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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1A2. Relevance to user needs
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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1A2. Relevance to user needs
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 stake- holders 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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1B4b. Setting goals – Other stake- holders in the statistical agency
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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1B4b. Setting goals – Other stake- holders in the statistical agency
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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1B5b. Developing project plans – Example of Phases
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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1B5b. Developing project plans – Example of Phases
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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1B7. Developing a budget
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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1B7. Developing a budget
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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1B7. Items in a census budget -- continued
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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1B7. Items in a census budget -- continued
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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1B7. Items in a census budget -- continued
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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1C1. Quality assurance -- Introduction
• 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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1C1. Quality assurance -- Introduction
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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1C1. Quality assurance -- Introduction
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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1C3c. Quality improvement and the census – Field operations
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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1C3c. Quality improvement and the census – Field operations
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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1C3c. Quality improvement and the census – Field operations
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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1E2. Evaluating software – cont
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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1E2. Evaluating software – cont
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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1E3. Acquiring software – cont
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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1E3. Acquiring software – cont
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
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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
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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
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1F. Use of sampling
1. Introduction *
2. Tests before the census
3. During the census
4. After the census
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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
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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
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1F4. Use of sampling – After the census
• Preliminary estimates
• Preliminary results
• Post-enumeration survey
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1G. Selecting and managing external consultants and outsourcing
1. Introduction
2. Differing objectives
3. Specification
4. Monitoring the outsourced project
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1G1. Selecting & managing external consultants -- Introduction
• Use of Numbers of consultants have increased
• Outsourcing within the country
• COST
• SKILLS
• Bilateral agreements
• Tenders committees
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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
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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 *
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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
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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
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2A3. Key goals
• Need broad goals
• Goals for a few important items
• Training enumerators
• Broad topics (next page)
• Statistical measures
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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
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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
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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
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2A4. Key stakeholders
• Processing area is one of the most important key stakeholder
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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
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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
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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
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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
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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
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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
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2A5c. De Jure and De facto
• Be wary of double counting
• Self-enumeration
• Usually one or the other
• But more countries doing both
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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
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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
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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
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2A5d. Population Groups
• 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
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2A5d. Population Groups
• Exclusion of groups in the population
• Inclusion of residents in other countries
• Enumeration of the defense forces
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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
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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
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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
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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
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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
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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!!!
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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
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2A6b. Method of enumeration – Mail-out/mail-back method - cont
• Non-response rates
• Sampling plans
• Tolerance rates
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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
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2A6e. Method of enumeration – Possibilities for change
• Careful testing if changing technique
• Fraught with risk
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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
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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
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2A8. Census Reference Time
Problems with long reference periods:
1. Insufficient field staff
2. Unsatisfactory map base
3. Absence of sufficient logistical support
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2A9. Duration of enumeration
• Not exact science
• Magnitude of operations
• No rushing, BUT urgency
• Self-enumeration – not too long
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2A9. Duration of enumeration
1. One-day enumeration period
• People stay at home
• Can distribute forms early
2. Longer enumeration period
• Fewer enumerators
• Better trained enumerators
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2A9. Duration of enumeration
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
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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:
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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!
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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
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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)
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2B. Structure of the workforce
1. Introduction
2. Roles and responsibilities
3. Time available
4. Staffing ratios
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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)
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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
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2B3. Time available
• Takes time for meetings
• Actual enumeration period
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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
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2C. Mapping
1. Introduction
2. Geographic classification *
3. Mapping technology *
4. Undertaking the mapping program *
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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
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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”
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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
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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
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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
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2C3. Mapping technology
Types of technology:
a) Hand-drawn maps *
b) Map overlaps and technology assisted mapping *
c) Geographic Information Systems (GIS) *
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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
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2C3b. Map overlays and technology assisted mapping
1. Satellite imagery
2. Aerial photography
3. Global Positioning System (GPS)
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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 …
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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
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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
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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
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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 *
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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
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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
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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
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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)
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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
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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
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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
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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
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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!
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2C4a5. Agency-based mapping program – EA design
a. Enumeration area design *
b. Census management area design
c. Quality assurance *
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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
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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
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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
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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
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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
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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
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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!
