- Email: [email protected]
Postal surveys to small manufacturers
Postal Surveys to Small Manufacturers H. Karimabady P. J. Brunn The use of the mtril questionnuire as u surlle_v tool has been the subject of mtrn_v invp.stiKations in the United Stutes, where its use on Lvrious industriul populations has been studied. However \let-x little bus been published either in the U.S. or in the United Kingdom which considers the upplicubility oj’ re.spon.st~-irnl,ro~emPnt techniques to u surt>e_vof smull munu,fucturing,firms. This urticle discusse.s our experience und views on the influence of u number of perceived responseimprovement techniques-type of’ postuge on the enclosed return en\vlope. I”rsonNli~citiori. unonyni~, type C$ yuestionnuire, und,follorz~-up tmd its timing ufter the initiul muilingon u postul survq of smull munqfczcturing compunies in the United Kingdom, us purr of u iurger project on small cornpun? control. The ,finding.s ure compured with Jobber’s recommendutions ,f&r muil .sur~*eyof industriul populutions.
INTRODUCTION The backbone of every large corporation is the many hundreds or thousands of small firms which supply raw materials, subcomponents, assemblies, or expertise. However, the role of the small firms goes beyond that of suppliers; many are distributors, retailers, and customers of large organizations, while others produce specialized Address correspondence to Dr. P. J. Brunn. UMIST. neering Dept.. Manchester M60
Manufacturing IQD.
and Machine
Mechanical
Tool Division,
UK.
lndustriul Marketing Munupwwrt 20, 3 19-326 ( I99 1) 0 Elsevier Science Publishing Co., Inc., 1991 655 Avenue of the Americas, New York, NY 10010
P.O.
Engi-
Box 88,
products for the immediate local market. Small firms, due to their proximity to the end market, can also often supply products at considerably reduced cost since transportation costs are lower. In small firms owners and managers are generally in direct contact with their customers and can often respond to their requirements and delivery dates with more ease than large corporations. In the United Kingdom, the importance of small firms and their contribution to employment and output was highlighted by the Bolton committee’s report in 1972 [ I]. In the 1980s even more importance has been given to the role of small firms by current government policies. With the increase in awareness of importance of small firms, many researchers in the United States and the United Kingdom have studied the various causes of small firm failure and suggested means of overcoming them. However, it has been suggested that a substantial proportion of firms still fail each year in both countries [24]. The problem is that while the overall needs of the general small firm population have been studied and to a considerable extent satisfied individual needs, for instance specific operating characteristics and requirements, have been left untouched. The overall aim of our research, therefore, was to assess the control and management system requirements of small manufacturing firms within the United Kingdom so that a suitable production control package could be developed to meet their requirements. To study the fore319 0019.8501/91/$3.50
Response
inducements
mentioned characteristics. a survey of firms in the Greater Manchester area was carried out. The selected firms were members of the local chamber of commerce and all had less than 2.50 employees. A review of possible surveying techniques. namely, mail questionnaire, telephone survey, personal interview and micro survey [5-71, identified the postal survey as the most economical and feasible surveying technique in this case. However, in spite of the extensive literature on improving the response rate to mail questionnaires [5, 6, g-101. no article was found to consider the applicability of the suggested response-inducement techniques to small manufacturing firms. Therefore this article will assess the effects of various types of postage on the enclosed return envelopes, personalization, provision and assurance of anonymity, deadlines. type of questionnaire, and follow-up on the response rate when surveying small manufacturing tirms using a postal survey.
REVIEW OF LITERATURE Although mail questionnaires have generally been associated with low response rates, investigators have shown that various techniques can be applied to improve the response. These techniques are divided into three time-phased categories: preliminary, concurrent, and follow-up in relation to the time the questionnaire is posted. The following sections review the applicability of each category to the industrial population. The general population is one where recipients are surveyed at their place of residence; the industrial population is one where recipients are surveyed at their place of work. Different
t-i KARIMABADY recently received his Ph.D. In the Manufacturing and Machine Tool Division at the University of Manchester Institute of Science and Technology. P.J BRUNN is a Lecturer in the Manufacturing Tool Division of the Department of Mechanical U.M.1.S.T
320
and Machine Engineering at
were tested.
response-inducement techniques apply to each of these populations. For instance, industrial respondents may be more sensitive to the length of the questionnaire and the time it takes to complete it than are members of the general public [ IO]. While Kanuk and Berenson [5] and Duncan [9] provide sound literature surveys of the effect of perceived response-inducement techniques for the general population, Jobber [lo] gives a comprehensive review of the industrial sector and draws distinctions and similarities between the two populations whenever possible. Jobber covered 55 studies and consequently is referenced frequently by post- 1986 industrial researchers; therefore Jobber’s recommendations are briefly considered before discussing the present survey. Preliminary
Contact
This involves informing the study population that a survey will be carried out in the near future and that their cooperation will be appreciated. In a review of the available literature. Jobber found two independent studies where a prior letter had actually reduced the response rate. A third study revealed a high return rate when prior telephone contact was used, but due to the absence of a control group its incremental effect could not be established. From these results Jobber concludes that preliminary contact was not an effective tool for increasing the response rate [ 101. Concurrent
Techniques
These are response-inducement techniques which are conveyed in or by the questionnaire and include types of appeal, postage, and personalization, monetary inducements, questionnaire size, type, and color, deadlines, and provision and assurance of anonymity. T_vpes of Appeal. The three most commonly used types of appeal are egoistic (the response of the individual concerned is important to provide better facilities or environment for the respondent), help the sponsor (the importance of the individual’s response to the researcher) and social utility (the importance of the individual’s response to the other members of the same population).
