ESOMAR Guideline on the Mutual Rights and Responsibilities

ESOMAR WORLD RESEARCH CODES & GUIDELINES ESOMAR GUIDELINE ON THE MUTUAL RIGHTS AND RESPONSIBILITIES OF RESEARCHERS AND CLIENTS All ESOMAR world research codes and guidelines, including latest updates, are available online at www.esomar.org

No part of this publication may be reproduced or copied in any form or by any means, or translated, without the prior permission in writing of ESOMAR. ESOMAR codes and guidelines are drafted in English and the English texts are the definitive versions. ESOMAR WORLD RESEARCH CODES & GUIDELINES ESOMAR GUIDELINE ON THE MUTUAL RIGHTS AND RESPONSIBILITIES OF RESEARCHERS AND CLIENTS

CONTENTS

Introduction 2

Scope of the code 2

1. Ownership 3

2. Subcontracting 4

3. Checking of data collection and data preparation 5

4. Keeping of records 6

5. Publishing findings 6

6. Recording, listening and observation 7

7. Technical information provided to the client 7

8. Substantial alterations 8

9. Responsibility for products and stimuli 9

10. Confidentiality 9

11. Transparency 10

12. Additional Advice 10 ESOMAR WORLD RESEARCH CODES & GUIDELINES ESOMAR GUIDELINE ON THE MUTUAL RIGHTS AND RESPONSIBILITIES OF RESEARCHERS AND CLIENTS

INTRODUCTION details of the business relationships between the researcher and the client. The ICC/ESOMAR International Code In most cases the contract will not be on Market and Social Research sets between the researcher and client as out the ethical and professional rules individuals but between their respective which market researchers must follow. organisations. The Code is designed to enhance the public’s confidence in market research The Guideline should be read in by emphasising the rights and safe- conjunction with the ICC/ESOMAR guards to which they are entitled under International Code on Market and Social this Code, with particular emphasis on Research, the Notes on How to Apply the market researcher’s responsibilities the ICC/ESOMAR International Code when collecting personal information and other guideline documents issued from respondents. by ESOMAR including the Guideline on How to Commission Research. The In 2007, the ICC and ESOMAR made a Guideline is also consistent with the major revision of the ICC/ESOMAR ISO 20252 international quality standard International Code and removed those which covers the same topics. articles referring to the mutual rights and responsibilities between the researcher and the client. These are now included SCOPE (ICC/ESOMAR in this new Guideline which is intended International Code to specify the working principles in the Articles 1 and 12) researcher/client relationship. Researchers must carry out the work In order to ensure there is clear assigned in accordance with the terms agreement between the client and the and provisions of their proposal. They research provider and that both parties must warrant that all services provided adhere to the requirements of the Code, will be performed in accordance with it is strongly recommended that the the general principles of the profession points discussed in this Guideline are as described in the ICC/ESOMAR covered in the research proposal and a International Code, with professional separate written contract or standard responsibility and conforming to the terms of business. This Guideline is principles of fair competition, as generally not, however, intended to regulate the accepted in business. The Code should

2 be applied against the background of any and distribute it to that end under stricter standards or rules that may be licence. It should be noted that owner- required in any specific market. ship and copyright (the author’s right to reproduce their work, to communicate Researchers must specify in the research it and to make it available as defined proposal that they follow the requirements in the Berne Convention) can only be of the Code and it is recommended that transferred in writing. In drafting the they make a copy of the Code available contract, the researcher is therefore for the client. This applies to both single also advised to take into account that: and continuous agreements, although the latter might involve additional multiple a. Market research proposals and agreements. cost quotations are the property of the organisation or individual who developed Researchers have overall responsibility them unless otherwise agreed in writing. for ensuring that research is carried out The extent of protection in practice may in accordance with the ICC/ESOMAR to some extent depend upon the inter- Code, and for ensuring that clients and pretation of the law in different countries. other parties to the research agree to Serious cases of unauthorised distribution comply with its requirements. or copying could be regarded as unethical but disciplinary or legal action would be difficult to enforce, without being under- 1. OWNERSHIP (ICC/ pinned by comprehensive evidence that ESOMAR International stands up to legal examination. The author Code Article 5) is therefore advised to lay claim to their copyright in written form so that they Because of the problems and compli- can if required produce the necessary cations of intellectual property rights, evidence of this. All transfers of owner- ownership and copyright issues must ship and copyright must be in writing. be covered in the contract as a matter of good professional practice to avoid b. The contract must include conditions disputes arising during the course of under which the client can disclose a research project. If a client commis- market research proposals and cost sions a business tool that is original quotations to a third party other than and copyright protected, he is normally consultants working for the client on entitled to use the work and reproduce the project, to prevent these being used

