APPLICATIONS OF BEHAVIOURAL RESEARCH

S O M E

APPLICATIONS

OF

B E H A V I O U R A L

R E S E A R C H

edited by

RENSIS

LIKERT

aid

SAMUEL P.

HAYES,

Jr.

Economics and Action

Published by the United Nations

Educational, Scientific and Cultural Organization Place de Fontenoy, Paris-7e

1st impression September 1957 2nd impression Se tember 1961

Printed by Joseph $loch, May’enne

O‘Unssco 1957 Printed in France

INTRODUCTION . . . .

CHAPTER I . BEHAVIOURAL RESEARCH: A GUIDE FOR EFFECTIVE ACTION.

by Rensis Likert . . . .

Assuring use of research results . . . .

Problems in research design . . . .

Applicability of behavioural research . . . . .

Bibliography . . . .

TIVENESS. by Stanley E . Seashore

CHAPTER I1 . ADMINISTRATWE LEADERSHIP AND ORGANIZATIONAL EFFEC-

Introduction . . . .

T h e use of research results in interpreting problems of administrative leadership . . . .

Planning for effective leadership-how can a leader choose Post-seminar work sessions . . . . . . . .

among alternative courses of action?

Bibliography . . . . . . . . .

C H A P T E R 111

.

T H E TRAINING OF LEADERS FOR EFFECTIVE H U M A N RELATIONS. by Stanley E . Seashore . . . .

Introduction . . . . The functions of training and conditions for effective human Four approaches to training of leaders for effective human relations . . . .

Bibliography . . . . HUMAN FACTORS IN RESEARCH ADMINISTRATION. by Hollis W . Peter . . . .

Introduction . . . .

Individual factors in scientific performance . . . . Motivation and interests of scientists

Formation and maintenance of productive scientific work-

groups . . . .

relations training . . . .

Four ways to train-a summary and appraisal . . .

CHAPTER IV .

. . . . 9 1 1 11 28 40 43 44 44 46 61 70 78 81 81 83 90 119 123 124 124 125 136 143

Needed research . . . 150

Appendix . . . 153

Bibliography . . . 155

CHAPTER V . TRAINING FOREIGN NATIONALS IN THE UNITED STATES. Simon 0 . Lesser and Hollis W . Peter . . . . Introduction . . . . Importance of training programmes . . . . Objectives of exchange programmes . . . . Factors affecting the success of training programmes . Comparisons between programmes . . . . Evaluation and research . . . . Bibliography . . . . bY . 160 . 160 . 162 . 166 . 168 . 198 . 199 . 202 CHAPTERVI

.

GROUP INFLUENCE IN MARKETING A N D PUBLIC RELATIONS. by Francis S . Bourne . . . 207

Introduction . . . 207

Identifying influence-groups . . . 229

Reference-groups relevance in decision-making . . . 212

Theaudienceas a reference-group . . . 247

Bibliography . . . 252 ..

C!HA&R VI1 . PSYCHOLOGICAL SURVEYS IN BUSINESS FORECASTING. by Irving Morrissett . . . . Introduction and Summary . . . . Business plans and expectations . . . . Consumer attitudes. expectations and plans . . . . Use of survey data in forecasting by business . . . Notes on methods and reliability of the Survey Research Center’s consumer studies . . . . Bibliography . . . . 258 258 263 277 300 303 308 CHAPTERVIII . RELATING BEHAVIOURAL RESEARCH TO THE PROBLEMS OF ORGANIZATIONS. by Samuel P

.

Hayes. Jr . . . 316

Obstacles to full utilization . . . 316

Ways to promote full exploitation . . . 318

Organizing to promote full utilization . . . 319

Publications of the Foundation for Research on H u m a n ~ Behavior . . . 325

Summary . . . 325

Unesco's aim in launching the collection Science and Society was to spread knowledge of the practical effects of the discoveries made in the

various branches of the social sciences. Limited as those effects may

appear in comparison with those which mark the tremendous progress

achieved in the natural sciences, they already provide us with certain tools that are continually increasing in both number and eficiency.

The first title published in this collection, Economics and Action, was

by Messrs. Pierre Mendgs-France and Gabriel Ardant. It showed, with

the aid of illustrations drawn from contemporary history, that modern

economics and the techniques employed by modern economics, though

they have still too muny defects, nevertheless represent a considerable

advance upon earlier conceptions and policies and carry with them practi- cal applications which are bound to facilitate economic progress and render possible, witJiin the framework of a policy of peace, a rational use of human and material resources.

The present volume is the fruit of an effort of the same kind.

It

is a scientific study of the behaviour of men living in society. With the in-

creasing complexity of societies and nations, w e need more and more to

be able to understand human behaviours. More especially, the great

progress made in physics and biology has placed at our disposal new and

valuable instruments, the ejicient use of which for peaceful ends calls

for improved methods of co-operation between men and the setting up

of appropriate social organizations.

It

is this class ofproblems that forms the subject of this study, which views them mainly from the standpoint of industrial management and the training of leaders, and tries to de-

monstrate

by

concrete examples how the social sciences have contributed

and can contribute to a better organization of certain social behaviours. This book is therefore baszd on the behavioural sciences, in so far as

these are deJined as the general body of psychological, sociological and

exhaustive study was, however, out of the question, and the present work

is limited both in geographical range and in content.

It

is, in faet, no more

than an account of researches initiated and prosecuted in the United States of America in connexion, as w e have already said, with the working

and management of industry. Limited as they are, we believe they are

noneth less of general import, and it is hoped that they will receive atte b n from specialists in all countries where industry is studied, not

only in its external and strictly economic aspect, but also from the domestic angle of human relations.

The grpup of United States specialists who collaborated in this book

have received much help from the material placed at their disposal

by

the Foundation for Research on H u m a n Behavior.

Unesco desires to thank Professors Rensis Likert of the University of

Michigan and Samuel

P.

Hayes,

Jr.,

Director of the Foundation, who

have been responsible for the general editorship and co-ordination of this study, and also the authors of the various sections, Professors Stanley

E.

Seashore, Hollis

W.

Peter, Simon 0. Lesser, Francis S. Bourne and

Irving Morrissett.