According to Jobber, evidence favored the use of the appeal for the industrial population “help-the-sponsor”
IlO]. Return EnvelTypes of Postuge on Enclosed opes. Jobber found that while enclosed plain return envelopes without stamps were as effective as their stamped counterparts (the type of postage used was not stated), first class postage generated a higher response rate than licensed or metered postage. Jobber concludes that since prepaid envelopes have already incurred a cost the recipients would rather complete and return the questionnaire than throw away the envelope or use it for another purpose [IO]. On the other hand, licensed postage only incurs a cost if and when it is used and hence the envelope more likely to be thrown away unused. Personalizution und Anonymity. Jobber found the effects of personalization in industrial population to be inconsistent. However, based on the available evidence he concludes that given assurance of anonymity, personalized cover letters reduce the response rate, since anonymity, although assured through apparently unmarked questionnaires, is not felt to be guaranteed by recipients. Personalization and anonymity arc linked, and may work at cross purposes when sensitive information is sought
[lOI. Monetury Incentives. Jobber found monetary inducements as little as ten cents to $1 to be one of the most effective means of increasing the response rate to mail surveys in the industrial population. He further concludes that nonmonetary incentives were also effective tools for increasing the response rate, although their effect was not as striking as monetary incentives. In contrast, he found no increase in response when a gift was promised. He suggests that this type of incentive places an emphasis on a future rather than an immediate reward, which often requires firms to identify themselves, with a consequent loss of anonymity. Based on this evidence Jobber concludes that only enclosed monetary and nonmonetary incentives can be confidently applied with the survey. Questionnuire Characteristics. Colored questionnaires are generally assumed to increase the response rate significantly over their white counterparts since they are more visible among the papers on the recipients’ desks. However, Jobber did not find significant evidence to support this hypothesis. Furthermore he found no significant difference in response between double- (1 back-to-back sheet) and single-sided questionnaires (two pages). However, he found support for the use of closed (multiple choice) questions over open-ended (essay type) questions
and smaller 8.5 x 1 l-inch size questionnaires over 8.5 x 14-inch sheets [IO]. Deadlines. Jobber found no significant difference in response rate when deadlines were used. However, since it does not add to the cost of the survey and might increase response, it was recommended [IO]. Follow-up. Follow-up has been found to be the most effective tool for increasing the response rate in a mail survey. Although the most usual form of follow-up involves sending a reminder letter plus another questionnaire to recipients, Jobber found that a reminder in the form of a letter was as effective in increasing the response as when a second questionnaire was enclosed, but only in the first follow-up. He also found that a follow-up letter plus a questionnaire was not as effective as a questionnaire plus a telephone call [IO]. SURVEY DESIGN From Jobber’s recommendations it appears that the most beneficial tools for increasing the response rate in a mail survey of an industrial population are the helpthe-sponsor type appeal, monetary incentives, assurance of anonymity, inclusion of stamped or unstamped return envelopes (not licensed postage), follow-up, the use of 8.5 x 1 1-inch size questionnaires, and closed questions. However, Jobber’s recommendations are based on work carried out in the United States and concentrating on medium and large organizations. Our survey concerned small manufacturing firms in the United Kingdom, hence the validity of Jobber’s conclusions were not known. The purpose of this survey was to enable the authors to investigate the control and management system requirements of small manufacturing firms to assess if a production control package could be developed to meet their requirements. To achieve this aim, the authors set out to obtain through a mail survey real data concerning widely varying aspects of small manufacturing firms. The 1 l-page questionnaire addressed a range of small firm characteristics, namely, details of entrepreneurs, products, and processes, use of computers, employees, partners, and familiarity with current production control strategies. To optimize the response we elected to employ Jobber’s recommendations for the majority of questionnaires, but their effectiveness was to be evaluated by provision of alternative techniques. Monetary incentives and stamped return envelopes were not provided in the first mailing due to financial restrictions. However, stamped return envelopes were included for some firms 321
in the follow-up to assess their effectiveness over unstamped return envelopes which were sent to the control group. (Plain return envelopes were provided for all recipients in the initial mailing). Questionnaires were blind coded in a manner undctectablc by the recipients in order to identify respondents and eliminate the possibility of sending follow-ups to those who had already replied. The cover letter utilized a help-the-sponsor appeal, provided assurance of anonymity and contidcntiality of data, was addressed to the “Managing Director” or the owner/manager by name, was individually signed by one of the authors. and was on a separate page than the questionnaire. The I I-page questionnaire (6 pages when double-sided) was designed in the multiple choice format to reduce answering effort and to aid the recipients in making decisions. Finally, instead of attaching labels stating the authors’ address on the return envelopes, this was printed on the questionnaire and a window envelope was provided for return. Preliminary contact was not used in the current survey. A total of 503 firms in the Greater Manchester area were surveyed after their mailing addresses were stored in a suitable data retrieval system (DbaseIII + ; see next section). Having set up the address list and printed and assembled the questionnaires, the questionnaires were posted over a period of 2 weeks at a rate of 50 per day. This rate was determined by the ability of the authors to sign the covering letters, mark and label questionnaires, and check their status against the data base. The initial mailing was sent to 503 firms, as follows (Table 1): I. Double-sided
questionnaires were posted to 303 tirms and anonymity maintained by addressing the cover letters and outgoing envelopes to the “Managing Director. ” Although Jobber concluded that double- and single-sided questionnaires did not significantly differ with respect to response rate, his conclusions were based on a maximum of 2 pages.
TABLE 1 Distribution of Firms in Initial Mailing According to Type of Questionnaire and Label on the Cover Letters and Outgoing Envelopes Label Questlonnalre Ihllblc-\Khl Single-\ldecl
No Name 301
Name
Total
%
101
104
x0.3
YY
lY.7
YY
l‘0t4
302
101
w
70.0
20.
