Improving mail survey response rates through the use of a monetary incentive. (Practice).

The effectiveness of the use of monetary incentives in mail survey data collection is examined. Monetary incentives are easy to utilize, and their use produces higher rates of return compared to mailings in which nonmonetary incentives or no incentives are provided. The use of monetary incentives is more cost effective than other types of incentives and may be particularly valuable when extensive follow-up is necessary.

**********

Mental health counselors rely on the use of surveys to collect data for the purposes of research, needs assessment, and program evaluation (Hershenson & Power, 1987). As anticipated by Kelly (1996), survey research has provided valuable information about the clientele and work settings of mental health counselors (Vacc, Loesch, & Guilbert, 1997) as well as the opinions and practices of mental health counselors (e.g., Mead, Hohenshil, & Singh, 1997). Mental health counselors fill many roles in their work, including ascertaining clients' needs and the effectiveness of programs. Mental health counselors may use surveys for these purposes.

Kelly (1996) anticipated that surveys would be used to investigate the professional practice of mental health. Aspects of professional practice of mental health counselors, which could be investigated using surveys, include their clientele, work settings, and interactions with managed care. The views and opinions of mental health counselors can and have been explored via surveys (Pistole, 1996). In addition, a substantial proportion of the research reported in the Journal of Mental Health Counseling uses survey methodology to collect data.

Given the widespread use of the survey in mental health counseling practice (e.g., needs assessment and program evaluation) and research, mental health counselors can benefit from using the best survey strategies available. Although self-report questionnaires delivered through the mail are probably the most frequent data collection method utilized, obtaining a good rate of response from study participants is an immense challenge (Heppner, Kivlighan, & Wampold, 1992). A poor rate of response may prohibit generalization and ultimately undermine the validity of the survey's results (Fong, 1992; Heppner et al., 1992). Thus, a broad array of strategies has been used to increase survey response rates, including pre-notification; follow-ups; personalization of survey materials; changing the color and size of the cover letter, survey, envelope and postage; and using a variety of promised and provided incentives, monetary and nonmonetary (Weathers, Furlong, & Solorzano, 1993). One strategy that is underutilized, but that may improve studies that employ surveys in data collection, is the use of a monetary incentive (Heberlein & Baumgartner, 1978;Weathers et al., 1993). This strategy appears to stand out from the others in regard to the factors of effectiveness, ease of implementation, and cost effectiveness.

A considerable amount of research has supported the effectiveness of the use of monetary incentives in survey research (e.g., Armstrong, 1975; Brennan, 1992; Church, 1993; Gajraj, Faria, & Dickinson, 1990; Heberlein & Baumgartner, 1978; James & Bolstein, 1990; Mizes, Fleece, & Roos, 1984). Monetary incentives have been found to be an easy, successful, cost-effective, and universal method for obtaining good response rates (Brennan; Brennan, Hoek, & Astridge, 1991). At the same time, there is little evidence that practitioners and researchers in mental health counseling are taking full advantage of the use of the monetary incentive. We examined the response rates reported for survey research published in the Journal of Mental Health Counseling (JMHC), 16(1), through 23(3), and the Journal of Counseling and Development (JCD), 73(1), through 79(1). Notably, 16 of the 68 research studies in the JMHC and 17 of the 151 research studies in the JCD used surveys. The response rates for these studies ranged from 21% to 78% in the JMHC and 22% to 83% in the JCD. Mean response rates were 53% and 51% and standard deviations were 18 and 16 respectively. Although 37% and 24%, respectively, of the survey studies' authors indicated that a small response rate was a limitation to the study, none of the studies reported using a monetary incentive. Similarly, a review of 40 studies published in the Journal of Counseling Psychology found that only one study utilized a monetary incentive (Weathers et al., 1993). However, in JMHC and JCD, two studies used nonmonetary incentives. One study provided a $2.00 video rental gift certificate, and one study used a drawing that promised $100.00 to a charity chosen by the winner of the drawing.