It is also grateful to the Foundation for Research on H u m a n Behavior, which sponsored their work and whose aid made possible the research that preceded the production of this book.

2

I

A C K N O W L E D G E M E N T

Parts of Chapter

I

are reprinted from Research Methods in the

Behavioral Sciences by permission of the Dryden Press. In Chapter IV

the test materialain the appendix is included with the permission of the Educational Testing Service. Reproduction of text and graphic material in other chapters is made with the permission of the Found- ation for Research on H u m a n Behavior.

Behavioural science is rapidly growing.

It

is now in the middle of its S-curve of growth; in many countries, there has recently been a rapid expansion in the number of behavioural scientists at work and in the amount of behavioural research completed.

The practical application of behavioural research to the operational problems of organizations has not grown to the same extent.

It

is not surprising that growth in application should lag behind growth in fundamental behavioural research, for this has been the case in the development of other sciences. Nevertheless this research has already reached a stage at which it deserves consideration.

This

book is the result of such consideration, although it is confined to the applicaticns of behavioural research in the United States of

America, partly because the authors are American and therefore most familiar with the American scene, partly because a good deal of this application has taken place in the United States, and partly because a truly international volume would have to be much larger than the present one.

Moreover, there is in the United States an organization-the Foun- dation for Research on H u m a n Behavior-which is, in some respects, unique. This Foundation is devoted to promoting the support of behavioural research by business concerns and to encouraging the application of behavioural research in business, government and other organizations.

One of the Foundation’s main activities has been the holding of meetings which bring together social scientists and the representatives of .business and other organizations. These meetings discuss the be- havioural research recently carried out and bearing on a selected group of organizational problems. Research results are reported, their im- plications discussed, and suggestions made for future research of value both to basic science and to operating organizations.

Introduction

The greater part of this volume consists of reports of the meetings held by this Foundation.

Each

chapter is the result of a carefully planned and thoroughly worked-out process, and thus represents a fusion of behavioural research results, of the experience of business and other organizations with the problems on which the research bears, and of a joint estimate of the applicability of the research findings to such problems. Although written by several different authors, the

separate chapters have a common purpose and a unity of approach, resulting from the central purposes and character of the Foundation. American research not so far reported at Foundation meetings-of which there is a great deal-has been omitted. Its inclusion would make

the volume far too large and would destroy the unity of treatment, Although most of the research presented in this volume was carried out in the United States and is discussed in relation to operations in that country, it is believed that the approaches and, frequently, the findings willprove to be directly applicable to the operations of organi- zations in other countries. For example, the discussion of ‘Training Foreign Nationals in the United States ’ applies almost equally well to the situation that arises whenever persons from one country go to another for training.

As

regards terminology, the term ‘behavioural research’ is used here,

instead of the more familiar terms ‘social psychology’ or ‘social research’, because this volume stresses the sciences which make em- pirical studies of individual behaviour. This includes social psychology, much of the other types of psychology, sociology and cultural anthropo- logy, and part at least of political science and economics. Just where the line is to be drawn between behavioural research and other research in any of the traditional social science disciplines is a matter of individual preference. Throughout this volume, however, emphasis has been given to those investigations

which

deal directly with individuals and study their behaviour.

A n n Arbor, Michigan August 1956

RENSIS

LIKERT

and

B

E H

AV1

0

U

R A L R E

S

E A R C H

:

A

GUIDE

F O R

EFFECTIVE ACTION

bY

RENSIS

LIKERT

APPLICABILITY

OF

BEHAVIOURAL RESEARCH

The important problems of our times concern human behaviour. The problems of individuals, organizations and whole societies or nations are the result, to a great extent, of the way people behave in relation to one another. Achievement of the full measure of spiritual richness, personal satisfaction and material well-being which the people of every nation seek depends upon their ability to create effective personal relations.

Most people obtain their principal satisfactions and motivations from association with others. Conflict with others usually results in

personal distress. However, w e are only beginning to understand the complex attitudes and motivations that underlie social behaviour.

Problems of human behaviour underlie each of the many kinds of organized group effort on which nations are becoming increasingly dependent. The main problems of organizational structure, organi- zational policy and effective operation can be solved only if human behaviour is understood. How should an organization be set up to accomplish its own objxtives? H o w can the needs and purposes of many individuals be integrated with the needs and purposes of the organization? H o w can an organization adapt itself to change with a minimum of loss and stress?

The larger social problems of nations and of the world also involve human behaviour. General economic prosperity or depression can result from the working, spending, and saving behaviour of people

in

many nations. The manner in which public issues are resolved depends upon an understanding of the views and needs of the public. The solution of these problems also depends upon the techniques and social machinery available for creating tolerance and co-operation. Problems

S o m e applications of behavioural research

of health and health practices, of nutrition and economic well-being, of agricultural and industrial productivity, of standards of living-all these problems, and similar ones, can be dealt with only by changing people's behaviour and their relationships to each other.

As

the complexity of societies and nations increases, the need for progress in our understanding of human behaviour becomes even greater. The serious problems of h o w best to control the great resources made available by the physical and biological sciences depend prima- rily upon improving human co-operation and establishing new and appropriate social organizations. Whether nuclear energy serves or

destroys man

w

i

l

l

depend upon the capacity of human beings to co- operate effectively with each other in developing social machinery for the control and use of nuclear energy and the other great contributions of physics and biology.

INADEQUATE SUPPORT FOR BEHAVIOURAL RESEARCH

The effectiveness of systematic research methods has been amply de- monstrated in the physical and biological sciences.

It

is unfortunate that the urgent human problem existing throughout the world today have not been subject to the same systematic approach. Important strides, however, are being made in the adapt& ion of scientific methods to the study of human problems. Progrey is being made, not only in the advancement of a basic science ocgurnan behaviour, but also in the resolution of immediate practical problems.

The research methods and techniques now in use can deal effectively with most of the problems in human behaviour.

New

and approved techniques are emerging at an increasingly rapid rate, and these will

enable such problems to be more adequately studied.

In many parts of the world there is an intense and growing concern

with

the problems of human behaviour. The realization that a research approach to these problems is feasible has quickened interest in such an approach. Some public and private agencies have given concrete expression to this interest; but, among leaders in government, business, labour, education, community life and other fields, concern for the

solution of human behaviour problems has yet to be expressed in effective action.