3 to influence research proposals or cost f. The contract must also include quotations from other researchers. confidentiality clauses on the market research briefs, specifications and c. The provisions of 1a above also apply other information provided by the client. to the research design, the question- These must be treated in the strictest naire and all research records prepared confidence and cannot be disclosed by by the researcher. the researcher to any third party unless otherwise agreed in writing. If necessary d. The research results relating to a the researcher may disclose relevant specific client, obtained by a research sections of the client’s research brief service provider as a result of carrying to an actual or potential subcontractor out a particular research project, must for the research project purposes but not be used in research projects for other would then be responsible for ensuring clients without authorisation and normally that the subcontractor fully complies with copyright will be transferred to the client, the requirements of the ICC/ESOMAR except in the case of syndicated projects International Code. as indicated under 1e below. The client however, has no right to know or have personal information about respondents 2. SUBCONTRACTING (ICC/ unless the respondents have given explicit ESOMAR International permission for this to the researcher, and Code Article 10) then only for research purposes. Researchers shall inform clients, prior e. Normally, in the case of syndicated to work commencing, when any part of and/or multi client projects or services the work for them is to be subcontracted where the same data are available to outside the researcher’s own organisa- more than one client and where it is tion. On request, clients shall be told clearly understood that the resulting the identity of any such subcontractor. 1 reports are available for general purchase or subscription, the client cannot dis- In this document, subcontracting includes close the contents of a report to any third outsourcing and off-shoring and any party other than his own consultants and requirements for subcontracting apply advisors for use in connection with his equally to these activities. business, without prior written permission of the researcher.

4 1 Subcontracting is defined as passing responsibility for executing an element of the research project to a third party organisation or individual. The researcher must ensure that when- This quality control must be defined ever the use of any subcontractor may in the contract between the market result in the disclosure of personal data research agency and the client. It must to the subcontractor, the latter must fully comply with the relevant national laws comply with all relevant data protection and self-regulatory documents on requirements and must undersign their market research and with the provisions agreement to apply the ICC/ESOMAR of the ICC/ESOMAR International Code International Code. concerning data privacy protection, in particular Article 7. For this reason Though it is usually known in advance the Code Notes relating to Article 4c which subcontractors will be used, require that, since back-checking is an occasions may arise during the course important element in professional quality of a project where subcontractors need control of fieldwork, all face-to-face inter- to be brought in or changed at very views must include a statement that there short notice. In such cases, rather than is a possibility that a subsequent recall cause delays to the project in order to may be made for quality control purposes, inform the client prior to work starting, unless the interview is conducted in a it will usually be acceptable to let the central location or recording is used. client know as soon as possible after the decision has been made. If the checking is subcontracted by the client, the subcontractor must undertake in writing to comply with the appropriate 3. CHECKING OF DATA laws and provisions including the COLLECTION AND DATA ICC/ESOMAR Code. In particular, the PREPARATION (ICC/ anonymity of the original respondents ESOMAR International must be safeguarded and their names Code Articles 4 and 7) and addresses used exclusively for the purposes of back-checks and not Article 4c of the ICC/ ESOMAR Interna- disclosed to the client. tional Code states that researchers shall on request allow the client to arrange for The related costs must be covered by checks on the quality of data collection the client. and data preparation.