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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
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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
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2D. Form design and testing
1. Introduction *
2. Form design *
3. Form testing *
4. Census tests *
5. Methods of testing *
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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
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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
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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
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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
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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
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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
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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
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2D3a. Form testing – analysis of errors
Kinds of errors:
1. Omission
2. Commission
3. Mistakes
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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
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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
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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
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2E. Instruction manuals
1. Introduction
2. Enumerators’ handbook *
3. Supervisors’ handbook *
4. Regional managers’/deputy regional managers’ handbook *
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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
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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 *
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2E2b. Enumerators’ handbook – Introduction
a) About the statistical agency
b) About the census
c) Census organization
d) How to use the handbook
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2E2c. Enumerators’ handbook – Enumerator responsibilities
a) Enumerator dutiesb) Enumerator conductc) Identificationd) Safetye) Confidentialityf) Lost materialsg) Access to dwellingsh) Handing materialsi) Marking questionnairesj) Checking questionnaires
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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
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2E2e. Enumerators’ handbook – Training
a) Preparation
b) Training session
c) On-the-job training
Enumeration – depends on circumstances
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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
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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
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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
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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
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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
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2E2k. Enumerators’ handbook – Annexes
a) Definitions or glossary
b) Census scope
c) Frequently asked questions
d) Additional mapping information
e) Explanation of census questions
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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 *
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2E3b. Supervisors’ handbook -- Introduction
a) About the statistical agency
b) About the census
c) Census organization
d) How to use the handbook
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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
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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
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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
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2E3f. Supervisors’ handbook – Supervisor training
a) Preparation
b) Training session
c) Additional training
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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
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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
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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
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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
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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
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2E3l. Supervisors’ handbook – Annexes
a) Definitions or glossary
b) Special enumeration strategies
c) Frequently asked questions
d) Additional administration and recruitment information
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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
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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 *
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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
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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
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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
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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
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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
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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
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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
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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
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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.
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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
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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
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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
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2E4m. Regnl managers’ handbook – Special dwellings
1. Overview
2. Definitions
3. Enumeration strategy
4. Regional manager role
5. Available information about special dwellings
6. Communication strategy and/or approach
7. Special training issues
8. Administration and forms used
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2E4n. Regnl managers’ handbook – Refusals or objections
1. Overview
2. Definitions and policy
3. Regional manager role
4. Supervisor role
5. Enumerator role
6. Specific training issues
7. Administration and forms used
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2E4o. Regnl managers’ handbook – Payment
1. Overview
2. Regional manager role
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
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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
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2F. Printing of forms and other documents
1. Introduction
2. Planning and management of printing *
3. Types of forms *
4. Quality assurance *
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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
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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
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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
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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
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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 *
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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
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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
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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
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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
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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
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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
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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
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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 *
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3A. Publicity
1. Introduction
2. Developing a publicity strategy *
3. Implementing a publicity strategy *
4. Publicity support services *
5. Budget
6. Evaluation
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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
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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 *
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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
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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
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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
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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
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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
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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
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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
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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)
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3A3c. Implementing a publicity strategy – specific audience tactics• As noted above, Cultural backgrounds
important
• Groups in communities
• Travelers
• Recent arrivals
• Events for specific groups
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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
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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
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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
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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
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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
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3A5. Publicity support – Budget
• Budget depends on resources
• Investment in good communication makes a better census
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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
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3B. Recruitment and remuneration
1. Introduction
2. Recruitment *
3. Remuneration
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3B1. Recruitment and remuneration -- Introduction
• Recruitment varies
• Capable employees
• Need quality
• Amount paid
• Use of existing staff
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3B2. Recruitment and remuneration – recruitment
• Structure must be set
• Basis of enumeration makes a difference
• See below for criteria
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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
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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
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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
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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
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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
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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
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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
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3B2b. Recruitment campaign – type of campaign
• Networks
• Relvant media to recruit
• Census advertising
• Which government agencies involved
• Community groups
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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
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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
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3B3. Renumeration
• Payment depends on work done
• Field supervisors should not have to worry about pay
• Efficient pay is important
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3B3. Renumeration
(i) Basis of payment
(ii) Timetable
(iii) System design
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3B3i. Renumeration – Basis of payment
• Should be simple
• Like Hours, Time per HH, or total time
• See possibilities below
• Note Option C!
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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
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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.