Financial support for research on human behaviour varies from country to country, but usually comes from universities and private research foundations, and, to some extent, from government agencies 12

and industrial organizations. In relation to the need, however, the funds thus made available have been very inadequate and represent only a small part of the total financial resources

that

could and should be devoted to such research.

One of the chief reasons for delay in mobilizing research into the solution of human behaviour problems is that important people fail to understand the potential power of this research. Too few of those in a position to allot funds for basic research or to use research for guiding decisions on operating problems are aware of the power of research over human problems.

A N ILLUSTRATIVE APPLICATION OF RESEARCH

One of the widespread problems which confront governments and business organizations is that of obtaining, about a nation’s economy and the factors affecting it, sufficiently accurate data to permit sound planning and the measurement of progress toward the goals laid down. One powerful research tool, the sample interview survey-which was developed by the social sciences about a decade ago-makes it possible to obtain data about an economy at relatively low cost. Illustrative of this kind of research are the Surveys of Consumer Finances which have been conducted for the Federal Reserve Board by the Survey Research Center1 each year since 1946. These surveys, which have influenced legislative and administrative policy and also the decisions of business organizations, came into being in the following manner: some econo- mists, notably Rolf Nugent, who had seen earlier surveys on the pur- chase and redemption of W a r Bonds, suggested that there would be great need for data on what people would do

with

their savings after the war. These economists pointed out that the United States would then be in an unprecedented situation, as the American people would own between $300 and $400 billion in savings of which over $100 billion would be in such liquid forms as currency, Series

E

Bonds, checking accounts and savings accounts. If the American people sud- denly decided to spend an appreciable part of these liquid assets, the effect upon the economy could be disastrous.

It

was exceedingly im-

portant, therefore, to obtain data that were not then available, namely, data that would answer such questions as:

1. The Survey Research Center is a division of the Institute for Social Research, University of Michigan.

S o m e applications of behavioural research

1. W h o owns these liquid assets, i.e., how is the ownership of these assets distributed through the population

?

Are they widely held or are they concentrated in the hands of a relatively small group of people ?

2. If the ownership of liquid assets is concentrated to any appreciable extent, how can the groups who hold these assets best be charac- terized? Is it related to income, age, occupation, education, or other similar variables

'?

3. What plans do the owners of these assets have for the use of the assets? D o they plan to draw on them?

W

i

l

l

they be drawn on to invest in other forms of savings, to buy durable consumer goods, or for similar purposes? If so, when, in what amounts, and for what purposes ?

4. What effect willthese savings have on pecple's plans for further savings?

W

i

l

l

these holdings make people feel secure and cause them to spend more of their income than would otherwise be the case

?

We

felt rerrsonably confident that we C Q U ! ~ obtain satisfactorily ac- curate answers to these questions, with one important exception. Our experience had indicated that it might not be possible to obtain accurate data on the holdings of currency. W e were confident that most of the data could be obtained because of the results that we had already achieved in studies for the Treasury Department, where we found that w e could ask respondents about family income and expand our data

to national estimates that corresponded quite closely with the aggregate estimates of the Department of Commerce. Our results, generally based on samples of from 1,500 to 2,500, were from 5 per cent to 15 per cent too low. Similarly, our results on the purchase, ownership, and re- demption of Series

E

Bonds checked closely with Treasury data. For example, during the last half of November 1945, w e interviewed a national sample of 2,300 wage-earners.

W e

asked them whether they ,

owned any Series

E

Bonds and, if so, how many. The average total they reported was $590.

At

that time there were an estimated 51 million wage-earners. Fifty-one million times $590 yields an estimate of $6 30,090,000,000 of Series

E

Bonds outstanding. The Treasury report on Dccember 1 showed the actual figure to be $30,263,000,000.

After a pilot-study had demonstrated that data of satisfactory ac- curacy could be obtained, the Federal Reserve Board authorized a study of a natian-wide sample of 3,000 interviews. This study was made early in 1946 and obtained income and savings data for the year 1945 and the plans and expectations of respondents for 1946. The results 14

were published in a series of articles in the Federal Reserve Bulletin

in the summer of 1946.

The study proved to be so valuable that the Federal Reserve Board asked us to co-operate

with

them in conducting a similar study each year from 1946 onwards.

To illustrate how these data have been used for policy decisions, here is a statement made by Dr. Ralph

A.

Young [311, Director of the Federal Reserve Board’s Division of Research and Statistics. Speak- ing of the first nation-wide Survey of Consumer Finances,

Dr.

Young mentioned several uses of the survey data for policy purposes :

‘A

final important value of consumer financial surveys is in connex- ion with bank credit, monetary, and fiscal policy. Under present con- ditions, effective regulation of the money supply by the Federal Reserve

is no longer possible on the basis of the flexible application of its traditional instruments. Individuals and businesses hold approximately

8

140 billion of liquid assets that can be used at

will

to increase current expenditures, and conversion of bond holdings into cash can serve to increase the money supply, both directly and indirectly. . . .

‘It

was a matter of not inconsiderable importance from the stand- point of monetary and fiscal policy to know the relative concentration of liquid asset holdings by income groups at the beginning of 1946 and to find that holders for the most part were not inclined to spend

them.

It

was also reassuring to find that the inflationary threat of this potential money supply may not have been as serious, even though serious enough, as had been thought by many.

‘ Current surveys of consumer finances also have direct usefulness for central bank policy in selective credit areas. The 1946 survey showed the possibility of a sizable conversion of liquid assets into investments, which confirmed the desirability of maintaining reasonably high margin requirements to prevent securities from becoming an inflationary menace to the whole economy.

‘The

1946 survey was also useful in connexion with consumer credit regulation.

It

made possible rough estimates of consumer demand during the year for durable goods and for instalment credit to finance purchases of such goods.

It

further showed which consumer groups were impatient to acquire durables and to incur debt to do so.

