Esomar conducting-research-using-internet

CONDUCTING MARKET AND OPINION RESEARCH USING THE INTERNET

esoMar WorLd researCh Codes & guideLines

ConduCting Market
and opinion researCh
using the internet

ESOMAR WORLD RESEARCH CODES & GUIDELINES



ConduCting Market
and opinion researCh
using the internet
Contents

1 introduction 3

2 Basic principles 3
2.1 Co-operation is voluntary 3
2.2 The researcher’s identity must be disclosed 4
2.3 The respondent’s anonymity must be safeguarded 4
2.4 Privacy policy statements 5
2.5 Data security 5
2.6 Reliability and validity 5
2.7 Interviewing children and young people 6
2.8 Unsolicited E-mail 6
2.9 Internet access panels 6

3 additional guidance 7
3.1 Co-operation is voluntary 7
Sample wording for obtaining consent to set up a “cookie”
for research purposes 9
3.2 The researcher’s identity must be disclosed 9
3.3 The respondents’ anonymity must be safeguarded 9
3.4 Privacy policy statements 9
Standard elements for all privacy statements 10
Three major variants 11
Example privacy statement 12
3.5 Data security 13
3.6 Reliability and validity 14
3.7 Interviewing children and young people 14
3.8 Unsolicited e-mail 16



4 internet access panels 17
Guideline on internet access panels 17
Panel recruitment 17
Project management 19
Panel monitoring 20
Panel maintenance 21
Privacy/data protection 22
25 questions to help research buyers 22

5 sources used in compiling guidelines 24

6 Links to national research association information 24

7 important definitions 24
Definition of Internet research 24
Definition of Internet access panel 24




1. introduCtion
The rapid growth of the Internet has social data so that decision makers can
opened dramatic new opportunities for make better and more efficient marketing
collecting and disseminating research and social decisions.
information worldwide. At the same
time it raises a number of ethical and All research carried out on the Internet
technical issues that must be addressed must conform to the rules and spirit of
if the medium is to be used effectively the main ICC/ESOMAR International
and responsibly for market and opinion Code of Marketing and Social Research
research purposes. Practice and also to Data Protection
and other relevant legislation (both
This web site has been established to international and national ).
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provide researchers throughout the
world, with timely guidance on these Such market and opinion research must
issues. It combines an interpretation of always respect the rights of respondents
the iCC/esoMar international Code and other Internet users. It must be carried
of Marketing and social research out in ways which are acceptable to them,
practice as applied to internet research to the general public and in accordance with
(definition of internet research) with national and international self regulation.
practical guidance on technical issues. Researchers must avoid any actions which
Detailed technical guidance is included might bring Internet research into dis-
on the issues of privacy policies and the repute or reduce confidence in its findings.
use and management of internet access
panels (definition of internet access The following sections highlight special
panel). ESOMAR is aware that some aspects of the application of the Code to
National Associations will provide national internet research. In essence they set out
guidance on variations from this guide. the basic principles which should guide
A list of national associations is available researchers when using the internet. At
on ESOMAR’s web site. the end of each section there is a link to a
more detailed set of guidance.

2. BasiC prinCipLes 2.1 Co-operation is voluntary

Market and opinion research is the Researchers must avoid intruding
professional activity of collecting and unnecessarily on the privacy of Internet
interpreting consumer, business, and respondents. Survey respondents’

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co-operation must at all times be volun- 2.2 the researcher’s identity must
tary. No personal information that is be disclosed
additional to that already available from
other sources should be sought from, Respondents must be told the identity
or about, respondents without their of the researcher carrying out the
prior knowledge and agreement. project and the address at which they
can without difficulty re-contact the
In obtaining the necessary agreement latter should they wish to do so.
from respondents the researcher must
not mislead them about the nature of Link to 3.2
the research or the uses which will
be made of the findings. It is however 2.3 respondent’s anonymity must be
recognised that there are occasions when, safeguarded
in order to prevent biased responses, the
purpose of the research cannot be fully The anonymity of respondents must
disclosed to respondents at the begin- always be preserved unless they have
ning of the interview. In particular, the given their informed consent to the
researcher should avoid deceptive state- contrary. If respondents have given
ments that would be harmful or create a permission for data to be passed on in
nuisance to the respondent - for example, a form which allows them to be per-
about the likely length of the interview or sonally identified, the researcher must
about the possibilities of being re-inter- ensure that the information will be used
viewed on a later occasion. for research purposes only. No such
personally identified information may
Respondents should also be alerted be used for subsequent non-research
when appropriate to any costs that purposes such as direct marketing,
they may incur (e.g. of on-line time) if list-building, credit rating, fund-raising
they co-operate in the survey. They are or other marketing activities relating to
entitled at any stage of the interview to those individual respondents. If permis-
ask that part or all of the record of their sion is not given, the respondent should
interview be destroyed or deleted and be reassured that confidentiality will be
the researcher must conform to any strictly maintained.
such request where reasonable.
Link to 3.3
Link to 3.1

