting

• Performance reporting (see below)


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Quantitative performance standards are:

a) Sales volume: Monetary or percentage increase, market share, achieving quota and conversion rate

b) Sales calls per day

c) New business obtained

d) Client “penetration” achieved

e) Sales cost ratio


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Qualitative performance standards:

a) Personal attributes. General attitude towards clients, empathy with clients, liaison with other team members …

b) Selling skills. Product knowledge, understanding elements …

c) Territory management. Time-management skills, record keeping, relationship building with clients, market intelligence gathering


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5E7. Sales strategy – Sales team organization

a) Sale staff have adequate product knowledge and training

b) Promotional material is available

c) Sales administration arrangements are in place

d) Sales staff have well-defined territories to work, and all territories targeted have suitable staff


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5E8. Sales strategy – Sales territory management

Reasons for using territory structure:a) To cover the market thoroughlyb) To evaluate market responsec) To evaluate the performance of salespersonsd) To minimize sales expensese) To provide the salesperson with clear working

guidelinesf) To improve client contactg) To best match salespersons to the

marketplace


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5E8. Sales strategy – Sales territory management

Factors in sales territory design:

a) State or regional boundaries

b) Provincial towns and cities

c) Known major trading areas

d) Places where clients exist


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5E9. Sales strategy – Sales roles and responsibilities

a) Overall management and leadership of the sales effort on a national basis

b) Development of a national sales planc) Ensuring that sales plans are aligned to marketing activitiesd) Development and implementation of sales policies and

procedurese) Providing input into the product review processf) Providing regular sales reports on product performanceg) Maintaining an effective marketing relationship with marketing

and public relations in planning, implementation and monitoring of plans

h) Providing information on markets, accounts, and promotional activity back to marketing and public relations

i) Providing sales support to other areas of the agency


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5E10. Sales strategy – Training

Basic skills needed:a) Planning skills, including time managementb) Prospectingc) Presentation skillsd) Communication skills, including listening and

questioninge) Negotiation skillsf) Closing techniquesg) Client/market knowledgeh) Technical trainingi) Broader business skills


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Section 6: Evaluation

A. Introduction

B. Basic measurement of overall quality *

C. Detailed analysis

D. Changes to census processes

E. Communicating quality issues


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Section 6: Evaluation -- Introduction

• General evaluation

• Need to assess (1) Quality and (2) cost effectiveness

• Quality assurance

• Review each phase

• (1) Basic measurements

• (2) More detailed measurements


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6B. Basic Measurements of Overall Quality

1. Coverage *

2. Accuracy


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6B1. Basic Measurements of Overall Quality -- Coverage

Main reasons for undercount or overcount:a) Incomplete or inaccurate mapping & access

difficultiesb) Population in transit or difficult to enumeratec) Errors communicating requirements to publicd) Misunderstanding of definitions and instructions

by enumeration staff due to inadequate traininge) Lack of quality assurance in the enumeration

activity, including inadequate coordination and supervision


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Populations in transit include:

a) Nomadic populations

b) Highly mobile sections of the population (e.g., young people)

c) People who change residence during census enumeration

d) People living temporarily in hotels or boarding houses


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• Watch for overcounts in de facto enumerations

• Watch for lack of use of instructions

• De jure – could be undercount of those temporarily absent

• Could be overcount (see below)


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Populations likely to be overcounted:a) People on long term stays in hospitals or

prisons (who might also be counted at home)

b) Members of defense forces on long-term postings away from their families

c) People on long-term holidaysd) Foreign diplomats and their familiese) Persons who died before census day


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• That’s all folks!

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