Plain rc‘turnenvelopesprovided
322
so3
I
Ior 211 recipient\
100.0
However, in this study, since the questionnaires was made up of 1 I pages, it was thought that double-sided questionnaires would appear shorter and increase response. For this reason the majority of firms were surveyed using this type of questionnaire. 3 _. Double-sided questionnaires were posted to 10 1 companies and anonymity violated (although assured) by addressing the managing directors by name on the covering letters and outgoing envelopes. 3. Single-sided questionnaires were posted to 99 tirms and anonymity preserved by addressing the covering letters and outgoing envelopes to the “Managing Director. ” The combined effect of single-sided questionnaires and personalized cover letters (table 1) on response rate was not investigated since this would have significantly reduced the effective sample size in each category, hence, reasonable conclusions may not have been possible, and because the prime objective of the study was to increase the response rate; consequently. perceived adverse factors were kept to a minimum. Follow-up was to be carried out two weeks after the initial mailing but was delayed until approximately a month later due to a persistent postal strike. However, tirst and second class stamped return envelopes were provided for some tirms to assess their effectiveness in increasing the response rate over the control group. which received unstamped return envelopes. For the follow-up a total of45 1 firms were contacted, of which I5 1 received a prior telephone call requesting their assistance. Of those telephoned. 45 refused to cooperate, but a second questionnaire was sent to the remaining 106 firms who stated they would reply if a follow-up questionnaire were sent. The remaining 300 hrms who did not respond to the tirst mailing were sent a second questionnaire, follow-up letter, and one of three types of return envelope. Various degrees of personalization were also applied in the follow-up by addressing the covering letter as well as the outgoing envelopes to the “Managing Director” or the owner/manager by name. Table 2 shows the response inducement techniques applied to the 409 firms in the follow-up exercise. Selected
Col~lplltcr.
Packrl<~c.s for
Lkfll
Storuge
mci
To handle the data concerning the recipients of and response to the questionnaires, various means of data storage and analysis were considered. For storage, data bases were found to be more suitable than spread
Anu/~si.s.
TABLE 2 Distribution
of Firms by Type of Questionnaire
Label, Envelope, and Telephone
Contact
Label Questlonnalre
No Name
Name
Return Envelope Postage
Telephone Contact
Total
% X0.0
Double-sided
62
IX
First Class
80
Single-sided Total
20 x2
20
20.0
IX
First Class First Class
I 00
100.0
82.0
18.0
Double-sided
61
23
Second Class
I84
84.0
Single-sided Total
16 77
16
16.0
23
Second Class Second Clash
100
100.0
77.0
23.0
Double-sided
61
I7
Single-sided
22
r/c
c/r
Total Q Double-sided
X3
I7
X3.0
17.0
Q
100.0 Plain
78
78.0
Plain
22
22.0
100
100.0
Plain
100.0 First Clash
Yes
37
34.0
69
First Class
Ye\
69
65. I
37
6’)
First Class
Yes
106
100.0
34.9
65.1
37
Single-sided Total
100.0
sheets; consequently, two of the available systems, namely DBase111 + and Scientific Information Retrieval (SIR) were considered. Statistical Package for Social Sciences for personal computers (SPSSPC + ) [ 1 I] was chosen for data analysis. Therefore, the database had to be both compatible with SPSS/PC+ and able to provide required facilities such as access to more than one data tile at the same time and printing of labels. Although both DBaseIII+ and SIR were compatible with SPSS, the latter required a conversion program and was not pursued. A total of 10 data bases were subsequently created in DBase111 + to hold various subsets of the survey data. Selected Statistical Technique for Data Analysis . Analysis of variance (ANOVA) is generally applied in studies to evaluate the effects of individual response inducement factors and their interactions; however, its use in this study was prohibited due to unequal sample sizes and empty cells in the categories. Unequal sample sizes were generated since, as stated earlier, the main aim of this study was to investigate the production control and management system requirements of small manufacturing organizations. Hence, to increase response, the perceived response-inducement techniques were applied to the majority of the surveyed firms (Tables 1 and 2). The procedure used for analysis of the response rate was contingency tables (CROSSTABS in SPSSPC + ). The simplest form of a contingency table is a 2 x 2 table, which represents the effects of one dichotomized independent factor on one dependent variable. The analysis
100.0
subsequently calculates the expected frequency in each cell under random conditions and compares it with the actual obtained frequencies. A significant difference between the two frequencies indicates a significant association between the independent and dependent factors [Ia. Throughout this report a significant association is taken to mean a probability of occurrence of 95% or greater. Although the selection of a significant level is to some extent research dependent, the 95% level was adopted to enable our conclusions to be compatible with similar studies by other authors and to allow for comparison of results.
RESULTS Response
Rate
In a study of definition of response rates, Wiseman and Billington [ 131 stated that most researchers fail to consider a number of factors such as ineligibility and number of noncontacts, and hence do not report true response rates. They recommend the use of a definition given by the Council of American Survey Research Organizations (CASRO). This council defines the response rate in a single stage survey as Number of completed interviews with responding units x 100 Number of eligible responding
units in the sample 323
Based on this recommendation the total response rate for the current survey was calculated as 24.2% in the following manner: Total number of respondents = 122 Total number of eligible responses = 86 Total number of ineligible responses = 36 (1 firm had closed, 22 were not manufacturers, IO had had their phones disconnected and 3 were known to have gone bankrupt) Percent of eligible lirms = 861122 = 70.49% Total number of nonresponders = 503 - 122 = 38 1 Expected percent of eligible firms in nonresponders = 381 x 86/122 = 269 Response rate = [86 X 100]/[86 + 2691 = 24.2%.
the total response rate) as the initial mailing (5 I .2% of the total response rate), thereby establishing its importance in the postal survey of this population. Deadlines A deadline of two weeks was given in the follow-up, however neither the speed of response nor the rate of return was found to be appreciably higher in this than in the initial mailing, which had no deadline specified (Figure 1). Specification of a deadline does not increase or speed up response in a survey of small manufacturing firms (in calculating these results the length of the postal strike which occurred in the first mailing was deducted from the affected replies).
Types of questionnaire and postage were tested. This method assumes that the percentage of ineligible responses in nonresponders is equivalent to that in respondents. If this should not to be the case the calculated rate will only be an estimate of the real response rate. As Wiseman and Billington stated, however, “The CASRO initiative is the first step in bringing about much[ 131. In this and all following needed standardization” calculations, respondents are taken to mean those who returned a completed questionnaire. Firms who were not in the manufacturing sector (but were surveyed) and tirms which were unobtainable at their address were considered ineligible and were eliminated from the survey and analysis. Those who replied but did not complete the questionnaire were considered nonresponders.