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2.4 privacy policy statements 2.6 reliability and validity

Researchers are encouraged to post Users of research and the general
their privacy policy statement on their public must not be in any way misled
online site. When such privacy policy about the reliability and validity of Internet
statements exist, they should be easy to research findings. It is therefore essential
find, easy to use and comprehensible.
a guide to privacy policies and an that the researcher:
example privacy policy is provided
later in this document to assist research- a. follows scientifically sound sampling
ers comply with this requirement. It is methods consistent with the purpose of
impossible to draft such an example the research;
policy which complies with all local
legislative requirements. b. publishes a clear statement of the
sample universe definition used in a
Companies with an ESOMAR member given survey, the research approach
can add the statement that they comply adopted, the response rate achieved
with the ICC/ESOMAR International Code and the method of calculating this
with the ESOMAR logo which is down- where possible;
loadable from the members’ website
with a hyperlink to the ESOMAR site. c. publishes any appropriate reser-
vations about the possible lack of
2.5 data security projectability or other limitations of the
research findings for instance resulting
Researchers should take adequate from non-response and other factors.
precautions to protect the security of
sensitive data. Researchers must also A very large proportion of internet
reasonably ensure that any confidential research is carried out using internet
information provided to them by clients access panels and detailed technical
or others is protected (e.g. by firewall) guidance on the use and management
against unauthorised access. of these panels is provided in section 2.9

Link to 3.5 It is equally important that any research
about the Internet (e.g. to measure
penetration, usership etc.), which

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employs other data collection methods, special contacting procedures to secure
such as telephone or mail, also clearly the permission of a parent before
refers to any sampling, or other, limita- carrying out an interview with children
tions on the data collected. under 14. Where necessary researchers
should consult ESOMAR or their national
Link to 3.5 society for advice.

2.7 interviewing children and young Link to 3.7
people
2.8 unsolicited e-mail
Researchers must observe all relevant
laws and national codes specifically Researchers shall not send unsolicited
relating to children and young people messages online to respondents who
although it is recognised that the have indicated that they do not wish
identification of children and young to receive such messages relating to
people is not possible with certainty a research project or to any follow-up
on the Internet at this time. ESOMAR research resulting directly from it.
requirements about the precautions to Researchers will reduce any inconvenience
be taken are set out in the ESOMAR or irritation such e-mail might cause
Guideline on Interviewing Children and to the recipient by clearly stating its
Young People. purpose in the subject heading and
keeping the total message as brief as
According to the ESOMAR Guideline, possible.
permission of a responsible adult must
be obtained before interviewing children Link to 3.8
aged under 14 (the age definition for
children does vary from country to 2.9 internet access panels
country) and asking questions on
topics generally regarded as sensitive ESOMAR believes that it is in the best
should be avoided wherever possible interests of the research industry for
and in any case handled with extreme access panels to be actively managed and
care. Researchers must use their best maintained at all stages from recruitment
endeavours to ensure that they conform to sample selection, response monitoring
to the requirements of the Guideline and regular panel maintenance. a set of
referred to, for example by introducing detailed guidelines have been prepared to

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help research providers develop a quality not inconvenienced – i.e. through inter-
management approach to their panels. ruption of a task.

In order to assist the researcher who Survey introductions or a survey
intends to use an access panel, ESOMAR description to which a link has been
has prepared a list of questions which provided must assure respondents that
could be put to the owner of the panel to data will be collected only for research
establish the likely composition and quality purposes and will under no circum-
of the panel recruitment and maintenance. stances be used for direct marketing or
other sales approaches to the respondent.

3. additionaL guidanCe For surveys completed online, respon-
dents must be told about the length of
In the following sections specific additional time the questionnaire is likely to take to
guidance is given on each of the basic complete under normal circumstances
ESOMAR principles. (e.g. assuming connection is maintained).
The use of some form of metering
3.1 Co-operation is voluntary device so that respondents can track
their progress through the questionnaire
Researchers must not make use of is recommended.
surreptitious, misleading or unsolicited
data collection or recruitment tech- Respondents should be informed if
niques - including sifting respondent they have the option of completing the
e-mail addresses from websites, using questionnaire at a time convenient to
agents that collect personal informa- them within the schedule dictated by
tion without the respondent’s explicit the time frame of the study. Beyond
awareness, spamming, scamming or this, suitable technical measures should
baiting respondents. be implemented, where appropriate,
allowing respondents not to answer
Where visitors to a particular website particular questions (but to proceed
are asked to take part in a survey, with the rest of the interview) and to
either through clicking through to a interrupt and subsequently return to
survey site or via a pop-up window, the interview at any time.
care should be taken to ensure that
visitors who don’t wish to take part are