Most of the data on the use of monetary incentives have been reported in journals outside of counseling and psychology--most frequently business journals. Therefore, it may be that mental health counselors are uninformed about the effectiveness of monetary incentives for improving mailed survey response rates. The authors of this paper review the benefits of monetary incentives, discuss monetary incentives versus no incentives, examine monetary incentives compared with other types of incentives (e.g., prizes, gifts, checks, and coupons), and discuss the cost effectiveness of monetary incentives. Ethical issues related to the use of monetary incentives in survey research and a theoretical basis for monetary incentives are discussed. Recommendations are made for mental health counselors and researchers regarding the use of monetary incentives.

BENEFITS OF MONETARY INCENTIVES

The research suggests that there are several benefits to using monetary incentives in survey research. Some research has found that as incentive amounts increase response rates also increase (Fox, Crask, & Jonghoon, 1988; Hopkins & Gullickson, 1992). In addition, cash incentives may increase the speed of returned survey materials (Brennan, 1992; Gajraj et al., 1990). Singer, Van Hoewyk, and Maher (1998) reported that respondents who had received surveys which included a monetary incentive believed that they should be paid for completing surveys, expressed more favorable attitudes toward surveys similar to the one that had included an incentive, and expressed a greater interest in participating in a follow-up survey. There is also some evidence suggesting that cash incentives do not bias participant responses (Weathers et al., 1993). Thus, most of the effects of using monetary incentives seem to be positive. However, Cook, Heath, and Thompson (2000) found that incentives used in conjunction with World Wide Web surveys produced lower response rates than using no incentive. Therefore, more research is needed in this area to clarify these inconsistent findings (Mizes et al., 1984).

Monetary Incentives Versus No Incentives

There is considerable evidence indicating that monetary incentives are effective in increasing response rates when mailed with the survey, providing they are sufficiently large (Brennan et al., 1991; Church, 1993; Harvey, 1987; Hopkins & Gullickson, 1992; Yammarino, Skinner, & Childers, 1991). The smallest amount of cash incentive that can be given and still increase response rates is unknown. One study found that $0.20 was not enough to significantly increase response rates (Brennan et al.). However, cash rewards of $0.25, $0.50, $1.00, and $5.00 have all resulted in statistically significantly greater survey response rates compared to nonincentive control groups (Brennan, 1992; Brennan et al.; Fox et al., 1988; Gajraj et al., 1990; Hubbard & Little, 1988; Mizes et al., 1984). According to Brennan et al., using a $0.50 incentive was more cost effective than using a $1.00 incentive or providing no incentive at all when incremental return rate and incremental cost factors are considered. A meta-analytic study found that $0.25 and $1.00 incentives increased response rates on the average of 16% and 31%, respectively, over nonincentive response rates (Fox et al.). Hopkins and Gullickson found that when a cash incentive was provided in the first mailing and a follow-up mailing was done, the rate of response was significantly larger than when no incentive was used in the first mailing and a follow-up mailing was done. Overall, it appears that surveys that include monetary incentives produce greater response rates compared to surveys that include no incentive.

Monetary Incentives Versus Other Types of Incentives

Although both monetary and nonmonetary incentives can be effective in increasing response rates, monetary incentives seem to be more effective than other types of incentives (Church, 1993). Brennan et al. (1991) found that $0.50 and $1.00 incentives were more effective than prize draws in increasing survey response rates. Hubbard and Little (1988) found that the opportunity to be included in a drawing to win $200.00 was as effective as a $0.25 prepaid incentive but less effective than a $1.00 prepaid incentive. Gajraj et al. (1990) found that $0.50 was more effective than an ink pen, but about equally as effective as promising a share of the possible winnings of five lottery tickets. Similarly, Paolillo and Lorenzi (1984) conducted a study comparing the significance of $1.00 initially included in the mailing, and promised incentives consisting of either $2.00 or an entry into a lottery worth $50, $30, or $20. The $1.00 initially enclosed in the mailing was significantly more effective in regard to response rate compared to the promised incentives.