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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3C3. Field staff training – Trainers
• Cascade principle – each level trains next
• Each layer adds
• Master trainers – Geographic areas
• Specialists staff – could be temporary employees
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3C4. Field staff training – Developing Training material
• Agency developed materials
• High quality products
• Use of video
• For various languages: think about terms
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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
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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
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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
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3C7. Training Supervisors and Enumerators
a) Home study exercises *
b) Classroom training exercises *
c) On-the-job training
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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
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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
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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
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3C7. Training – Classroom training sessions
• Classroom time will vary
• Models available
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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
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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
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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 *
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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
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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
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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
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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
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3D4. Distribution and return of materials -- Specifications
• Specifications and transport
• Planning important
• Costs
• Commercial vs government delivery
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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
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3D5. Distribution and return of materials – Estimating Quantities
Factors:
a) Number of enumeration areas
b) Number of enumerators
c) Number of supervisors
d) Number of regional managers
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3D5. Distribution and return of materials – Estimating Quantities
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)
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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
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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
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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
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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
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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 …
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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 *
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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
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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
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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
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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
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3E4. Monitoring field operations – Where to start
• Not isolated integrated
• Start with questions
• Think of “What if” questions
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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
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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 *
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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
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3F2. Quality assurance for field operations – Role of Supervisors
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
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3F2. Quality assurance for field operations – Role of Supervisors
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
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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
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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
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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
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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
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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]
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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
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3F5. Quality assurance in field operations – Checking coverage of enumeration area
• Coverage
• Maps
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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
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3G. Technology issues for field operations
1. Introduction
2. Types of technology
• Telephone
• Facsimile (Fax)
• Computers
• The Internet
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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
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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
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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 *
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4A. Processing strategies
1. Introduction
• Determine processing strategies early on
• Allow sufficient time for testing
2. Processing system *
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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
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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 *
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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
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4A2h. Cost benefits - cont
Benefits include:
• Time needed to process the forms
• Quality of the data produced
BUT we have risks:
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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
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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 *
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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
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4B3. Selecting suitable premises
a) Security
b) Access to transportation
c) Building layout
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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
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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
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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
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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)
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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4D. Processing operations
1. Introduction – need quality staff and quality hierarchy
2. Data-processing cycle *
3. Controlling work flows *
4. Management information system *
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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
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4D3. Controlling work flows
(a) Movement of forms
(b) Status of data
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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
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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)
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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
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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
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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
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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 *
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4E1. Quality assurance for processing -- Introduction
• Multidimensional
• Accuracy
• Budget
• Timeliness and relevance
• May have to improve one at the expense of another
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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
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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
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4E4. Quality assurance for processing – Quality management
system
a) Units of work selected
b) Method of operation
c) Rejected units of work
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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)
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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
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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
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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
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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
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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
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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
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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
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4E6. Quality management system – Continuous quality improvement
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
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4E6. Quality management system – Continuous quality improvement
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
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4E6. Quality management system – Continuous quality improvement
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
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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
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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
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4F. Technology issues for processing
1. Introduction2. Processing platforms3. Data-capture methods *4. Coding *5. Editing *6. Imputation7. Data management *8. Communications
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4F1. Technology issues for processing – Introduction
• Computers
• First used for 1950 US Census
• Scanning now used more and more
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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
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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
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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
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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
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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 *
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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
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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
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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
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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
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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
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4F4. Technology Issues -- Coding
a) Clerical
b) Computer-assisted coding
c) Automatic coding
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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
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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
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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
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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
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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]
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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!
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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
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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) *
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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
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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
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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
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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
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5A4. Timeliness of release compared to accuracy
• Faster more errors
• So do CORE
• Then do the rest of it!
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5A5. Stages of data release
• Preliminary data – no quality control
• NOTE: This practice is not recommended
• Stage release
• Consult users
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5A6. General or customized releases
• Standard or complex tables
• Funding dictates
• Community service tables
• Basic set of tables
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5A7. Integration of census results with other products
• Compatibility
• Sales area or stakeholders
• Other data to validate tables
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5B. User consultation process
1. Introduction
2. Managing the process *
3. Tools to be used *
4. The business plan
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5B1. User consultation process -- Introduction
• User consultation
• Informed decisions
• Nature of outputs
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5B2. User consultation process – Managing the process
a) Objectives *
b) Stages of the process *
c) Information required *
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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
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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
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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 intel- lectual 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
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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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5E3. Sales strategy – the sales plan
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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5E3. Sales strategy – the sales plan
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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5E3. Sales strategy – the sales plan
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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5E6. Sales Reporting/ evaluation/performance indicators
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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5E6. Sales Reporting/ evaluation/performance indicators
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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6B1. Basic Measurements of Overall Quality -- Coverage
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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6B1. Basic Measurements of Overall Quality -- Coverage
• 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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6B1. Basic Measurements of Overall Quality -- Coverage
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!