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Respondents must be given the Where these are derived from website
opportunity to find out more about the registration databases, researchers must
research agency carrying out the study, check that registration was voluntary and
by giving them the name of the organi- that the data is current.
sation together with an address (postal
address, telephone number, agency’s At the end of the questionnaire or project,
website or e-mail address). A corre- it is good practice to provide a thank
sponding hyperlink is recommended for you statement or to send an electronic
this purpose. thank you letter, unless respondents
have refused e-mail contact. This should
The description of the nature of the give details of the agency conducting
research should include the following: the research.

• The identity of the client (always 2 If a repeat or follow-up survey is intended,
if sampling from customer databases, a statement concerning Data Protection
only if this is methodological appropriate must be displayed on the respondents’
in other cases). screen at the latest by the end of the first
• For multi-topic surveys, the variety interview, while obtaining their consent
of subject areas included in the ques- for the necessary storage of their address
tionnaire. data. The respondents should be given the
• An explanation of the reasons the opportunity to print out this statement. The
respondent has been chosen to partici- respondents must be able to refuse further
pate and the likely benefits. participation in the survey via a suitable
option and to refuse further contact by
All of the above information must be e-mail in connection with the survey.
given at the start of the questionnaire,
as must any links to data protection; When recruiting members for an online
privacy policy or cookie consent state- panel, it must be expressly pointed out
ments. This will ensure that should to them that their address, as well as
respondents fail to complete the ques- various selection criteria, will be stored
tionnaire for any reason their rights are by the research agency for the purpose
protected. of further surveys. Furthermore it must
be pointed out that members can dis-
Where lists are used for sample selection, continue participation at any time and
the source of the list must be disclosed. can ask that these data be deleted.

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Respondents must always be told when 3.2 researcher’s identity disclosure
cookies (or small text files that will ensure
that they won’t be interviewed again, This subject requires no additional guid-
for example) or other covert software is ance. There is additional information in the
being used to collect information about section covering privacy statements.
them are being used and that they can
turn them off or remove them. 3.3 respondents’ anonymity must be
safeguarded
sample wording for obtaining
consent to set up a “Cookie” for It must be remembered that a respon-
research purposes dent’s e-mail address is personal data
where it refers to a data subject and
The following is from the German therefore needs to be protected in the
guidelines on Internet research and same way as other identifiers.
gives a suggested method for seeking
permission for cookies. 3.4 privacy policy statements

Our Server ____ would like to set up a ESOMAR members carrying out research
“cookie” on your computer. The “cookie” on the Internet should develop a privacy
is named ____ . Its sole purpose is to policy and prepare a privacy statement
inform our server if your computer describing their policy. This statement
accesses this site / page again during should be made available as a link from
the time of this study, from ____ to ____ , every online survey. The purpose of this
to prevent it from asking you again to document is to guide members on the
complete a questionnaire. topics to be considered in their privacy
policies. Some elements of the policy will
The “cookie” will be used exclusively be standard for all surveys and these
for the research objectives of this study are discussed in the next section. Other
and will be deactivated after its conclusion aspects of the privacy policy will vary
on ____ . It would be a great help to us depending on the sampling method being
in conducting the study, if you would used. These are discussed in the section
consent to the “cookie” being installed. three major variants. The order and
wording of the published privacy statement
May our server ____ install the “cookie” is a matter for each member to decide. An
named ____ on your computer? yes/no example privacy statement is also given.

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standard elements for all privacy practical we will conform to such a
statements request.
• Statement of who is doing the • invisible processing - clear state-
research. This could include a hyperlink ment of any invisible processing related
to the research Company Home page to the survey that is taking place. Most
for more information. web surveys can detect information
• Who is it for - explanation that each about the respondent without respondent
survey will contain information about knowledge. Browser type, User name and
the identity of the Company/organisation computer identification are amongst the
the research is being done for, unless list of detectable information. Statements
there are good reasons for not providing should say clearly what information is
this information. being captured and used during the
• Guarantee that in all circumstances interview (e.g. to deliver a page optimised
identities of individual respondents to suit the browser) and whether any of
and their answers will be treated as this information is being handled as part
confidential and will be used only for of the survey or administrative records.
research purposes unless the respondent • Cookies - clear statement that they
expressly requests disclosure to a third are or are not being used, and if so,
party. why. e.g. we use cookies and other
• Will not mislead you - e.g. in similar devices sparingly and only
obtaining your co-operation we will for quality control, validation and to
not mislead you about the nature of prevent bothersome repeat surveying.
the research or the uses, which will be If cookies are being used, it would be
made of the findings. advisable to include a reminder that the
• Voluntary - e.g. as with all forms respondent has control over whether
of market and opinion research, your their computer accepts cookies e.g.
co-operation is voluntary at all times. Ensure your browser is configured so
No personal information is sought that you are alerted to the placement of
from or about, you without your prior all cookies. You can also delete cookies
knowledge and agreement. by adjusting your browser settings.
• Withdraw - e.g. you are entitled at • Children – clear statement about
any stage of the interview, or subse- how interviews with children (age to
quently, to ask that part or all of the be defined in each country) will be
record of your interview be destroyed carried out. - e.g. in research involving
or deleted. Wherever reasonable and children, we will conform to the terms of