Monetary incentives that are enclosed with the survey are more effective than promised rewards that are contingent on the return of the survey (Church, 1993; Harvey, 1987; Paolillo & Lorenzi, 1984). This statement is true even if the enclosed incentive is smaller than the reward promised (Goyder, 1994; Hopkins & Gullickson, 1992). For instance, Hubbard and Little (1988) reported a higher number of returns when prepaid monetary incentives of $0.25 and $1.00 were included as compared to promised charitable contributions. Nonetheless, research (McCool, 1991) indicates the return rate for the promised incentive (consisting of a lottery containing a $50 U.S. Savings Bond) was consistently higher than the control group offering no incentive. So, rewards can be effective, though to date monetary incentives seem more effective in increasing survey return rates.

Cost-Effectiveness of Monetary Incentives

Although the use of monetary incentives in survey research increases the costs associated with conducting the research, their use appears to be cost effective compared to other types of incentives. Gajraj et al. (1990), comparing the use of $0.50, an ink pen, and possible lottery ticket winnings as incentives, concluded that the monetary incentive was better than the other types of incentives and so was cost effective. The use of monetary incentives may be particularly cost effective when the design of the study requires extensive follow-up measures. Gilbart and Kreiger (1998) reported that the use of a $5.00 incentive significantly reduced the number of telephone follow-up contacts that were required; thus, the incentive decreased the amount of time and effort that the experimenter expended. Overall, the research discussed here and earlier suggests that the monetary amounts that appear to produce the best results and maintain an element of cost effectiveness are $0.50 and $1.00 incentives (Biner & Barton, 1990; Brennan, 1992; Goyder, 1994; James & Bolstein, 1990).

One strategy for decreasing expenses associated with the use of monetary incentives, and at the same time achieving the benefit of a greater response rate, is to include the incentive in the first follow-up. Although including the incentive in the initial mailing yields better results, mailing the incentive in the first follow-up is less costly and produces more significant results than using no incentive (James & Bolstein, 1990; Weathers et al., 1993). However, including the incentive in the follow-up does seem counter-intuitive and could be construed as unfair, because the participants who responded in a timely fashion do not receive an incentive. If the incentive is large then this issue may be a greater concern than if the incentive is small. Nonetheless, the issues of fairness to participants on the one hand and cost to the researcher on the other hand would need to be considered carefully.

DISCUSSION AND RECOMMENDATIONS

In using the information on monetary incentives in survey research, mental health counselors need to be aware of a number of issues. First, as researchers, mental health counselors need to protect the welfare of research participants (American Mental Health Counselors Association, 2000). As discussed above, the researcher needs to treat participants fairly. Research participants need to be informed that their participation is voluntary, even when offered a monetary incentive, and they need to be given enough information about the study so as to make an informed decision regarding their participation. The monetary incentive should not be so large as to be coercive. For example, a $50 monetary incentive may be coercive, especially for people who are struggling financially. Most monetary incentives included in survey research have been relatively small, and it is unlikely that incentives as large as $5.00 would present an ethical issue.

Second, mental health counselors would benefit from thinking carefully about the reasons for monetary rewards increasing response rates. According to Furse and Stewart (1984), the finding that monetary incentives, compared to no incentive, produce significantly greater response rates might be explained by Festinger's (1957) cognitive dissonance theory. The application of cognitive dissonance theory suggests that participants who receive a monetary incentive in combination with a survey may experience dissonance if they do not complete the survey or at least give it serious consideration (Furse & Stewart). In order to reduce the cognitive dissonance, the participants may complete and return the questionnaire. Thus, the incentive provokes the participant to act and results in a better response rate than surveys that do not include an incentive. Cognitive dissonance theory may also explain why enclosed incentives produce greater response rates compared to promised incentives. When an incentive is promised, the participant may view the transaction as an exchange; the participant completes the survey in exchange for a reward from the experimenter. Because the incentive is not included in the mailing, refusal to complete the survey would not produce dissonance.