Type of Questionnaire To determine if double-sided questionnaires produced a higher response rate than did their single-sided counterparts, tirms surveyed using first class, second class, and plain return envelopes and anonymous covering letters were considered (Tables 1 and 2; Figure 2). Performing CROSSTABS on the number of respondents and nonresponders resulted in an insignificant x-square value FIGURE
1.
Speed of Response
C”mm”latlve response late (%I 1 .*
loo190
Follow-up
80 !
Figure I shows the speed of response for the first wave of questionnaires and the follow-up. Fifty and 69% of the first wave and follow-up respondents, respectively, replied within 7 days of receipt of questionnaires, and 79.5 and 83.3% of both groups responded by the tenth day. The remainder of replies drifted in over the following 7 days. Therefore, it is reasonable to suggest that a period of 10 days should be allowed between the initial mailing, first, and second follow-ups. Finally, the follow-up brought in almost the same number of returns (48.8% of
70
324
in First Mailing and
Follow-up
Follmw
,i-'
60
i
,I /
50 40
i !
I
3ot
i'
i
k-
’
-j:;it+ I-
I,’
h,l,ma,,,ng
fi *
I'
I
ii jf
20 10
‘,,a
/ MY j ’
-;
!' t
/ /
;i;
1 /' o-J--, 3.
1 5.
l-i 7
-7 9.
+
i--t
Ii
t--t
~~r-tt
11. 13. 15. 17. Numberofdaysbefore returns
t1 19
+ 21.
I~, 23.
and second class return postage on return envelopes produced significantly higher and lower returns, respectively. It is thought that once the recipients are identified by name the use of first class return envelopes improves the response rate partly by creating a sense of importance in the reply and partly by provoking a sense of guilt if the questionnaires are thrown away or not returned. The use of second class envelopes, however, are thought to have the reverse effects and hence reduce the response rate. Provision of plain return envelopes did not cause a significant change in response rate in either direction. Unstamped
Personalization FIGURE 2.
Response Rate vs. Type of Postage on Enclosed Return Envelopes
in each postage category. The results indicate that irrespective of the type of postage used, no association existed between the type of questionnaire and the response rate when anonymity was maintained by addressing the outgoing envelopes and the covering letter to the “Managing Director. ” This finding refutes our hypothesis that double-sided questionnaires appear shorter than their single-sided counterparts. Given this and the fact that personalization and type of questionnaire are not related, it can be concluded that double-sided questionnaires do not generate a significantly different response rate than their single-sided counterparts.
To study the effectiveness of various degrees of anonymity in inducing response (anonymous vs. personalized cover letters), firms in the second and third categories above were considered, under various types of enclosed stamped return envelopes (Tables 1 and 2; Figure 2). The results of this analysis reveal that when second class or plain return envelopes were provided, anonymous cover letters did not generate a significantly higher response rate than their personalized counterparts. However, personalized cover letters were found to be more effective in inducing response than their anonymous counterparts when first class return envelopes were provided. Again, this is thought to be due to the enhanced psychological effects that personalized cover letters generate when used in conjunction with first class return envelopes.
Preliminary Types of Postage on Enclosed Return Envelopes To determine the impact on response rate of stamped return envelopes included in the follow-up, firms surveyed using first class, second class, and no stamp on the return envelope were compared using 1) no name and single-sided questionnaires; 2) no name and double sidedquestionnaires; and 3) name and double-sided questionnaires. Figure 2 depicts the response rates. As can be seen in the first case, while first class postage on the enclosed return envelopes generated the highest response rate, analysis of the data using contingency tables revealed an insignificant difference in response rate between the types of postage used. Similarly in the second case, although second class postage on enclosed return envelopes generated the highest response rate, as before the difference was not significant. In the third case, first
Telephone
Contact
Comparison of the response rate between the firms surveyed using first class return envelopes in the followup (I 1.O%) and those contacted by telephone before the follow-up t 14.15%) revealed that while the latter generated a higher response rate, the difference was not significant.
CONCLUSIONS In this article an attempt has been made to assess the applicability of Jobber’s [IO] recommended responseimprovement techniques to the mail survey of small manufacturing firms in the United Kingdom. Following these recommendations the results of our survey reveal that: ’ The type of questionnaire (single-sided or back-toback) has no significant influence on the response. 325
Follow-up
was the most effective increase response.
Follow-up is the most effective tool for increasing response. The use of a single follow-up doubled the response rate in the current study. Deadlines do not generate significantly different response rates, nor do they speed up response. In contrast to Jobber’s recommendations the results of our survey reveal that inclusion of first class postage on enclosed return envelopes results in a significantly higher response rate when used in conjunction with personalized cover letters. Finally, the results reveal that unnecessary follow-up costs can be reduced by allowing a IO-day period between the first and second follow-ups. Based on the above results, the authors recommend the use of first class return envelopes in conjunction with personalized cover letters, and view follow-ups as necessity for obtaining reasonable response rates.
3
Peterson, Robert A., Kozmetuky. George. and Ridgway. Nancy M.. Perceived Causes of Small Busines Jourrxrl
of Smtrll Rusiw.~s
November
I.
Cmnd 481
I,
Her Majesty‘s
of Enquiry on Smcdl Firms Stationary Offce,
A Literature Review. Journcrl ofMurketin,q
Rrsrcwch
1972.
2. Ihrahim, A. B., and Coodwm,
XVII,
7. Greenwood.
365-370
Small Business, Amrriwn
Journd
of Smdl
Business XI 4 I-49
(1986).
(197.5).
H. P., The Micro Survey Technique.
Munc/grmrrlt38,
13-10
Mtr,krt
( 1980). Jo~trntrl of .S,wrertl\
(1987).
8. Turner. William J.. Small Business Data Collection by Area Censuring: A Field Test of Saturation Surveying Methodology.
Krsrrrrch.So&t\.31,
./ortrntt/ of
Mtrr-ket
( I Y8Y ).