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the Children’s Online Privacy Protection management, control and sample
act (Coppa) of 1998 and seek the selection
verifiable permission of a parent or • Frequency of contact - Give some
legal guardian before an interview statement of how often or for how long
commences. • password identity system - if it is
• How to contact us - e.g. we will used describe how it works and the
provide an e-mail address and/or a security it offers.
freephone number for respondents to • opt in and opt out policies for
contact us to discuss any problems communications other than surveys
with a particular survey. such as panel maintenance or reward
• security measures e.g. our web schemes. State what communications
site has security measures in place to will be sent, which are optional and
protect the loss, misuse, and alteration clarify any potential communications for
of the information under our control. third parties.
Only certain employees have access to • reward - explain any reward scheme
the information you provide us. They and if this forms the basis for a contract.
have access only for data analysis and
quality control purposes. surveys where the research agency
• unsolicited mail - state policy not to has been given or has acquired a list
send unsolicited mail or pass on e-mail of e-mail addresses in order to send
addresses to others for this purpose. invitations to participate in a survey
• Validation - several privacy validation • source of information - clear state-
services exist, e.g. trust-e, and members ment of where the e-mail address came
should consider membership from or that this will be included in the
information given in the survey itself.
three major variants Also, if a list has been provided, state
that the list provider has verified to the
surveys where the respondent has, research agency that the individuals
or is in the process of, voluntarily listed have a reasonable expectation
joining a panel for market research that they will receive e-mail contact.
purposes • spamming - will not knowingly
• The sign up process - describe the send e-mail to people who have not
registration process. consented to helping in research. May
• The panel database - describe include mechanism for removing your
information that is stored for panel

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name from future surveys or notifying co-operation, we will not mislead you
the provider of the e-mail list. about the nature of the research or the
• password identity system - if it use, which will be made of the findings.
is used describe how it works and the
security it offers. The answers you give us will be treated
• stop and start interview process – as Confidential unless you have given
if this is possible explain how, and any your consent to the contrary. In the
information stored to allow it. relatively few instances where we ask
you for permission to pass data on in a
intercept surveys where the form which allows you to be personally
respondent is selected as a 1 in n identified, we will ensure that the infor-
sample of visitors to a web site mation will be used only for research
• explain intercept technique - purposes. We will not send you
random selection. unsolicited mail or pass on your e-mail
• password identity system - if it addresses to others for this purpose. If
is used, describe how it works and the we want to send you future e-mail, we
security it offers. will ask your explicit permission for this.
• stop and start interview process
– if this is possible, explain how, and As with all forms of market and
any information stored to allow it. opinion research, your co-operation
• invisible processing – describe is voluntary at all times. No personal
any invisible processing used to make information is sought from or about
the intercept or re-direct respondents you, without your prior knowledge
to the survey. and agreement. You are entitled at any
stage of the interview, or subsequently,
example privacy statement to ask that part or all of the record of
your interview be destroyed or deleted.
NameOfCompany would like to thank Wherever reasonable and practical we
you for taking part in this genuine will carry out such a request.
Market Research survey about
GeneralDescriptionOfTheSurvey. Information about the appropriate
We are not trying to sell or promote sample details to be inserted here.
anything. This is a market research
survey using scientific methods and We try our best not to interview children
we promise that, in obtaining your without first getting the permission of

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their parents, though we cannot always websites or servers. Especially sensi-
guarantee this to be the case. tive or valuable information should
be protected by reliable encryption
We use cookies and other similar technologies.
devices sparingly and only for quality
control, validation and to prevent If the temporary storage of the data
bothersome repeat surveying. You can collected takes place on a server that
configure your browser to notify you is operated by a provider, the research
when cookies are being placed on your agency must place the provider under
computer. You can also delete cookies the obligation to take the necessary
by adjusting your browser settings technical precautions to ensure that
third parties cannot access the data
We automatically capture information on the server or during data transfer.
about your browser type in order to Temporary storage of the collected data
deliver an interview best suited to your on the server must be terminated at the
software. We do no other invisible earliest possible time.
processing of data from your computer.
Before data is sent over the Internet
Our web site has security measures to another country, researchers must
in place to protect the loss, misuse, and check with competent authorities that
alteration of the information under our the data transfer is permissible. The
control. Only certain employees have recipient may need to provide safe-
access to the information you provide guards necessary for the protection of
us. They have access only for data the data.
analysis and quality control purposes.
You can contact us at emailaddress@ Researchers must have adequate
company.com to discuss any problems safeguards in place to ensure that
with this survey. You can find out more when e-mails are sent in batches the
about us at www.ourwebsite.com. addresses of the respondents are not
revealed.
3.5 data security
Clients must be fully informed about
Researchers must use the most up the potential risks of posting details
to date technologies to protect the of confidential information in Internet
personal data collected or stored on surveys.