This

information indicated that strong inflationary pressures would be pre-

sent during the year in the durable goods markets, which were charac- terized by short supplies, and pointed to a continuing need for restrain-

Some applications of behavioural research

ing ‘deficit spending’ by consumers, i. e., consumer credit expansion, so far as possible until conditions of short supplies were remedied. ’

The Survey of Consumer Finances in recent years has involved a nation- wide sample of between 3,000 and 3,500 spending-units.

A

spending- ,

unit consists of ‘all persons living in the same dwelling-unit and related by blood, marriage, or adoption who pooled their incomes for major items of expense’. Some of the kinds of data that are obtained in the interviews

with

each spending-unit are :

1. Total income, including data on the major sources of income.

2. Total savings, including the amounts held in government bonds, savings accounts and checking accounts.

3. Amount of savings during the past year.

4. Total indebtedness, including the amounts owed on mortgages, instalment payments, etc.

5. Durable consumer goods, including homes, automobiles and tele- vision sets purchased during the past year.

6, Expectations pith regard to the pnrchire of durable cmsnme: geods during the coming year and plans for financing these purchases. Many of these items are obviously of so confidential a nature that people do not readily talk about them. Nevertheless, when the sampling is well done and when a properly designed interview-form is used by well-trained interviewers, results are surprisingly accurate. Illustrative of these results are the following data on estimates of 1954 national income for U. S. families living in private househo1ds.l

The average money income (before paying taxes) in 1954, as obtained from our nation-wide sample of 3,000 spending-units, was $4,420.

At

the beginning of 1955, 54 million spending-units were living in private households in the United States. $4,420

x

54 million

=

$239 billion. Personal income estimates of the Department of Commerce, based on aggregate amount of wages, etc., paid to individual9 amoun- ted to $260 billion. Consequently, the estimate based on the 3,000 inter- views was 8 per cent below the estimate based on aggregate data. If it

were desirable to obtain more precise measurements, a larger sample or other methods might be used. Another indication of the accuracy of survey data is as follows:

1. See 1955 Survey of Consumer Finances conducted inlco-operation with the Federal ReserveBoard by the Survey Research Center, University of Michigan. and published in the Federa1 Reserve Bulletin, June 1955.

2. The Department of Commerce published an income estimate of $274 billion (after excluding non-money incomes); it is estimated that about $14 billion income was received by institutional, ditary and transient people who do not live in private households.

1. When the data for automobile ownership from the 3,000 interviews made in the 1955 Survey of Consumer Finances was expanded to a national estimate, a figure of 39.9 million automobiles was obtained. These are cars owned

by

persons living in private households.

2. The total registration figure for all states for all automobiles, in-

cluding government,and business cars, for that same period of time, was 43.8 million.

3. The automobile industry estimates that there were about 3.9 millioi cars owned by business and government, which means that tht survey data and the registration figure correspond closely.

RIGOROUS METHODOLOGY REQUIRED FOR ACCURATE RESULTS

Polling methods which use quota or similar sampling procedures will not yield such accurate results as those obtained in the Survey of Consumer Finances. The methodology of the sample survey differs fundamentally from that used in the well-known polls. There are differ- ences in the methods used in sampling, interviewing, and the research design. For example, the sample survey uses true probability samples rather than assigning quotas to interviewers and letting them use their judgment in picking respondents. The Survey Research Center, in

Ann

Arbor, Michigan, selects every dwelling in which interviews are to be

made in each study and sends trained interviewers to these addresses, specifying exactly who is to be interviewed. The interviewer has no

choice. There are many other important differences between polling techniques and the methods of the sample survey, but these differences in methodology are discussed elsewhere [2, 41.

The sample interview survey does not, however, collect all kinds of

economic data with equal efficiency or equal accuracy. There is no

advantage in using sample surveys to collect aggregate data readily available from other sources. Data from sample surveys which report

frequency distributions, that is, the proportion of people who hold certain amounts of liquid assets or who have certain attitudes or plans tend to be m o m accurate than are aggregate estimates from sample surveys. Some of the latter, such as those that have been cited as illustrations, appear to be reasonably accurate, but estimates of other variables have, at times, been found less accurate. Generally speaking, when a variable is widely distributed through the population studied and

the variation from person to person is not too great, the aggregate esti- mates obtained from sample survey data tend to bereasonably accurate. 17

Some applications of behavioural research

SAMPLE SURVEYS CAN BE USED IN ANY COUNTRY

There is no doubt that the sample interview survey is yielding useful results on economic questions in the United States, but will these same methods yield comparable results in other countries ?Available evidence indicates that they will. The Institute of Statistics of Oxford University, England, and the Social Survey

of

the

British

Government, for example, have, for the past few years, been conducting studies comparable in part to the Surveys of Consumer Finances [S, 61. Their results indicate that they are obtaining data comparable in accuracy to those obtained in the United States. Similar surveys are reported to have been con- ducted in Sweden.

A

survey of consumer finances conducted

in

Ceylon in M a y 1953 was published in 1954 by the Central Bank of Ceylon [7]. Sample surveys are also being used to obtain satisfactory estimates of agricultural production in many parts of the world, including South America and Asia. Available evidence suggests, therefore, that the sample interview survey can be used in any country to obtain the kind

of iiif~~iii~ti~ii dedi with in this. vo!ume. In some cmntries, the sam- pling and other problems willbe somewhat more difficult and the errors may be greater, but the basic methodology appears to be appli- cable in any country which wishes to use it.

In addition to collecting data bearing on economic problems, there are many other functions which sample surveys can perform for govern- ment, business, labour, and other agencies or organizations. The ex- ecutive branches of governments, for example, are faced with many problems for which sample survey methods can help to provide con- structive solutions.

The legislative branch frequently asks the executive branch for recom- mendations about legislation. Consequently, the executive branch must have accurate information about the real needs of the public.

It

is not sufficient to know what particular pressure-groups are clamouring for; precise knowledge of the genuine wishes and desires of the public is required, and the sample survey is a particularly economical and accu- rate way for the executive branch to obtain this information.