5 4. KEEPING OF RECORDS On request, the researcher must supply (ICC/ESOMAR Interna- the client with duplicate copies of such tional Code Articles 4 records provided that: and 7) • such duplicates do not breach anonym- The researcher must conform to current ity and confidentiality requirements; professional practice relating to the keep- • the request is made within the agreed ing of research records for an appropriate limit for keeping the records; time after the end of the project. • the client pays the researcher’s costs to provide these duplicates. The proposed period of time for which research records must be kept by the researcher will vary with the nature of the 5. PUBLISHING FINDINGS data (e.g. whether they are personal or (ICC/ESOMAR Interna- not), the nature of the project (e.g. ad hoc, tional Code Article 11) panel, repetitive) and the possible requirements agreed between the researcher It is impossible for the researcher to and the client for follow up research or fully control the ways in which research further analysis. In default of any agree- findings are interpreted or applied once ment to the contrary, in the case of ad these are in the public domain. However, hoc surveys the normal period for which both the client and the researcher have the primary field records (the original a responsibility to ensure that published completed questionnaires and similar results are not misleading. The researcher basic records) should be retained is must endeavour to prevent any misinter- one year after completion of the field- pretation or misuse of research findings, work and three years for panels unless and (as far as is practicable) correct any legal requirements for data retention misinterpretation or misuse once they require a shorter period. become aware that it has happened.

The researcher must take suitable pre- Where any of the findings of a research cautions to guard against any accidental project are published by the client, the loss or release of the information during researcher should make sure (e.g. in the agreed storage period. their contract for a research project) that they are consulted in advance by the client about the form and content of

6 publication of the findings. Researchers the time it is carried out. In this case, shall always be prepared to make avail- respondents must be told that the inter- able the technical information necessary view or discussion is being observed to assess the validity of any published by other persons and the researcher findings and if following publication it must ensure that all such observers becomes clear that serious misinterpreta- are fully aware of the requirements of tion of the research and its findings has ICC/ESOMAR International Code and occurred, leading to misleading discussion agree to abide by these. This might not of the implication of the research, the be required in some markets for listen- researcher must endeavour to correct ing in for quality checks in telephone such misinterpretation by any available research. The ESOMAR Guideline on and appropriate means. Passive Data Collection, Observation and Recording provides more detailed If the client does not consult and agree in guidance on this issue. advance the form and content of publication with the researcher, the latter is entitled to refuse permission for their 7. TECHNICAL INFORMATION name to be associated with the dissemi- PROVIDED TO THE CLIENT nation of conclusions and to publish the (ICC/ESOMAR Interna- appropriate technical details of the report. tional Code Articles 4d and e) More detailed guidance on the publication and reporting of polls and surveys is Researchers shall ensure that market given in the ESOMAR/WAPOR Guide to research projects are designed, carried Opinion Polls and Published Surveys. out, reported and documented accurately, transparently and objectively. They shall also provide their clients with appropriate 6. RECORDING, LISTENING technical details of any research project AND OBSERVATION (ICC/ carried out for the client. ESOMAR International Code Articles 6 and 4a) The report on a market research project should normally cover the following On request the client, or their mutually points or provide a reference to a readily acceptable representative, may observe available separate document containing an interview or group discussion at the information for instance to ensure

7 that if necessary, the study can be Presentation of results replicated in the future. • the relevant factual findings obtained; • bases of percentages and any Background analysis subgroups (both weighted and • for whom the study was conducted; unweighted); • the purpose of the study; • general indications of the probable • whether any subcontractors performed statistical margins of error to be attached any substantial part of the work; to the main findings, and of the levels of statistical significance of differences Sample between key figures if possible; • a description of the intended and actual • the questionnaire and other relevant universe covered; documents and materials used (or, in • the achieved sample size against the the case of a shared project, that portion projected sample size and reasons, if relating to the matter reported on). relevant, for not obtaining the projected sample; • the sampling method, including the 8. SUBSTANTIAL procedure for selecting respondents ALTERATIONS and any weighting methods used, if applicable; Researchers must take all reasonable • the response rate (in the case of care to meet agreed deadlines but they probability samples) and the definition cannot be responsible for any delay and method of calculating it; caused by circumstances beyond their control. The probable lengths of any Data collection significant delay must be notified as soon • the data collection method and the as possible to the client. dates of fieldwork; • a description of the interviewing staff, If there is any alteration to the specifica- briefing and interviewer quality control tion agreed with the client during the methods used; course of the project, this must be notified • the method of recruiting respondents; to the client. and the type of incentives, if applicable; • in the case of desk research, a clear Both parties must approve any major statement of the sources of the informa- change in the project that could have tion and their likely reliability; a significant impact on the cost, timing

8 and/or quality of the project. including the directions for use, a list of ingredients or contents if this is required If the research proposal was based on by law and the transport and storage figures provided by the client which are conditions. found to be inaccurate, and if this leads to any substantial gap, delay or additional It must be clear that the client is fully cost, then the researcher may adjust responsible for all damage or injury their timing and costs accordingly and caused by materials or products they have shall notify the client of this at the earliest provided for research purposes unless possible time. the researcher failed to take normal care of the materials or products when in their If the provider is unable to meet the possession. Moreover, the client must take deadline for the research proposal or cost the necessary measures to provide the quotation, the client shall be informed of researcher with any constraints relating this at the earliest possible time. to security required for the products.