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3.6 reliability and validity be explicitly pointed out. The weighting
and proportionalisation methods used
As with all techniques of data collection must also be documented.
also in the case of online surveys, the
sample must be selected and drawn 3.7 interviewing children and young
on the basis of scientifically recognised people
methods which are in line with the
research objectives. Children may be familiar with using the
Internet but research has found them to
In online surveys – as with all studies be naïve and trusting, happily disclosing
in market and social research – it is information about themselves or their
necessary to document for the client, households without realising the
how the total population is defined implications of doing so. Parent groups,
and how the sample was selected and consumer groups and legislators are
drawn. If the selection of respondents particularly concerned about potential
was carried out by means of a random exploitation of children on the Internet
procedure, the response rate and and it is for this reason that guidelines
the way in which it was calculated, place greater burdens on researchers
must be stated. When quota sampling than would be the case in adult research.
methods are used, the sources (as a Researchers must ensure that the
rule, secondary statistical sources) and principle of consent is met, so if Internet
the distribution of quota characteristics research is conducted outside the school
deduced from them must be stated and environment, special measures must be
the fulfilment of the quota characteris- taken to ensure verifiable and explicit
tics must be documented in the form of consent.
a target-actual comparison.
Consent must be obtained from a parent,
If shortcomings in the definition of legal guardian or other responsible adult.
the total population, in the selection
procedure, in the response rate (using A notice to parent or guardian, seeking
random sampling methods), or in the their consent for their child to be asked
target-actual structure (using quota to participate in the research, must be
sampling methods) mean that the posted on the website or e-mailed to a
results are not representative or only parent.
to a restricted degree, then this must

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This notice of consent must include: to be sought as long is this purpose is
made clear in the request for information.
• A heading explaining that this is a Prior parental consent will not be
notice for parents. required to:
• The identity of the client (always
if sampling from customer databases, • Collect a child’s or parent’s e-mail
only if this methodologically appropriate address solely to provide notice of data
in other cases). collection and request consent.
• Name and contact details of the • Collect a child’s age for screening
agency/agencies. and exclusion purposes. If this screening
• The nature of the data to be col- leads to the decision that a child does
lected from the child. qualify for interview, parental consent
• An explanation of how the data will must then be sought to continue with
be used. the interview.
• An explanation of the reasons the
child has been asked to participate Unsolicited e-mail communications must
and the likely benefits. A description of not be addressed to children without
the procedure for giving and verifying verifiable and explicit prior consent.
consent.
• A request for a parent’s contact Personal information relating to other
e-mail address, address or phone number people (for example, parents) must not
for verification of consent. be collected from children.
• Where personal information collected All data protection, privacy policy, consent
from children will only be used for and other notices must be capable of
research purposes and no personal being understood by children.
data will be passed on for any other
purpose, a return e-mail from parent Questionnaires on websites aimed at
or guardian giving their consent is children must require a child to give
acceptable, as long as additional steps their age before any other personal
are taken to ensure that the consent information is requested. If the age
actually came from a parent – for given is below the nationally agreed
example, following up with an e-mail, threshold dividing child from adult, the
letter or phone call. It is permissible to child should be excluded from giving
ask children to provide contact details further personal information until the
for their parents in order for consent appropriate consent has been obtained.