Legislation, particularly that dealing with national problems, must necessarily refrain from being too detailed in order to meet the wide variety of conditions that exist in various parts of the nation. Chief administrators, as a result, frequently work within very broad limits and are faced with the necessity of establishing broad operating policies and of choosing between various programme alternatives. After broad policy decisions have been made, it is necessary to decide on the details

of a particular programme. In planning both the broad policy and the details of a programme, sample surveys can immeasurably improve the efficiency of government and make it more responsive to the desires

of the people. Sample surveys can obtain evidence on the relative acceptability of different alternatives and can indicate the degree of

support or resistance that each alternative willreceive from each group in society. Surveys can also indicate how the programme should be presented and administered in order to obtain maximum co-operation and support.

The acceptance and support that a programme receives depend not only on its soundness and how well it meets the needs of the public, but also on the public’s understanding of the problem and the infor- mation it receives about the programme. Fundamentally sound pro- grammes have failed because of the public’s misinformation and igno- rance. For instance, one very important programme which has en- countered this difficulty in many American communities in recent years is the fluoridation of the water supply to reduce dental caries. Survey research can help to minimize programme failures due to igno- rance or misinformation by providing administrators with data on the

amount and kind of misinformation or ignorance about a programme existing among different groups in the population. Moreover, surveys can also point to efficient ways of remedying existing ignorance.

The timing of a programme and of its parts often involves difficult administrative decisions. Survey data can also be useful in making these decisions.

USING SURVEYS TO IMPROVE ADMINISTRATION OF CURRENT PROGRAMMES

Useful as surveys can be in deciding on new policies and planning new programmes, they are even more valuable to administrators in ap- praising and improving existing programmes. Serious administrative errors are often due to incorrect information on how a particular pro- gramme is functioning. Survey research can help to minimize these errors by periodically securing accurate answers to such questions as : H o w effectively is the programme working in the judgement of the

What groups in the population feel that the programme is working

What suggestions or criticisms do people make? What improve- general public? What support does it have?

well? What groups feel that it is working poorly? W h y ?

Some applications of behaviodal research

How well-informed are people about the programme and its ob- jectives ? What groups are uninformed or misinformed? How can

they most readily be informed?

If the programme involves participation on the part of people gener- ally, what kinds of people are participating? What groups are re- fusing to participate? Why?

An

illustration may help to show how sample surveys can assist ad- ministrators in obtaining a better appreciation of the problems they face in effectively executing a. programme. One March, several years ago, the people living in and near the Vernon Unit of the Kisatchie National Forest, in West Central Louisiana, organized in an effort to drive out the United States Forest Service.

A

small group of young men lit fires over a large part of the area planted by the Forest Service in the preceding few years. Four young men were arrested, tried, and sentenced to terms in the Federal penitentiary. Naturally, there was great tension between the local community and the Forest Rangers. Contrary to a!! tradition, most of the Rangers carried side-arms in the forest and all of them felt it safer not to go there after dark.

In the summzr of that year, we made a survey, at the request of the Forest Service, to find out why these people burned the forest so ex- tensively in March, why they always burned small patches of it in the early months of each year, and what the Forest Service could do to reduce these fires.

Our interviewer was understandably apprehensive when he started on this study, but soon found that he obtained sincere co-operatian from the forest-dwellers.

H e

used a carefully designed interview which approached the people in terms of their problems as farmers. They were asked how they were getting along, how the future looked for them and their families, what was making it hard and finally, at the

end of the interview, they were asked some questions about their attitude towards burning the forest and related matters.

The background of the problem was as follows: The Vernon Unit

of the Kisatchie National Forest comprises a substantial proportion of Vernon Parish in West Central Louisiana.

It

is an area that was logged off from about 1900 to about 1920. The people who live in the area are dark-skinned, with straight hair, and are a mixture-of Indian, Negro and white blood. They form something of a cultural island, as might be expected.

During the logging days, these people had amplc work and lived fairly well. After the timber had been logged off, the land was abandoned

20

by

its owners and was treated as open range by the local people, who acquired small farms of between 10 and 40 acres, on which

they

lived and usually grew a very small cotton crop for cash. The land ’was so gravelly and poor that it took great quantities of fertilizer to produce the cotton. The main source of food and income for each family, there- fore, came from the livestock it owned. Each family had a number of razor-back hogs and tough cattle who could live off the range. This livestock was permitted to roam and forage at willon the cut-over land.

In January or February, each farmer rounded up his cattle and hogs and marked them by branding the cattle and cutting identifying marks in the hogs’ ears. The method used to round up the livestock was to burn a patch of several acres, when the forest was not too dry, near the farmer’s dwelling. After the area had been burned, new green grass would shoot up, and the half-starved livestock would flock to it.

Any

cattle or hogs which appeared, if not marked otherwise, were assumed to belong to that particular farmer.

By

systematically burning these patches, each farmer kept the underbrush from becoming thick in the region where he lived. This provided better range for his livestock, Moreover, most of the natives firmly believed that this burning kept down ticks and poisonous snakes.

Our interviews revealed that, prior to the establishment of the Na- tional Forest, these people were eking out an acceptable existence. However, when the Forest Service bought the open range and began fencing it, there was serious dislocation in the lives of each family, as none of them owned enough land to provide grazing for its cattle and hogs.

As

the land near each family was fenced in, the livestock had to cover greater and greater distances to find adequate grazing. These distances, coupled with restrictions imposed by the Forest Service which prevented the burning of any land, resulted in each family losing the bulk of its livestock. Since the livestock was a major factor in the livelihood of these people, they became frightened and embittered.

The local people could not understand how the Forest Service could buy the open range and fence it.

This

land had always been an open range in their eyes and they had used it in this fashion for years and years.

It

was land that ‘God had given to all of us to use and the Govern- ment had no right to take it from us’.

After the fenced-in areas had been planted

with

long-leaf pine and the trees had gained a small start, the Forest Service began permitting cattle to graze in these areas. Hogs were not permitted because they uprooted the pine seedlings to eat the roots.

A

flat fee of a few dollars was charged for each animal that grazed in the enclosed area. This fee,

Some applications of behaviours[ research

in addition to the grazing charges, included membership in a stock improvement association, which, under the management of the Forest Service, was to bring bulls of especially good strains into the community to improve the livestock. But this improvement programme was forced on the people; they were not convinced of its merits.