Third, there are a number of recommendations for mental health counselors who include monetary incentives in surveys with the goal of increasing response rates. For instance, the explanation about the monetary incentive in the cover letter needs to be carefully worded. According to reactance theory (Brehm & Brehm, 1981), if a prospective participant interprets the instructions in the cover letter as a threat to his or her freedom of choice, then the person may react negatively to the instructions and decide not to participate. Therefore, it may be a good practice to indicate that the incentive is provided as a token of appreciation, as opposed to something that obligates the prospective participant to respond. In addition, a monetary incentive should be an amount that is large enough to be effective. Because monetary incentives should be large enough to produce cognitive dissonance but small enough so as not to give the impression that it is a payment, investigators are encouraged to use the amounts of $0.50 and $1.00. These amounts appear to be cost effective and at the same time maintain a good rate of response (Biner & Barton, 1990; Brennan, 1992; Goyder, 1994; James & Bolstein, 1990). Further, prepaid incentives are more effective than promised incentives; thus, incentives should either be included in the first mailing or sent only to nonresponders in a follow-up mailing. Last, there are also practical considerations. New, crisp, clean dollar bills should be used. Also, if possible, place the bill so that it is the first item that is seen when the prospective participant opens the mailing.

Fourth, limited financial resources are one of the major factors inhibiting the use of monetary incentives in surveys (Weathers et al., 1993). To address this limitation, mental health counselors might include the cost of providing incentives in their appeals for grant funding. Given the extensive research demonstrating the effectiveness and cost effectiveness of monetary incentives, a very strong rationale can be constructed for the use of grant funds for monetary incentives. However, if money is not available to send a monetary incentive to every prospective participant, a cost-effective measure for improving response rates is to use an incentive in the first follow-up mailing. This strategy is an inexpensive way to encourage those prospective participants who did not respond to the initial mailing. Finally, if funding is not available to provide a cash incentive mental health counselors might consider a nonmonetary incentive such as a drawing for a gift certificate or the possible winnings of lottery tickets, remembering that a drawing will entail extra time and effort.

Fifth, there are several recommendations for researchers who are interested in examining the use of incentives in mental health counseling research. For instance, why do participants respond favorably to cash incentives? Such investigation may involve testing the implications of cognitive dissonance theory. Also, more research is needed regarding the use of monetary incentives in conjunction with the World Wide Web.

To conclude, mental health counselors have underutilized monetary incentives when conducting survey research. When monetary incentives are provided in sufficiently large amounts and are provided in the initial mailing, they are more successful in regard to increasing response rates than any other strategy. Monetary incentive is a valuable strategy to address the recent emphasis on improving survey methodology (Fong, 1992). The use of monetary incentives is an easy, successful, and cost-effective strategy for increasing survey response rates (Brennan, 1992; Brennan et al., 1991).

REFERENCES

American Mental Health Counselors Association. (2000). Code of ethics of the American Mental Health Counselors Association. Retrieved January 25, 2002, from http://www.amhca.org/ethics.html#5

Armstrong, J. S. (1975). Monetary incentives in mail surveys. Public Opinion Quarterly, 39, 111-116.

Biner, P. M., & Barton, D. L. (1990). Justifying the enclosure of monetary incentives in mail survey cover letters. Psychology and Marketing, 7, 153-162.

Brehm, S. S., & Brehm, J. W. (1981). Psychological reactance: A theory of freedom and control. New York: Academic Press.

Brennan, M. (1992). The effect of a monetary incentive on mail survey response rates: New data. Journal of the Market Research Society, 34, 173-177.

Brennan, M., Hoek, J., & Astridge, C. (1991). The effects of monetary incentives on the response rate and cost effectiveness of a mail survey. Journal of the Market Research Society, 33, 229-241.

Church, A. H. (1993). Estimating the effect of incentives on mail survey response rates: A meta-analysis. Public Opinion Quarterly, 57, 62-79.

Cook, C., Heath, F., & Thompson, R. L. (2000). A meta-analysis of response rates in web- or internet-based surveys. Educational and Psychological Measurement, 60, 821-836.

Festinger, L. (1957). A theory of cognitive dissonance. Stanford, CA: Stanford University.