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A notice to children, informing them 3. Individuals are offered the choice to
of the requirement for consent must be removed from future e-mail contact
be shown at the point where personal in each invitation; and,
information is requested. This notice 4. The invitation list excludes all indi-
should be clear and prominent and viduals who have previously taken the
must include an explanation of the appropriate and timely steps to request
subject. Where required they must also the list owner to remove them.
refer to the fact that consent will be
verified. Research organizations must not use
any subterfuge in obtaining e-mail
3.8 unsolicited e-mail addresses of potential respondents,
such as collecting e-mail addresses from
The general principle of this section is public domains, using technologies or
that survey research organizations will techniques to collect e-mail addresses
not use unsolicited e-mails to recruit without individuals’ awareness, and
respondents for surveys. collecting e-mail addresses under the
guise of some other activity.
Research organizations are required
to verify that individuals contacted for Research organizations must not
research by e-mail have a reasonable use false or misleading return e-mail
expectation that they will receive e-mail addresses when recruiting respondents
contact for research. Such agreement over the Internet.
can be assumed when ALL of the fol-
lowing conditions exist. When receiving e-mail lists from clients
or list owners, research organizations
1. A substantive pre-existing relationship must have the client or list provider
exists between the individuals contacted verify that individuals listed have a
and the research organization, the client reasonable expectation that they will
or the list owners contracting the receive e-mail contact, as defined above.
research (the latter being so identified);
2. Individuals have a reasonable It would be good practice if researchers
expectation, based on the pre-existing kept copies of e-mails and other
relationship, that they may be contacted documents received from respondents
for research; agreeing to or restricting the use of their
information or their being accessed.

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4. internet access panels In many of these areas the guidelines
define the set of management policies
guideline on internet access panels that the panel owner should have in
place, while not dictating the exact
Internet access panels are being detail of the recommended policy. Future
used more and more often in market developments of the ISO standards for
research surveys. The advantages of market research may define more explicit
this method of sampling and questioning policies that participating companies will

are such that the use of Access panels implement in their operating procedures.
is set to increase considerably in
the years ahead. However, the rapid panel recruitment
growth of this approach to sampling
brings with it a number of potential 1. Panel members must be told that
implications. At present the market they are a member of a panel and be
is largely unregulated and it is often asked to voluntarily and actively indicate
difficult to find out exactly what quality that they wish to be on the panel.
standards, if any, are being applied A double opt-in recruitment process
in sampling and recruiting of panel is recommended particularly where
members and how they are maintained. respondents are recruited online. This
procedure requires the respondent to
ESOMAR believes that the best interests initiate an approach to the panel owner,
of respondents, research buyers and the panel owner replies confirming the
research suppliers will be met by panel details and double checks that
developing actively managed access the respondent is who they seem to
panels. Each should be a permission be and that they do wish to join. The
database managed in order to develop respondent then replies to complete the
a mutual and trusted relationship double opt-in and joins the panel.
between the panel owner and panel
members. The following sections There may be circumstances when
provide guidelines to panel owners the panel owner already has e-mail
who wish to build actively managed addresses for potential panellists,
panels. They cover recruitment, project where a simplified opt-in process is
management, panel monitoring, panel acceptable. This would start with an
maintenance and data protection. e-mail from the panel owner followed by

17



the panel member replying or visiting a potential buyers. Panel owners may
web site to enrol. protect commercially sensitive information
The panel owner should retain docu- about the exact sources used.
mentary proof (either hard copy or
electronic) of each panel member’s 4. The panel owner should have docu-
agreement to join the panel. mented procedures for checking that
new panel members are not already
2. The size of the panel should be stated panel members and thereby avoid
honestly and be based on the number of duplication in the panel.
individuals who have personally joined
the panel. Even though the panel owner 5. On recruitment all panel members
might have data on other household should provide a set of basic descrip-
members in panellists’ homes, the panel tive information about themselves in
size should not be calculated to include order that the representativeness of
additional household members who have the panel can be assessed and that
not actively joined the panel. targeted or stratified sample can be
drawn.
The claimed size of the panel should be
based on active panel members (see 6. ESOMAR does not prescribe a
Panel Maintenance point 1 below) mandatory minimum set of background
variables that should be recorded about
3. The panel owner should retain each active panel member. However,
documentary proof of how each panel the following variables all have valuable
members was recruited - from what roles in strategies to avoid duplication
type of source their name and e-mail or clarify individual identity, stratification
address was obtained including, where of samples for research projects, and
relevant, the website from which weighting strategies to counter heavy
they were invited to join the panel? In user bias:
particular, respondents who have been
actively recruited through a traditional • Sex
sampling approach and invited to join • Level of education
the panel should be identified. An overall • Household size
analysis of type of recruitment source • Region
for the active panel or for any sample • Location (postal code + housenumber)
drawn from it should be available to • Age (date of birth)

18



• Presence of children in household about partnership arrangements with
• Working status other panel owners.
• Weight of internet usage (hours per
week) 3. Panel owners should have a
• Type of internet access published policy about how frequently
they select individual panel members to
Panel owners should have a published participate in surveys.
list of background variables for which
data are available from all panel members. 4. Panel owners should have a clearly
stated policy about the maximum
7. All panel members must be given number of research projects for which
a clear and unambiguous guarantee a panel member will be selected to
that the access panel is used solely participate in any given period of time.
for the purpose of conducting market
research surveys (i.e. there will be no 5. Panel owners should have a clearly
attempt to sell products or approach defined list of information that can be
panel members for telemarketing or used to exclude panellists from selection
any other form of marketing activity). for a project sample.