This entire programme met

with

opposition by the local people. They did not believe the Forest Service had the right to fence the land or to charge them a grazing fee. They felt that they could not afford to pay this fee out of their meagre cash income and were convinced that any attempt to improve their livestock would produce less hardy animals, unable to survive the rigours of heat, ticks, and open range. When the Forest Service brought in civilian Conservation Corps staff from St. Louis and other distant points to work in the forest, and refused to give any of the local people jobs, the latter had all the evidence they needed.

They

feIt that an attempt was being made to destroy them and drive them from the area. In desperation, they staged a

'Whisky

Rebellion' by burning the forest.

Om

s r ~ e y c!ear!y demmstrzited that the r niirrhasc -*- of the !md 2nd

the replanting of the forest were done with little appreciation of its effect on the people involved. The planning and manage "merit were excellent so far as silviculture was concerned, but there was no planning for the people whose lives were so drastically affected by the programme. Even the signs and instructions posted in the forest used a vocabulary that was not understood by the local people.

The results of this study led the Forest Service to change its policy and programme in this and similar forests. The Forest Service requested that the person who conducted the study be detailed to them for a period of time to assist them in applying the results. This man spent several months working with regional officials and; through a series of training sessions, presented the main findings of the study to every ranger in the southern region of the United States Forest Service.

RESEARCH DATA C A N SERVE LEGISLATORS

Sample surveys can provide valuable information for the legislative, branches of government and enable them to perform their functions more effectively. Election results are by no means a clear indication

of what the people want so far as specific issues are concerned.

The

results of elections are the composite outcome

of

many influences, including many different issues and also the personal qualifications of 22

the candidates. Consequently, in any democratic society there is great need to know how the public feels on important issues.

Legislators generally agree that it is necessary to know the public’s opinion on the issues under consideration but, until recently, they have had no choice but that of accepting grossly inaccurate and crude estimates. Even though more accurate assessments can now be made, habitual reliance on the old methods continues. M a n y legislators seek information on public opinion by systematically following newspaper editorials, assuming that these editorials present public opinion with reasonable accuracy. Another method used by many legislators is to visit ‘representative’ leaders

in

their district.

A

substantial number of legislators rely considerably on the letters they receive as a guida to public opinion.

This

reliance on newspaper editorials, discussions

with

‘representative people’, and letters continues, in spite of research show- ing that these methods are extremely inaccurate measures of public opinion.

One reason why legislators fail to use survey research is their lack of knowledge about this new scientific tool and what it can do. Another may be their fear of technological unemployment. They do not want the ancient art of politics altered by science!

A

particularly significant reason is that legislators properly resent the role of a mere rubber stamp that endorses and acts upon poll results.

A

democracy is doomed if its leaders become mere followers of

public opinion. There is a need for genuine leaders in political life, who willdiscuss important issues and present them to the public with

a clear statement of what each problem involves, the possible alter- natives and the relative advantages and &advantages of each. Sample surveys can, however, perform a very valuable service to the legislator who is a real political leader. Instead of merely obtaining data showing whether a majority approves or disapproves of a particular policy, survey research can perform certain functions for each issue or problem.

It

can:

1. Provide evidence showing what basic policy the public actually wants pursued on the given matter.

2. Show what portions of the public

wish

to have a given policy fol- lowed, what portions prefer other policies, and why.

3. Obtain data on the level of information that various segments of the public have on the problem, the sources of this information, and the best methods for increasing the degree of knowledge and under- standing within each segment of the public.

Ssme applications of behaviourd research

understanding of the problem by different persons and the policy which they prefer. Attitudes based on ignorance can then be dif- ferentiated from those based on knowledge and understanding.

5. Obtain evidence on the underlying motives that influence the opin- ions held.

A

democracy willtake a long stride forward when its legislators and political leaders use survey research to obtain such material and then use this material to foster discussions and full consideration of the basic issues of the day among its citizens. Moreover, this same material

w

i

l

l

provide legislators

with

additional information for use in their discussions.

At

times, polls have asked specific questions on alternative ways of implementing policy. T o ask these questions and to publish them

with

the inference that this is the programme that the legislators and the administration should follow is open to serious question. The wisdom

of public experience and public thinking can indicate the general policy to be pursued, but the

help

of technical experts is often required to devise the best method of implementing the public will.

The sample interview survey, either in the form of published polls

or in the form of special studies for legislative bodies, can be a valuable tool for legislators.

It

can show them what the real desires and wishes of the public are; it can help to disarm special pressure-groups; it can show where there is need for greater public information, and assist legislators in many similar ways.

In

all these functions, survey results should be used as a guide to the deliberations and judgements of the legislators in much the same way as other factual data are used.

Further illustrations of the many different ways in which behavioural research is helping to solve problems constructively are cited in other chapters of this volume.

This

research is assisting all kinds of organi- zations and leaders to perform their functions more efficiently and satisfactorily.

ORGANIZING RESEARCH SO AS TO FACILITATE APPLICATION OF THE FINDINGS

A

pervasive difficulty in using research to

help

in solving problems is that of finding out how to organize the research so as to facilitate application. Usually, an organization’s major purpose for conducting research is to improve its operation. But improvement always requires change, and change is sometimes painful. Since research often increases 24

the amount and magnitude of change, all the problems involved in changing the activities of an organization are present when attempts are made to apply research findings.

Orders by themselves are seldom sufficient to produce effective change in an organization and its functioning. Other procedures, including those which make some use of participation, are usually required. Such participation or co-operation must be sought by those who possess in- formation as to what changes might bring improvement. When this information is based on research, it is the researchers, therefore, who are primarily faced

with

the problem of securing the participation and co- operation of the others if the research results are to be applied success- fully. Moreover, applying new ideas requires not only a knowledge of the new idea but also a full understanding of the present operation. Thus the research staff faces the problem of securing participation, not

only to facilitate co-operation

in

bringing about desirable changes, but also in order to be sure that the changes sought represent the best think- ing, based upon both past experience and current research findings. Much of the rest of this chapter willbe devoted to considering how this kind of participation may be obtained. Co-operation in seeking and achieving change grows out of honest participation with full recognition and appreciation of the important ideas that the many kinds of people involved can contribute. Co-operation is not created

by manipulation, at least not for long.

AVOIDING RESISTANCE

When an organization contemplates calling in research experts, there may be people in influential positions who view the proposed research with reservations.