257-272
9. Duncan. W Jack, Mail Questionnaires in Survey Research: A Rewew of Jounwl
Response Inducement Technique\.
of Mfma,~ermvlt
5, 3Y-55
(1979). IO. Johher, David,
Improvmg Respowe
Mnrkrtitr~
.Stuti.\tic.s Padcrgr
Momr~emcwt fir
Sock/
Rates in Industrial Mail Surveys.
15. I X3- I95 (10%).
Scic~nwv (SPSSIPC + ), University of Man-
I2
Everitt,
B. S., Thr Antr~~si.~
13
Wiseman,
of
Contirlgcvq
T&/es.
19% Chapman & Hall,
London, 1977. Chap. 2. pp. 12. Frederick. and Billington.
Definition of Rcaponse Rate. Journtrl J. K., Perceived Causes of Success in
440-453
of the Effects of Appeals on Response to Mail Surveys. Jolttxtrl of Rrscwch
(Bolton
London,
Tiirw.\,Tuesday,
IO, 1987
chester Regional Computer Center, Manchester. UK,
pp. l-2.
326
( 1983).
6. Childer\. Terry L.. Pride. William M.. and Ferrell, 0. C.. A Reassessment
II.
Bolton, J. E.. Report of the Committre Rqxwt).
IS- I9
Kanuk. Leslie. and Berenson. Conrad. Mail Surveys and Response Rates:
Industrid
REFERENCES
Failure: A Research Note, Amerium
VIII,
Ian, Need for Stronger Support. Firmricrl
4. Hamilton,
5
tool to
33x (1984).
Maryann,
of Mu-Ming
Comment on a Standard Rrscwrch XXI,
336-
INTRODUCTION The backbone of every large corporation is the many hundreds or thousands of small firms which supply raw materials, subcomponents, assemblies, or expertise. However, the role of the small firms goes beyond that of suppliers; many are distributors, retailers, and customers of large organizations, while others produce specialized Address correspondence to Dr. P. J. Brunn. UMIST. neering Dept.. Manchester M60
Manufacturing IQD.
and Machine
Mechanical
Tool Division,
UK.
lndustriul Marketing Munupwwrt 20, 3 19-326 ( I99 1) 0 Elsevier Science Publishing Co., Inc., 1991 655 Avenue of the Americas, New York, NY 10010
P.O.
Engi-
Box 88,
products for the immediate local market. Small firms, due to their proximity to the end market, can also often supply products at considerably reduced cost since transportation costs are lower. In small firms owners and managers are generally in direct contact with their customers and can often respond to their requirements and delivery dates with more ease than large corporations. In the United Kingdom, the importance of small firms and their contribution to employment and output was highlighted by the Bolton committee’s report in 1972 [ I]. In the 1980s even more importance has been given to the role of small firms by current government policies. With the increase in awareness of importance of small firms, many researchers in the United States and the United Kingdom have studied the various causes of small firm failure and suggested means of overcoming them. However, it has been suggested that a substantial proportion of firms still fail each year in both countries [24]. The problem is that while the overall needs of the general small firm population have been studied and to a considerable extent satisfied individual needs, for instance specific operating characteristics and requirements, have been left untouched. The overall aim of our research, therefore, was to assess the control and management system requirements of small manufacturing firms within the United Kingdom so that a suitable production control package could be developed to meet their requirements. To study the fore319 0019.8501/91/$3.50
Response
inducements
mentioned characteristics. a survey of firms in the Greater Manchester area was carried out. The selected firms were members of the local chamber of commerce and all had less than 2.50 employees. A review of possible surveying techniques. namely, mail questionnaire, telephone survey, personal interview and micro survey [5-71, identified the postal survey as the most economical and feasible surveying technique in this case. However, in spite of the extensive literature on improving the response rate to mail questionnaires [5, 6, g-101. no article was found to consider the applicability of the suggested response-inducement techniques to small manufacturing firms. Therefore this article will assess the effects of various types of postage on the enclosed return envelopes, personalization, provision and assurance of anonymity, deadlines. type of questionnaire, and follow-up on the response rate when surveying small manufacturing tirms using a postal survey.
REVIEW OF LITERATURE Although mail questionnaires have generally been associated with low response rates, investigators have shown that various techniques can be applied to improve the response. These techniques are divided into three time-phased categories: preliminary, concurrent, and follow-up in relation to the time the questionnaire is posted. The following sections review the applicability of each category to the industrial population. The general population is one where recipients are surveyed at their place of residence; the industrial population is one where recipients are surveyed at their place of work. Different
t-i KARIMABADY recently received his Ph.D. In the Manufacturing and Machine Tool Division at the University of Manchester Institute of Science and Technology. P.J BRUNN is a Lecturer in the Manufacturing Tool Division of the Department of Mechanical U.M.1.S.T
320
and Machine Engineering at
were tested.
response-inducement techniques apply to each of these populations. For instance, industrial respondents may be more sensitive to the length of the questionnaire and the time it takes to complete it than are members of the general public [ IO]. While Kanuk and Berenson [5] and Duncan [9] provide sound literature surveys of the effect of perceived response-inducement techniques for the general population, Jobber [lo] gives a comprehensive review of the industrial sector and draws distinctions and similarities between the two populations whenever possible. Jobber covered 55 studies and consequently is referenced frequently by post- 1986 industrial researchers; therefore Jobber’s recommendations are briefly considered before discussing the present survey. Preliminary
Contact
This involves informing the study population that a survey will be carried out in the near future and that their cooperation will be appreciated. In a review of the available literature. Jobber found two independent studies where a prior letter had actually reduced the response rate. A third study revealed a high return rate when prior telephone contact was used, but due to the absence of a control group its incremental effect could not be established. From these results Jobber concludes that preliminary contact was not an effective tool for increasing the response rate [ 101. Concurrent
Techniques
These are response-inducement techniques which are conveyed in or by the questionnaire and include types of appeal, postage, and personalization, monetary inducements, questionnaire size, type, and color, deadlines, and provision and assurance of anonymity. T_vpes of Appeal. The three most commonly used types of appeal are egoistic (the response of the individual concerned is important to provide better facilities or environment for the respondent), help the sponsor (the importance of the individual’s response to the researcher) and social utility (the importance of the individual’s response to the other members of the same population).