project management 6. Panel owners should have a clearly
defined policy on how they reward
1. Panel owners should have a clearly panellists. The research buyer should
defined list of data about panellists that be informed of the reward method to
can be used in the definition of a sample be used on their project.
to be selected from the panel. This list
should include both background vari- 7. Panel owners should provide a
ables provided by all panel members comprehensive response analysis at
and items of panellist history such as the end of each survey. This should
recency of selection for a previous also include a copy of the solicitation
project and co-operation history. e-mail sent to panel members and
the full wording of any screening or
2. Panel owners should provide to introductory questions put to panellists
clients a clear and honest description before the main survey started.
of the nature of their panel - the popu-
lation it covers - and be transparent

19



ESOMAR recommends the following panel monitoring
content in a project technical summary:
1. Panel owners should keep detailed
• Original invite text(s) records for each panel member of:
• Date(s) of invites (date(s) of • The research projects or surveys for
reminder(s) which they have been sampled
• Date of closing fieldwork (days in • The nature of the panellist’s
field) response to each project or survey
• Panel used (proprietary or third part
and amounts) The records should be stored in such a
way that it is easy to determine:
Response based on the total amount of • When a panellist was last selected
invites (% or full numbers) per sample for a survey
drawn (country, questionnaire). • When a panellist last co-operated
• % questionnaire opened with a survey
• % questionnaire completed (includ- • The number of surveys the panellist
ing screen-out) has completed in any given period of
• % in target group (based on quota’s) time.
• % validated (rest is cleaned out, if
applicable). 2. Panel owners should calculate
regularly and be able to make available
A short description of how the response to potential client’s key data about their
and the project relate to the standard panel including:
criteria, is it less or more than usual • Average number of projects selected
and any peculiarities with the survey? for, per panellist per period
• Maximum number of projects
8. Panel owners should have docu- selected for, per panellist per period
mented procedures to ensure that a • Average number of complete ques-
panel member can answer a survey for tionnaires per panellist per period
which they have been selected, only
once. 3. Where panel owners adopt an
electronic storage system that allows
all responses given by a respondent
(across many surveys), all data collected
exclusively on behalf of a client must be

20



treated as confidential and may not be b. Co-operated by completing an online
used in the future on behalf of a second questionnaire (including replying to a
client either in the selection of sample or screener)
analysis of data. Data ownership, and the c. Indicated to the panel owner that
associated responsibilities to respon- they wish to remain a member of the
dents, may be changed by contractual panel
agreement between panel owner and
client in advance of data collection. 2. Panel owners should regularly
remove from the panel non-active
4. Panel owners should have a clear members. Each panel member’s record
and published policy about validation of participation should be reviewed
checks. They should maintain records regularly and the panel owner should
of any checks they carry out to validate have clearly defined rules for when
that the panel member did indeed to remove panellists as non-active
answer a survey. based on their co-operation history in
the preceding period. Panel members,
panel maintenance who appear to be inactive because they
have not been selected for a survey
1. Panel owners should have a clear since the last review of their status,
and published definition of an active should be contacted in order to confirm
panel member. The size of the active their willingness to continue as panel
panel will normally be lower than the members.
total number of panellists. ESOMAR
recommends the following definition 3. Panel owners should have a clearly
but the final definition rests with the defined policy on how frequently panel
panel owner: members will be asked to update their
background information. This policy
An individual panel member whose set of should also define whether or not
background variables are complete and changes in circumstances discovered
up to date (see point 3 below) and who in during survey projects will be recorded
the preceding 12 months has either: in the data record.

a. Joined the panel following proce- 4. Panel owners should have a clearly
dures set out in the Panel Recruitment defined policy on how long they will
section above. allow an active panellist to remain on

21



the panel before they are removed and will be many different approaches
replaced by new panel members. attempted by research suppliers.
Research buyers who wish to get a
privacy/data protection more thorough understanding of the
methodology offered by a research
1. The panel must be managed in provider can use the following set of 25
accordance with local data protection questions as the basis of a discussion
laws and, if legally required, should be of methodology.
registered with the appropriate authority.
Reputable suppliers with established
2. Panel members must, on their methodologies and active panel manage-
request, be informed which personal ment policies will be able to provide
data relating to them are to be stored. answers to these questions. The
Any personal data that are indicated decision to go ahead or not can then be
by panel members as not correct or made on an informed understanding of
obsolete must be corrected or deleted. the approach being offered and its likely
quality.
3. Panel members must be given a
simple and effective method for leaving 1. Is it an actively managed panel
the panel whenever they choose to. (nurtured community) or just a data-
Panel members who have stated that base?
they wish to leave the panel must not
be selected for any further surveys and 2. `Truthfully’ how large is it?
must be removed form the panel as
soon as practicable. 3. What is the percentage of `active’
members and how are they defined?
25 Questions to help research buyers
4. Where are the respondents sourced
The use of internet access panels for from and how are they recruited?
sampling and questioning is a rela-
tively new research technique. It will 5. Have members clearly opted-in? If
take some time before uniform quality so, was this double opt-in?
standards can be defined and adopted
across the industry. In the early stages 6. What exactly have they been asked
of a methodological development there to opt-in to?

