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Considering the Establishment Survey Response Process

in the Context of the Administrative Sciences

Diane K. WillimackU.S. Census Bureau

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Survey Methodology draws upon multiple disciplines –

Statistics/sampling Psychology Sociology Economics Political science Computer science Human-computer interaction

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Examples

Cognitive response model

draws upon Cognitive Psychology Survey participation decision models

draw upon Social Psychology Web survey design

draws upon Software Development & Human-Computer Interaction

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Establishment survey methodology

draws upon Household Survey Research

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The establishment survey response process

is viewed as WORK.

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Hybrid Response Model(Sudman et al., 2000 ICES-2)

1. Encoding in memory / record formation

2. Selection/identification of respondent(s)

3. Assessment of priorities

4. Comprehension of data request

5. Retrieval from memory and/or records

6. Judgment of adequacy of response

7. Communication

8. Release of data

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Hybrid Response Model(Sudman et al., 2000 ICES-2)

1. Encoding in memory / record formation

2. Selection/identification of respondent(s)

3. Assessment of priorities

4. Comprehension of data request

5. Retrieval from memory and/or records

6. Judgment of adequacy of response

7. Communication

8. Release of data

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Disciplines relevant for surveys of businesses and organizations –

Organizational behavior Managerial science Administrative science

Behavior of people in organizations

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Hybrid Response Model(Sudman et al., 2000 ICES-2)

1. Encoding in memory / record formation

2. Selection/identification of respondent(s)

3. Assessment of priorities

4. Comprehension of data request

5. Retrieval from memory and/or records

6. Judgment of adequacy of response

7. Communication

8. Release of data

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Organizational Goals

1. Produce goods & services

2. Maintain viability over time

Attributes of Organization

Structure Differentiation of

functions (De)centralization Authority

hierarchies Coordination Effectiveness

People

Social Behavior

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Dimensions of Social Behaviorin Organizations

Authority Responsibility Accountability Influence Allegiance / Loyalty

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Social Behavior + Role-taking = Work

Role-taking – the manifestation of social behavior among persons in organizations for the purpose of accomplishing work.

Coordination Communication Interpersonal interaction Cooperation

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Role Episode

Role Sender

Expectations SentRole

Role Receiver:“Focal Person”

ReceivedRole

RoleBehavior

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Role Episode: Responding to a Survey

Role Sender

Expectations:

Compliance

Sent Role:

Data specsInfluence

Focal Person

Received Role:

InterpretsR’s request

RoleBehavior:

Compliance

Respondent (R)“Local Data Provider”

(LDP)

Request forInformation

Organi-zationalfactors

thatconvey

to R

Interpersonal factorsassociated with ‘LDP’

Personal attributesof ‘LDP’

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Role Episode between LDP and Supervisor

Focal Person

Received Role:

Assigned workPerformance

criteria

RoleBehavior:

Compliance

Role Sender

Expectations:

Compliance

Sent Role:

AssignmentAuthority

Supervisor“Local Data Provider”

(LDP)

Organi-zationalfactors

thatconvey to theSuper-visor

Interpersonal factorsassociated with ‘LDP’

Personal attributesof ‘LDP’

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Role Conflict

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

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Role Episodes: A Framework for Evaluating Response Process

“Draw” the role episode diagram for people involved in providing survey data

Account for multiple roles of each player Study, understand, analyze interactions

between people in the organization

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Role Episodes: A Framework for Evaluating Response Process

continued

Use as a tool – Diagnose potential problems and

breakdowns– Suggest strategies that facilitate response

process– Avoid strategies that hinder organizational

processes

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Census BureauExample

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Developing Data Collection Software for the U.S. Economic Census

Detailed establishment-level data “Task analysis” with business

respondents– “How do respondents go about pulling

together all this data?”

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Developing Data Collection Software for the U.S. Economic Census

continued

Pervasive use of spreadsheets– Means of communication– Organizational norm for exchanging data

Some Rs lacked response “capacity” – e.g., knowledge of specific data items– Unable to “assign” items to LDPs

R LDP: sent role relied on differentiation of expertise

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Developing Data Collection Software for the U.S. Economic Census

continued

Re-engineered software– Versatile spreadsheet functionality– Supported organizational context for R’s

and LDP’s roles

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Conclusions

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Survey organizations…

Are members of businesses’ external environment

Have indirect / disjoint relationship with businesses

Cannot manage the response process

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Models of Social Behavior in Organizations

Framework for studying organizational context for survey response process

Address research questions– Who is the “right” respondent?

• Interplay between Authority and Responsibility / Capacity

– How to facilitate reporting from multiple data sources?• Respondents, “Local Data Providers,” and Role Episodes

– What are effects of alternative data collection strategies on data quality?

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Future Research

Other theories / models of social behavior in organizations– Management– Influence– Authority

Do this approach add value? How can it be applied?