According to Jobber, evidence favored the use of the appeal for the industrial population “help-the-sponsor”
IlO]. Return EnvelTypes of Postuge on Enclosed opes. Jobber found that while enclosed plain return envelopes without stamps were as effective as their stamped counterparts (the type of postage used was not stated), first class postage generated a higher response rate than licensed or metered postage. Jobber concludes that since prepaid envelopes have already incurred a cost the recipients would rather complete and return the questionnaire than throw away the envelope or use it for another purpose [IO]. On the other hand, licensed postage only incurs a cost if and when it is used and hence the envelope more likely to be thrown away unused. Personalizution und Anonymity. Jobber found the effects of personalization in industrial population to be inconsistent. However, based on the available evidence he concludes that given assurance of anonymity, personalized cover letters reduce the response rate, since anonymity, although assured through apparently unmarked questionnaires, is not felt to be guaranteed by recipients. Personalization and anonymity arc linked, and may work at cross purposes when sensitive information is sought
[lOI. Monetury Incentives. Jobber found monetary inducements as little as ten cents to $1 to be one of the most effective means of increasing the response rate to mail surveys in the industrial population. He further concludes that nonmonetary incentives were also effective tools for increasing the response rate, although their effect was not as striking as monetary incentives. In contrast, he found no increase in response when a gift was promised. He suggests that this type of incentive places an emphasis on a future rather than an immediate reward, which often requires firms to identify themselves, with a consequent loss of anonymity. Based on this evidence Jobber concludes that only enclosed monetary and nonmonetary incentives can be confidently applied with the survey. Questionnuire Characteristics. Colored questionnaires are generally assumed to increase the response rate significantly over their white counterparts since they are more visible among the papers on the recipients’ desks. However, Jobber did not find significant evidence to support this hypothesis. Furthermore he found no significant difference in response between double- (1 back-to-back sheet) and single-sided questionnaires (two pages). However, he found support for the use of closed (multiple choice) questions over open-ended (essay type) questions
and smaller 8.5 x 1 l-inch size questionnaires over 8.5 x 14-inch sheets [IO]. Deadlines. Jobber found no significant difference in response rate when deadlines were used. However, since it does not add to the cost of the survey and might increase response, it was recommended [IO]. Follow-up. Follow-up has been found to be the most effective tool for increasing the response rate in a mail survey. Although the most usual form of follow-up involves sending a reminder letter plus another questionnaire to recipients, Jobber found that a reminder in the form of a letter was as effective in increasing the response as when a second questionnaire was enclosed, but only in the first follow-up. He also found that a follow-up letter plus a questionnaire was not as effective as a questionnaire plus a telephone call [IO]. SURVEY DESIGN From Jobber’s recommendations it appears that the most beneficial tools for increasing the response rate in a mail survey of an industrial population are the helpthe-sponsor type appeal, monetary incentives, assurance of anonymity, inclusion of stamped or unstamped return envelopes (not licensed postage), follow-up, the use of 8.5 x 1 1-inch size questionnaires, and closed questions. However, Jobber’s recommendations are based on work carried out in the United States and concentrating on medium and large organizations. Our survey concerned small manufacturing firms in the United Kingdom, hence the validity of Jobber’s conclusions were not known. The purpose of this survey was to enable the authors to investigate the control and management system requirements of small manufacturing firms to assess if a production control package could be developed to meet their requirements. To achieve this aim, the authors set out to obtain through a mail survey real data concerning widely varying aspects of small manufacturing firms. The 1 l-page questionnaire addressed a range of small firm characteristics, namely, details of entrepreneurs, products, and processes, use of computers, employees, partners, and familiarity with current production control strategies. To optimize the response we elected to employ Jobber’s recommendations for the majority of questionnaires, but their effectiveness was to be evaluated by provision of alternative techniques. Monetary incentives and stamped return envelopes were not provided in the first mailing due to financial restrictions. However, stamped return envelopes were included for some firms 321
in the follow-up to assess their effectiveness over unstamped return envelopes which were sent to the control group. (Plain return envelopes were provided for all recipients in the initial mailing). Questionnaires were blind coded in a manner undctectablc by the recipients in order to identify respondents and eliminate the possibility of sending follow-ups to those who had already replied. The cover letter utilized a help-the-sponsor appeal, provided assurance of anonymity and contidcntiality of data, was addressed to the “Managing Director” or the owner/manager by name, was individually signed by one of the authors. and was on a separate page than the questionnaire. The I I-page questionnaire (6 pages when double-sided) was designed in the multiple choice format to reduce answering effort and to aid the recipients in making decisions. Finally, instead of attaching labels stating the authors’ address on the return envelopes, this was printed on the questionnaire and a window envelope was provided for return. Preliminary contact was not used in the current survey. A total of 503 firms in the Greater Manchester area were surveyed after their mailing addresses were stored in a suitable data retrieval system (DbaseIII + ; see next section). Having set up the address list and printed and assembled the questionnaires, the questionnaires were posted over a period of 2 weeks at a rate of 50 per day. This rate was determined by the ability of the authors to sign the covering letters, mark and label questionnaires, and check their status against the data base. The initial mailing was sent to 503 firms, as follows (Table 1): I. Double-sided
questionnaires were posted to 303 tirms and anonymity maintained by addressing the cover letters and outgoing envelopes to the “Managing Director. ” Although Jobber concluded that double- and single-sided questionnaires did not significantly differ with respect to response rate, his conclusions were based on a maximum of 2 pages.
TABLE 1 Distribution of Firms in Initial Mailing According to Type of Questionnaire and Label on the Cover Letters and Outgoing Envelopes Label Questlonnalre Ihllblc-\Khl Single-\ldecl
No Name 301
Name
Total
%
101
104
x0.3
YY
lY.7
YY
l‘0t4
302
101
w
70.0
20.