Fong, M. L. (1992). When a survey isn't research. Counselor Education and Supervision, 31, 194-195.

Fox, R. J., Crask, M. R., & Jonghoon, K. (1988). Mail survey response rate, a meta-analysis of selected techniques for inducing response. Public Opinion Quarterly, 52, 467-491.

Furse, D. H., & Stewart, D. W. (1984). Manipulating dissonance to improve mail survey response. Psychology and Marketing, 1, 79-94.

Gajraj, A., Faria, A., & Dickinson, J. (1990). A comparison of the effect of promised and provided lotteries, monetary and gift incentives on mail survey response rate, speed and cost. Journal of the Market Research Society, 32, 141-162.

Gilbart, E., & Kreiger, N. (1998). Improvement in cumulative response rates following implementation of a financial incentive. American Journal of Epidemiology, 148, 97-99.

Goyder, J. (1994). An experiment with cash incentives on a personal interview survey. Journal of the Market Research Society, 36, 360-366.

Harvey, L. (1987). Factors affecting response rates to mailed questionnaires: A comprehensive literature review. Journal of the Market Research Society, 29, 341-353.

Heberlein, T. A., & Baumgartner, R. (1978). Factors affecting response rates to mailed questionnaires: A quantitative analysis of the published literature. American Sociological Review, 43, 447-462.

Heppner, P. P., Kivlighan, D. M., & Wampold, B. E. (1992). Research design in counseling. Pacific Grove, CA: Brooks/Cole.

Hershenson, D. B., & Power, P. W. (1987). Mental health counseling: Theory and practice. Boston: Allyn & Bacon.

Hopkins, K. D., & Gullickson, A. R. (1992). Response rates in survey research: A meta-analysis of the effects of monetary gratuities. Journal of Experimental Education, 61, 52-62.

Hubbard, R., & Little, E. L. (1988). Promised contributions to charity and mail survey responses. Public Opinion Quarterly, 52, 223-230.

James, J. M., & Bolstein, R. (1990). The effect of monetary incentives and follow-up mailings on the response rate and response quality in mail surveys. Public Opinion Quarterly, 54, 346-361.

Kelly, K. R. (1996). Looking to the future: Professional identity, accountability, and change. Journal of Mental Health Counseling, 18, 195-199.

McCool, S. F. (1991). Using probabilistic incentives to increase response rates to mail-return highway intercept diaries. Journal of Travel Research, 30, 17-19.

Mead, M. A., Hohenshil, T. H., & Singh, K. (1997). How the DSM system is used by clinical counselors: A national study. Journal of Mental Health Counseling, 19, 383-401.

Mizes, J., Fleece, L., & Roos, C. (1984). Incentives for increasing return rates: Magnitude levels, response bias, and format. Public Opinion Quarterly, 48, 794-800.

Paolillo, J. G. P., & Lorenzi, P. (1984). Monetary incentives and mail questionnaire response rates. Journal of Advertising, 13, 46-48.

Pistole, M. C. (1996). Publishing research in the Journal of Mental Health Counseling. Journal of Mental Health Counseling, 18, 307-311.

Singer, E., Van Hoewyk, J., & Maher, M. P. (1998). Does the payment of incentives create expectation effects? Public Opinion Quarterly, 62, 152-164.

Vacc, N. A., Loesch, L. C., & Guilbert, D. E. (1997). The clientele of certified clinical mental health counselors. Journal of Mental Health Counseling, 19, 165-170.

Weathers, P. L., Furlong, M. J., & Solorzano, D. (1993). Mail survey research in counseling psychology: Current practice and suggested guidelines. Journal of Counseling Psychology, 40, 238-244.

Yammarino, F. J., Skinner, S. J., & Childers, T. L. (1991). Understanding mail survey response behavior. Public Opinion Quarterly, 55, 613-619.

Wesley J. Erwin, Ph.D., is an assistant professor in the Counseling and Student Affairs program at Minnesota State University Moorhead, MN. Email [e-mail] Lori A. Wheelright is a counselor at The Village Family Service Center, Moorhead.