It

is well not to proceed with the research until these criticisms and reservations have been examined fully and in relation to the advantages and disadvantages of undertaking the research. Resistance

w

i

l

l

manifest itself sooner or later, and it usually is better that it should come out in the open eariy and be faced frankly. Often,

if this is done candidly and without emotion, these people willbecome more and more involved in the research and increasingly favourable in

their attitude toward it.

If

resistance is ignored or brushed aside, it is very

likely

to result - in efforts to stop the research if difficulties are encountered, or

in

Some applications of behavioural research

CREATING REALISTIC EXPECTATIONS

Just as some persons are unduly sceptical about the probable value of the results of research, others are unduly optimistic. The latter tend to hold unrealistic expectations as to what research can do for them or for the organization. This can result in serious difficulties, for there are aspirations that even the best research cannot possibly achieve. If people within an organization maintain these unrealistic expectations, they are bound to be disappointed

with

the results obtained from any study, no matter how good they are.

In order to avoid the disappointment which occurs when unreal ex- pectations exist, it is important to create expectations that are modest in comparison to the probable contributions from research.

It

is best to create these moderate expectations during the planning stages of the research project. This can be done while discussing the problem to be studied and the probable character of the expected results. When ex- pectations are modest, the value of the research results is likely to be greater than anticipated, and this encourages the further use of research.

HIERARCHICAL LEVEL OF THE RESEARCH STAFF

Kettering and others have observed that, when a research staff is under the direct supervision of the person whose function is being affected by the research, the latter is often discontinued. They have concluded that, to work successfully, a research staff must report to someone superior to the man whose function is affected by the research results. This principle seems equally applicable to both the physical and social sciences, and for the same reason in each case.

As

the results of research lead to improvements, the head of the operation most affected may feel threatened,'and may therefore wish the research to be discontinued or the results ignored. H e may bury the findings, if he has the authority to do so. Consequently, the research staff in an organization should neither report nor be directly responsible to the person whose function is directly affected by the research, but should report instead to the immediately superior echelon.

Another important advantage of such action is that when the research staff reports to

the

man whose function is affected by its findings, not only may he discontinue the research, but he may also limit the scope

of the problems studied or order the staff to produce findings that

will

justify his conduct. Such restrictions make effective research impossible.

Emphasizing that the research staff should report to a sufficiently high echelon in an organization does not mean that all its activities must be conducted through such channels. Generally speaking, the formal channels should be used in agreeing on the nature and scope of a particular research project but, once this is done, there is a distinct advantage in the research staff's establishing direct and close contact and communication with all the different echelons and groups involved in the research. Even when the formal channels are used in agreeing on the nature of the research project, authority should not be used to force the research on the units involved.

It

is usually unwise to under-

take research for or in a unit which does not genuinely want it.

Ex-

perience shows that there are very few situations where it is wise for a behavioural research staff to use authority to force others to co-operate

with it. When people are ordered to co-operate, they are likely to give distorted information.

RESEARCH O N PRINCIPLES A N D PROCESSES-NOT FOR SURVEILLANCE In conducting organizational research [4], the research staff should emphasize and re-emphasize that the objective of the research is to discover the relative effectiveness of different methods and principles, and that the study is in no way an attempt to perform a supervisory function. The emphasis must be placed on discovering what principles and methods work best and

why,

and not on finding out and reporting on which individuals are doing their jobs well or poorly.

Unless these objectives are made clear to all, and are rigorously adhered to, it willnot be possible for the rese'trch staff to secure full co-operation from the people in the organization being studied.

It

is also important for the research staff to make clear to all concerned that the interviews, questionnaires, and other data obtained will be kept strictly confidential. People must be told that this material is being collected for purposes of statistical analysis and that no one willbe able to tell sub- sequently what specific answers were given by a particular individual.

This

guarantee of confidentiality must be clearly given and strictly observed. It may sometimes prevent the research staff from reporting separately the data for very small groups, since to do so might reveal

the attitudes and answers of individual members.

Research focused on discovering better principles and methods of organization and leadership reassures those who may feel threatened by the research.

If

they feel that the purpose of the research is to help

.Some applications of behavioural research

them to do their job more successfully,

they

are usually eager to co- operate, and

this

co-operation often increases as they see that the results are being used for this purpose rather than to discharge or penalize those whose work is below standard.

.

ASSURING USE

O F

'RESEARCH RESULTS

INDUCING CO-OPERATIVE RATHER THAN DEFENSIVE ATTITUDES

Measurements of the operation of any government agency, business or other organization almost always show that some things are being done well and other things less well. In examining these research results, the officers of an organization can take a constructive or a defensive attitude toward the data. Occasionally, an officer or supervisor takes a defensive attitude and immediately becomes fearful when the data obtained show that his function is not being carried out in the best possible manner.

H

i

s

impulse, as soon as he sees such research results, is to lock them up immediately so that no one else can discover that the operation is not functioning perfectly. However, most officers or supervisors take the opposite point of

view

when looking at such data. Their reaction is to look with pleasure at the results

which

present a favourable picture, but to look at them hastily. They then turn

with

genuine enthusiasm to the results which indicate where and how the work can be improved.

They

immediately share this information

with

their colleagues, subordinates and all others concerned so that the necessary steps can be taken for further improvement in the organ- ization's performance,

As

w e shall see, there is much that both the officers of an organization and the research staff can do to prepare and assist personnel to take a constructive rather than a defensive attitude toward research results.

PARTICIPATION IN PLANNING AND IYTERPRETATIOW

If

people are unfamiliar with a research project and know little about it,

they

are not

likely

to understand the findings or to be interested in

applying them. Personal involvement not only decreases the barriers to the use of data, but increases the probability that the results willbe

understood and accepted. In particular, it provides a positive moti- vation to apply the results. This involvement should also include those who can infldence the application of the results, and should start at the very beginning of the project, increasing as the latter reaches the analysis stages. T o wait until research results are available before attempting to secure participation is unwise, and is likely to lead to full or partial rejection of the results.

The effectiveness of participation and involvement depends very much upon the rate or timing involved. There seems to be no substitute for taking adequate time at many points in the process. The first point occurs when an organization is considering whether research should be undertaken on a given problem.