Plain rc‘turnenvelopesprovided
322
so3
I
Ior 211 recipient\
100.0
However, in this study, since the questionnaires was made up of 1 I pages, it was thought that double-sided questionnaires would appear shorter and increase response. For this reason the majority of firms were surveyed using this type of questionnaire. 3 _. Double-sided questionnaires were posted to 10 1 companies and anonymity violated (although assured) by addressing the managing directors by name on the covering letters and outgoing envelopes. 3. Single-sided questionnaires were posted to 99 tirms and anonymity preserved by addressing the covering letters and outgoing envelopes to the “Managing Director. ” The combined effect of single-sided questionnaires and personalized cover letters (table 1) on response rate was not investigated since this would have significantly reduced the effective sample size in each category, hence, reasonable conclusions may not have been possible, and because the prime objective of the study was to increase the response rate; consequently. perceived adverse factors were kept to a minimum. Follow-up was to be carried out two weeks after the initial mailing but was delayed until approximately a month later due to a persistent postal strike. However, tirst and second class stamped return envelopes were provided for some tirms to assess their effectiveness in increasing the response rate over the control group. which received unstamped return envelopes. For the follow-up a total of45 1 firms were contacted, of which I5 1 received a prior telephone call requesting their assistance. Of those telephoned. 45 refused to cooperate, but a second questionnaire was sent to the remaining 106 firms who stated they would reply if a follow-up questionnaire were sent. The remaining 300 hrms who did not respond to the tirst mailing were sent a second questionnaire, follow-up letter, and one of three types of return envelope. Various degrees of personalization were also applied in the follow-up by addressing the covering letter as well as the outgoing envelopes to the “Managing Director” or the owner/manager by name. Table 2 shows the response inducement techniques applied to the 409 firms in the follow-up exercise. Selected
Col~lplltcr.
Packrl<~c.s for
Lkfll
Storuge
mci
To handle the data concerning the recipients of and response to the questionnaires, various means of data storage and analysis were considered. For storage, data bases were found to be more suitable than spread
Anu/~si.s.
TABLE 2 Distribution
of Firms by Type of Questionnaire
Label, Envelope, and Telephone
Contact
Label Questlonnalre
No Name
Name
Return Envelope Postage
Telephone Contact
Total
% X0.0
Double-sided
62
IX
First Class
80
Single-sided Total
20 x2
20
20.0
IX
First Class First Class
I 00
100.0
82.0
18.0
Double-sided
61
23
Second Class
I84
84.0
Single-sided Total
16 77
16
16.0
23
Second Class Second Clash
100
100.0
77.0
23.0
Double-sided
61
I7
Single-sided
22
r/c
c/r
Total Q Double-sided
X3
I7
X3.0
17.0
Q
100.0 Plain
78
78.0
Plain
22
22.0
100
100.0
Plain
100.0 First Clash
Yes
37
34.0
69
First Class
Ye\
69
65. I
37
6’)
First Class
Yes
106
100.0
34.9
65.1
37
Single-sided Total
100.0
sheets; consequently, two of the available systems, namely DBase111 + and Scientific Information Retrieval (SIR) were considered. Statistical Package for Social Sciences for personal computers (SPSSPC + ) [ 1 I] was chosen for data analysis. Therefore, the database had to be both compatible with SPSS/PC+ and able to provide required facilities such as access to more than one data tile at the same time and printing of labels. Although both DBaseIII+ and SIR were compatible with SPSS, the latter required a conversion program and was not pursued. A total of 10 data bases were subsequently created in DBase111 + to hold various subsets of the survey data. Selected Statistical Technique for Data Analysis . Analysis of variance (ANOVA) is generally applied in studies to evaluate the effects of individual response inducement factors and their interactions; however, its use in this study was prohibited due to unequal sample sizes and empty cells in the categories. Unequal sample sizes were generated since, as stated earlier, the main aim of this study was to investigate the production control and management system requirements of small manufacturing organizations. Hence, to increase response, the perceived response-inducement techniques were applied to the majority of the surveyed firms (Tables 1 and 2). The procedure used for analysis of the response rate was contingency tables (CROSSTABS in SPSSPC + ). The simplest form of a contingency table is a 2 x 2 table, which represents the effects of one dichotomized independent factor on one dependent variable. The analysis
100.0
subsequently calculates the expected frequency in each cell under random conditions and compares it with the actual obtained frequencies. A significant difference between the two frequencies indicates a significant association between the independent and dependent factors [Ia. Throughout this report a significant association is taken to mean a probability of occurrence of 95% or greater. Although the selection of a significant level is to some extent research dependent, the 95% level was adopted to enable our conclusions to be compatible with similar studies by other authors and to allow for comparison of results.
RESULTS Response
Rate
In a study of definition of response rates, Wiseman and Billington [ 131 stated that most researchers fail to consider a number of factors such as ineligibility and number of noncontacts, and hence do not report true response rates. They recommend the use of a definition given by the Council of American Survey Research Organizations (CASRO). This council defines the response rate in a single stage survey as Number of completed interviews with responding units x 100 Number of eligible responding
units in the sample 323
Based on this recommendation the total response rate for the current survey was calculated as 24.2% in the following manner: Total number of respondents = 122 Total number of eligible responses = 86 Total number of ineligible responses = 36 (1 firm had closed, 22 were not manufacturers, IO had had their phones disconnected and 3 were known to have gone bankrupt) Percent of eligible lirms = 861122 = 70.49% Total number of nonresponders = 503 - 122 = 38 1 Expected percent of eligible firms in nonresponders = 381 x 86/122 = 269 Response rate = [86 X 100]/[86 + 2691 = 24.2%.
the total response rate) as the initial mailing (5 I .2% of the total response rate), thereby establishing its importance in the postal survey of this population. Deadlines A deadline of two weeks was given in the follow-up, however neither the speed of response nor the rate of return was found to be appreciably higher in this than in the initial mailing, which had no deadline specified (Figure 1). Specification of a deadline does not increase or speed up response in a survey of small manufacturing firms (in calculating these results the length of the postal strike which occurred in the first mailing was deducted from the affected replies).