22



7. What do panel members get in 17. Are or can panel members who
return for participating? have recently participated in a survey
on the same subject be excluded from
8. Is the panel used solely for market a new sample?
research?
18. Is a response rate (over and above
9. Is there a Privacy Policy in place? If screening) guaranteed?
so, what does it state?
19. How often are individual members
10. What research industry standards contacted for market research or
are complied with? anything else in a given time period?

11. Is the panel compliant with all 20. How is the sample selection process
regional, national and local laws with for a particular survey undertaken?
respect to privacy, data protection and
children e.g. EU Safe Harbour, and 21. Can samples be deployed as
COPPA in the US? (Provide hotlinks for batches/replicates, by time zones,
reference) geography, etc? If so, how is this
controlled?
12. What basic socio-demographic
profile information, usership, interests 22. Is the sample randomized before
data, etc. is kept on members? deployment?

13. How often is it updated? 23. Can the time of sample deployment
be controlled and, if so, how?
14. In what other ways can users be
profiled (e.g. source of data)? 24. Can panel members be directed to
specific sites for the survey question-
15. What is the (minimum and typical) naire to be undertaken?
turn-around time from initial request
to first deployment of the emails to 25. What guarantees are there to guard
activate a study? against bad data i.e. respondent cheating
or not concentrating/caring in their
16. What are likely response rates and responses (e.g. click happy)?
how is response rate calculated?

23




5. sourCes used in 7. iMportant deFinitions
CoMpiLing guideLines
definition of internet research
Coppa – Children’s Online Privacy internet research is defined as
Protection Act research in which a respondent
dMa – Code of Practice for Commer- – either on a single occasion or as
cial Communications to Children Online part of a panel:
(German) Guidelines for Online Surveys –

• Completes a questionnaire online via
adM, asi, BVM. dgoF the Internet on a server belonging to
Casro – Code of Standards and Ethics the research agency or a provider
for Survey Research, Section I.B.3. • Downloads a questionnaire from a
Internet Research http://www.esomar. server on the Internet and returns it by
org/index.php/associations.html e-mail, or
Mrs Guidelines for Researching Children • Receives the questionnaire incorpo-
and Young People rated into an e-mail and returns it in
the same way or
• Participates in an online qualitative
6. Links to nationaL interview or discussion.
researCh assoCiation • Or takes part in a measurement sys-
inForMation tem which tracks web usage by such
means as specialist software installed
You can find a full listing of national on the user’s p.c.
research associations at the ESOMAR These guidelines also apply to research
website. Many national associations conducted via WAP and 3rd generation
have their own additional guidelines technology, though when collecting
on internet research and detail local data in this way, special care must be
requirements reflecting legislative taken to ensure that it is convenient and
requirements in their country. safe for the respondent to proceed.
http://www.esomar.org/index.php/
associations.html definition of internet access panel

A sample database of potential
respondents who declare that they
are willing to receive invitations to
participate in future internet interviews

24



if selected. Normally a minimum of notes:
demographic data are available for
each respondent so effective sample 1
ICC/ESOMAR Codes and Guidelines
selection can be checked by population are always subordinate to existing
parameters, and if more data on poten- national law. There is currently no
tial respondents are in the database, international unanimity as to whether
then targeted samples can be selected. country of origin or country of destina-
Continuously reporting panels (e.g. TV- tion applies to research on the Internet.)
rating-panels, consumer-panels) are
not covered by the definition of Access 2
The guidance in non-Internet situa-
Panel. tions is that client identity (if sampling
from customer databases) can be
given at an appropriate point during the
interview. That is difficult to control in
Internet research where the respondent
can withdraw at any point but still has
the right to know the source of his/her
contact details. Best practice in these
circumstances would be to name the
client at the start of the questionnaire.
If this is likely to bias response, then
the client must be identified as early as
possible in the questionnaire.)

August 2005

25



esoMar
Vondelstraat 172
1054 GV Amsterdam
The Netherlands
Tel +31 20 664 2141
Fax +31 20 664 2922



ESOMAR is the world organisation for
enabling better research into markets,
consumers and societies.
With 4,500 members in 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 conferences, publications and
communications, as well as actively
advocating self-regulation and the
worldwide code of practice.

www.esomar.org


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