If

high-pressure selling is applied, resistance is very likely to occur. O n the other hand, if their problem and needs are examined carefully and consideration is given to the help that research can and cannot provide, with no pressure for a decision, the officers of an organization are usually more likely to understand and accept the assistance that research might provide. Moreover, the research staff is more likely to understand the problem and be able to design an efficient study if the decision to proceed is not made hastily. When an organization, after careful thought, has decided that it willbenefit from research on its problems, and when it begins to

press the research staff to proceed, its officers are much more likely

' to be interested in the study and to take the time and energy required

to become fully involved in the research.

Securing the participation of the relevant personnel in the planning stages of a study yields two dividends. It enriches and improves the material used in planning the study and also achieves the desired in- volvement.

A

similar gain occurs if participation is sought in the analysis and interpretation phases of the research project. The know- ledge of internal operations which officials and employees possess makes them experts whose help is needed by a research staff in planning a study and interpreting the data.

PRESENTATION OF PRELIMINARY RNDINGS FACILITATES ACCEPTANCE OF RESEARCH RESULTS

The involvement and interest of the officers of an organization tend to wane if the research staff waits until the analysis is completed before presenting them with any results. Moreover, people are usually better able to interpret research results when given time to assimilate gradually

, Some applications of behavioural research

the main findings of the research.

If

nothing is reported to an organi- zation until the final analysis is presented, the officers are confronted with a body of data which often includes results which surprise them. The research staff thus presents them

with

what amounts to a ‘take it or leave it’ situation, which is not a desirable reaction from the standpoint of the researchers. O n the other hand, when the research staff presents the officers of an organization

with

some inkling of the probable results, stressing that these are highly tentative, the officers are not compelled immediately to accept or reject the data. Moreover, as further data are reported to them and a clearer and clearer picture of the results is progressively built up, the officers follow the process

with interest. During this period they can test the validity of the results by using other evidence or clues.

This

testing of the results and dis- covering that they are valid facilitates their acceptance.

People find it hard to change their thinking rapidly. It seems to require time for each of us to test new ideas and new results, gradually to discover their validity and to accept them. Not until then are we

no substitute for time in this process. Whenever pressure is exerted to achieve changes in points of view in unduly short periods of time, there is likely to be strong emotional resistance to it.

willing to hldd decisior?s upor? these new findings. ThP,rP, seems tc! be

USE OF HIERARCHICAL SOURCES OF INFLUENCE

To assure effective application of research findings, it is important to recognize the hierarchical structure in an organization, and it is also essential to utilize the power structures as perceived by members of the organization. Any series of meetings to achieve participation should follow a sequence which recognizes the presence of these forces.

Re-

search data presented to the groups in the meetings should show how different persons in the organization perceive the power roles of other persons in the line and in staff groups. The people at the top of each organizational unit-particularly if they are perceived as competent and powerful-are found to exercise appreciably more influence on the organization than any other persons within it.

Even in physical science and engineering research, top management should be kept interested in the research and identified with it. This interest encourages design engineers and those who must apply the results to follow the research more closely and reduce the lag between the development of new knowledge and its actual use.

Because of the particular problems involved in applying the results of behavioural research, it is even more important to secure the interest and full support of top management in planning research and inter- preting the results. The president of an automobile company does not have to understand the research involved in developing a new engine when he approves plans for putting it into production.

All

he needs to know is that it willperform better and require less fuel than the present engine.

The

problem of applying behavioural research results, however, is not so simple. Effective application depends very much upon full understanding azd use of the research by the top manage- ment of the organization. Consequently, top management must be kept fully informed of the progress of the research and fully involved in the application of the findings.

USING DATA SO THAT THEY PRESS FOR ACTION

Business executives and government officials who have made extensive use of behavioural research often point out that they use the resultsin such a way as ‘to make the data do the work of pressing for action’. T.

R.

Gamble used research results very effectively when he was Director of the War Finance Division of the United States Treasury Department during the last war.

One illustration willserve to show how he did this. H e knew, for example, from his experience as Chairman of the Oregon W a r Bond Committee that personal solicitation was essential if substantial num- bers of bonds were to be sold. H e discovered, also, after he became Director of the War Finance Division, that the chairmen of many other States did not accept his experience as a guide to what they ought to do. They shuddered at the thought of having to recruit and train tens of thousands of volunteers to serve as solicitors in war bond campaigns. Consequently, when he urged them to use solicitation and cited his own experience,

they

would solemnly assure him that their State was different from Oregon and that personal solicitation was not necessary to sell bonds in their State. The result was an impasse and, at first, several States did not use personal solicitation.

A

study of the effectiveness of the Second W a r Bond Drive provided Mr. Gamble with data such as those shown in the figure below, which shows the effectiveness of personal solicitation. H e had a brief pamphlet prepared wich showed these and related results.

He

distributed these pamphlets to all the States and County W a r Bond Committees.

H e

Some applications of behavioural research

q o u g h +extra bonds

Of all gainfully employed in the country, how many were personally asked1 to buy in second drive?

Bought extra bonds

I

25 % 75%

I

SOLICITED

I

. NOT SOLICITED

Of these

1. Includes those whose wives were solicited.

also had the results presented in the regional meetings at which the plans for the Third W a r Bond Drive were discussed and developed. The net effect of using the data in this way was that War Bond C o m - mittees convinced themselves of the value of solicitation. They re- cruited and trained a much larger group of solicitors.

As

a result, the number of people who were personnally asked to buy war bonds in- creased from 25 per cent in the Second Drive to 50 per cent in the Third, and the sales of Series

E

Bonds almost doubled.

The impartiality of accurate measurements usually facilitates

ob-

jective consideration of the facts and this leads to the acceptance and implementation of effective policies. When decisions are made by pitting one person's experience and judgement against those of another, there is usually disagreement. Often the best decision is not made, and any decision that is made is only accepted and followed half-heartedly

by

many of those involved.

APPRAISING USE OF RESEARCH RESULTS BY RE-MEASLWMENT

. One characteristically human tendemy is to assume that whenever a change is made it results in an improvement. This is not always the case. There is only one way to know whether a change has resulted 32