Types of questionnaire and postage were tested. This method assumes that the percentage of ineligible responses in nonresponders is equivalent to that in respondents. If this should not to be the case the calculated rate will only be an estimate of the real response rate. As Wiseman and Billington stated, however, “The CASRO initiative is the first step in bringing about much[ 131. In this and all following needed standardization” calculations, respondents are taken to mean those who returned a completed questionnaire. Firms who were not in the manufacturing sector (but were surveyed) and tirms which were unobtainable at their address were considered ineligible and were eliminated from the survey and analysis. Those who replied but did not complete the questionnaire were considered nonresponders.
Type of Questionnaire To determine if double-sided questionnaires produced a higher response rate than did their single-sided counterparts, tirms surveyed using first class, second class, and plain return envelopes and anonymous covering letters were considered (Tables 1 and 2; Figure 2). Performing CROSSTABS on the number of respondents and nonresponders resulted in an insignificant x-square value FIGURE
1.
Speed of Response
C”mm”latlve response late (%I 1 .*
loo190
Follow-up
80 !
Figure I shows the speed of response for the first wave of questionnaires and the follow-up. Fifty and 69% of the first wave and follow-up respondents, respectively, replied within 7 days of receipt of questionnaires, and 79.5 and 83.3% of both groups responded by the tenth day. The remainder of replies drifted in over the following 7 days. Therefore, it is reasonable to suggest that a period of 10 days should be allowed between the initial mailing, first, and second follow-ups. Finally, the follow-up brought in almost the same number of returns (48.8% of
70
324
in First Mailing and
Follow-up
Follmw
,i-'
60
i
,I /
50 40
i !
I
3ot
i'
i
k-
’
-j:;it+ I-
I,’
h,l,ma,,,ng
fi *
I'
I
ii jf
20 10
‘,,a
/ MY j ’
-;
!' t
/ /
;i;
1 /' o-J--, 3.
1 5.
l-i 7
-7 9.
+
i--t
Ii
t--t
~~r-tt
11. 13. 15. 17. Numberofdaysbefore returns
t1 19
+ 21.
I~, 23.
and second class return postage on return envelopes produced significantly higher and lower returns, respectively. It is thought that once the recipients are identified by name the use of first class return envelopes improves the response rate partly by creating a sense of importance in the reply and partly by provoking a sense of guilt if the questionnaires are thrown away or not returned. The use of second class envelopes, however, are thought to have the reverse effects and hence reduce the response rate. Provision of plain return envelopes did not cause a significant change in response rate in either direction. Unstamped
Personalization FIGURE 2.
Response Rate vs. Type of Postage on Enclosed Return Envelopes
in each postage category. The results indicate that irrespective of the type of postage used, no association existed between the type of questionnaire and the response rate when anonymity was maintained by addressing the outgoing envelopes and the covering letter to the “Managing Director. ” This finding refutes our hypothesis that double-sided questionnaires appear shorter than their single-sided counterparts. Given this and the fact that personalization and type of questionnaire are not related, it can be concluded that double-sided questionnaires do not generate a significantly different response rate than their single-sided counterparts.
To study the effectiveness of various degrees of anonymity in inducing response (anonymous vs. personalized cover letters), firms in the second and third categories above were considered, under various types of enclosed stamped return envelopes (Tables 1 and 2; Figure 2). The results of this analysis reveal that when second class or plain return envelopes were provided, anonymous cover letters did not generate a significantly higher response rate than their personalized counterparts. However, personalized cover letters were found to be more effective in inducing response than their anonymous counterparts when first class return envelopes were provided. Again, this is thought to be due to the enhanced psychological effects that personalized cover letters generate when used in conjunction with first class return envelopes.
Preliminary Types of Postage on Enclosed Return Envelopes To determine the impact on response rate of stamped return envelopes included in the follow-up, firms surveyed using first class, second class, and no stamp on the return envelope were compared using 1) no name and single-sided questionnaires; 2) no name and double sidedquestionnaires; and 3) name and double-sided questionnaires. Figure 2 depicts the response rates. As can be seen in the first case, while first class postage on the enclosed return envelopes generated the highest response rate, analysis of the data using contingency tables revealed an insignificant difference in response rate between the types of postage used. Similarly in the second case, although second class postage on enclosed return envelopes generated the highest response rate, as before the difference was not significant. In the third case, first
Telephone
Contact
Comparison of the response rate between the firms surveyed using first class return envelopes in the followup (I 1.O%) and those contacted by telephone before the follow-up t 14.15%) revealed that while the latter generated a higher response rate, the difference was not significant.
CONCLUSIONS In this article an attempt has been made to assess the applicability of Jobber’s [IO] recommended responseimprovement techniques to the mail survey of small manufacturing firms in the United Kingdom. Following these recommendations the results of our survey reveal that: ’ The type of questionnaire (single-sided or back-toback) has no significant influence on the response. 325
Follow-up
was the most effective increase response.
Follow-up is the most effective tool for increasing response. The use of a single follow-up doubled the response rate in the current study. Deadlines do not generate significantly different response rates, nor do they speed up response. In contrast to Jobber’s recommendations the results of our survey reveal that inclusion of first class postage on enclosed return envelopes results in a significantly higher response rate when used in conjunction with personalized cover letters. Finally, the results reveal that unnecessary follow-up costs can be reduced by allowing a IO-day period between the first and second follow-ups. Based on the above results, the authors recommend the use of first class return envelopes in conjunction with personalized cover letters, and view follow-ups as necessity for obtaining reasonable response rates.
3
Peterson, Robert A., Kozmetuky. George. and Ridgway. Nancy M.. Perceived Causes of Small Busines Jourrxrl
of Smtrll Rusiw.~s
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Her Majesty‘s
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365-370
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Mnrkrtitr~
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Momr~emcwt fir
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