The researcher must be indemnified by 9. RESPONSIBILITY FOR the client against all the transport, storage, PRODUCTS AND STIMULI and usage risks that could occur, and (ICC/ESOMAR Interna- against complaints from respondents or tional Code Article 3b) from the researchers’ employees. The researcher must ensure that suitable Researchers shall take all reasonable pre- information is given to respondents for cautions to ensure that respondents are the safe use and handling of the materials in no way harmed or adversely affected or products. as a direct result of their participation in a market research project. 10. CONFIDENTIALITY It is important that the contract between the client and the researcher specifies The researcher must not disclose the that when the client entrusts products to identity of the client or any confidential the researcher’s care, the client commits information about the latter’s business, to providing products compliant with to any third party without the client’s relevant laws and to provide all neces- consent unless there is a legal obligation sary information on these products, to do so. This does not affect the right of

9 respondents to know the identity of the 11. TRANSPARENCY (ICC/ client, if personally identifiable data is ESOMAR International released to, or received from, the client. Code Article 9)

All information supplied to the researcher Researchers shall inform clients if the by the client in order to conduct a research work to be carried out for them is to project must be treated in the strictest be combined or syndicated in the same confidence. It must only be used in this project with work for other clients, context and must not be made available to without disclosing the identity of such third parties without the client’s authori- clients without their permission. sation. Confidential information must be stored securely. This includes the product The client does not have the right, and the methodology employed and must without prior agreement between the extend to researchers, even when they parties involved, to exclusive use of the change employment. This requirement researcher’s services or those of his also applies to subcontractors. These organisation, whether in whole or in requirements should be enforced by part. In carrying out work for different written contracts. clients, however, the researcher must endeavour to avoid possible conflicts of It is often assumed that ownership of an interest between the services provided ad-hoc project rests with the client who to those clients. paid for it, whereas ownership of a multi- client project remains the property of the research agency. However, the situation 12. ADDITIONAL ADVICE is seldom clear in practice. Members who are unsure about the For this reason, and in order to avoid application of the Guideline in specific cir- dispute, the ownership of the method- cumstances can seek advice by contacting ology, and/or the results and any report the Professional Standards Committee, should be made clear in the contract [email protected] or between the researcher and the client. ESOMAR, Eurocenter 2, 11th floor, Barbara It is also wise to claim copyright on any Strozzilaan 384, 1083 HN Amsterdam, published material. The Netherlands.

10 Project Team Adam Phillips, Chair of ESOMAR Professional Standards Committee

Claude Bénazeth, SYNTEC Etudes Marketing et Opinion

Kathy Joe, ESOMAR Professional Standards and Public Affairs Director

John O’Brien, Consultant to the ESOMAR Professional Standards Committee

Lex Olivier, EFAMRO Director General

Rosalba Riolo, Research Quality Senior Manager CMK, WE P&G

11 “Market research, which includes social and opinion research, is the systematic gathering and interpretation of information about individuals or organisations using the statistical and analytical methods and techniques of the applied social sciences to gain insight or support decision making. The identity of respondents will not be revealed to the user of the information without explicit consent and no sales approach will be made to them as a direct result of their having provided information.” Definition of market research contained in the ICC/ESOMAR International Code

ESOMAR Eurocenter 2 Barbara Strozzilaan 384 1083 HN Amsterdam The Netherlands Tel +31 20 664 2141 Fax: +31 20 664 2922 E-mail [email protected] www.esomar.org ESOMAR is the world organisation for enabling better research into markets, consumers and societies. With more than 4600 members in over 100 countries, ESOMAR’s aim is to promote the value of market and opinion research in illuminating real issues and bringing about effective decision-making. To facilitate this ongoing dialogue, ESOMAR creates and manages a comprehensive programme of industry-specific and thematic events, publications and communications, as well as actively advocating self-regulation and the worldwide code of practice.