ICC/ESOMAR International Code of Marketing and Social Research Practice

International Chamber of Commerce

Introduction
Effective communication between the suppliers and the consumers of goods and services of all kinds is vital to any modern society. Growing international links make this even more essential. For a supplier to provide in the most efficient way what consumers require he must understand their differing needs; how best to meet these needs; and how he can most effectively communicate the nature of the goods or services he is offering.

This is the objective of marketing research. It applies in both private and public sectors of the economy. Similar approaches are also used in other fields of study: for example in measuring the public's behavior and attitudes with respect to social, political and other issues by Government and public bodies, the media, academic institutions, etc. Marketing and social research have many interests, methods and problems in common although the subjects of study tend to be different.

Such research depends upon public confidence: confidence that it is carried out honestly, objectively, without unwelcome intrusion or disadvantage to respondents, and that it is based upon their willing cooperation. This confidence must be supported by an appropriate professional Code of Practice which governs the way in which marketing research projects are conducted.

The first such Code was published by the European Society for Opinion and Marketing Research (ESOMAR) in 1948. This was followed by a number of Codes prepared by national marketing research societies and by other bodies such as the International Chamber of Commerce (ICC), which represents the international marketing community. In 1976 ESOMAR and the ICC decided that it would be preferable to have a single International Code instead of two differing ones, and a joint ICC/ESOMAR Code was therefore published in the following year (with revisions in 1986).

Subsequent changes in the marketing and social environment, new developments in marketing research methods and a great increase in international activities of all kinds including legislation, led ESOMAR to prepare a new version of the International Code in 1994. This new version sets out as concisely as possible the basic ethical and business principles which govern the practice of marketing and social research. It specifies the rules which are to be followed in dealing with the general public and with the business community, including clients and other members of the profession.

ESOMAR will be glad to give advice on the implementation of this Code; and also offers an arbitration and expert assessment service to help resolve technical and other disputes relating to marketing research projects.

Other aspects of marketing - in particular Direct Marketing and Advertising - are covered by separate International Codes of Practice published by the ICC. Copies of these may be obtained from the ICC Secretariat in Paris.

The International Code
This Code sets out the basic principles which must guide the actions of those who carry out or use marketing research. Individuals and organizations who subscribe to it must follow not just the letter but also the spirit of these rules.

No Code can be expected to provide a completely comprehensive set of rules which are applicable to every situation which might arise. Where there is any element of doubt people should ask for advice and meanwhile follow the most conservative interpretation of these principles. No variation in the application of the rules is permissable without explicit authorisation by ESOMAR.

In certain countries there are additional national requirements laid down by legislation or by the local professional association which may affect the application of the International Code. Where they add to or differ from those set out in this Code such specific national requirements take precedence when carrying out research* in that country. This applies to all research in that country even when it is carried out by researchers or clients based elsewhere. National associations can provide information on any special requirements of these kinds which must be observed in their own country.

Individuals are always responsible for ensuring that the other people in their organization who to their knowledge are concerned in any way with marketing research activities are aware of, and understand, the principles laid down in this Code. They must use their best endeavours to ensure that the organization as a whole conforms to the Code.

Acceptance of this International Code is a condition of membership of ESOMAR and of all other national and international bodies which have officially adopted the Code. Members should also familiarize themselves with the Notes and Guidelines which ESOMAR produces to help in interpreting and applying the Rules of this Code.

* Throughout this Code the terms 'research' and 'researcher' are to be understood as relating to 'marketing research' and 'marketing researcher' (see 'Definitions')


Definitions

a) Marketing research is a key element within the total field of marketing information. It links the consumer, customer and public to the marketer through information which is used to identify and define marketing opportunities and problems; generate, refine and evaluate marketing actions; improve understanding of marketing as a process and of the ways in which specific marketing activities can be made more effective.

Marketing research specifies the information required to address these issues; designs the method for collecting information; manages and implements the data collection process; analyses the results; and communicates the findings and their implications.

Marketing research includes such activities as quantitative surveys; qualitative research; media and advertising research; business-to-business and industrial research; research among minority and special groups; public opinion surveys; and desk research.

In the context of this Code the term marketing research also covers social research where this uses similar approaches and techniques to study issues not concerned with the marketing of goods and services. The applied social sciences equally depend upon such methods of empirical research to develop and test their underlying hypotheses; and to understand, predict and provide guidance on developments within society for governmental, academic and other purposes.

Marketing research differs from other forms of information gathering in that the identity of the provider of information is not disclosed. Database marketing and any other activity where the names and addresses of the people contacted are to be used for individual selling, promotional, fund-raising or other non-research purposes can under no circumstances be regarded as marketing research since the latter is based on preserving the complete anonymity of the respondent.

b) Researcher is defined as any individual, research agency, organization, department or division which carries out or acts as a consultant on a marketing research project or offers their services so to do.

The term includes any department etc. which belongs to the same organization as that of the client. A researcher linked to the client in this way has the same responsibilities under this Code vis-à-vis other sections of the client organization as does one who is completely independent of the latter.

The term also covers responsibility for the procedures followed by any subcontractor from whom the researcher commissions any work (data collection or analysis, printing, professional consultancy, etc.) which forms any part of the research project. In such cases the researcher must ensure that any such subcontractor fully conforms to the provisions of this Code.

c) Client is defined as any individual, organization, department or division (including one which belongs to the same organization as the researcher) which requests, commissions or subscribes to all or any part of a marketing research project.

d) Respondent is defined as any individual or organization from whom any information is sought by the researcher for the purposes of a marketing research project. The term covers cases where information is to be obtained by verbal interviewing techniques, postal and other self-completion questionnaires, mechanical or electronic equipment, observation and any other method where the identity of the provider of the information may be recorded or otherwise traceable.

e) Interview is defined as any form of direct or indirect contact, using any of the methods referred to above, with respondents where the objective is to acquire data or information which could be used in whole or in part for the purposes of a marketing research project.

f) Record is defined as any brief, proposal, questionnaire, respondent identification, check list, record sheet, audio or audio-visual recording or film, tabulation or computer print-out, EDP disc or other storage medium, formula, diagram, report, etc. in respect of any marketing research project, whether in whole or in part. It covers records produced by the client as well as by the researcher.

Rules
A. General
1. Marketing research must always be carried out objectively and in accordance with established scientific principles.

2. Marketing research must always conform to the national and international legislation which applies in those countries involved in a given research project.

B. The Rights of Respondents
3. Respondents' cooperation in a marketing research project is entirely voluntary at all stages. They must not be misled when being asked for their cooperation.

4. Respondents' anonymity must be strictly preserved. If the Respondent on request from the Researcher has given permission for data to be passed on in a form which allows that Respondent to be personally identified:
a) the Respondent must first have been told to whom the information would be supplied and the purposes for which it will be used, and also
b) the Researcher must ensure that the information will not be used for any non-research purpose and that the recipient of the information has agreed to conform to the requirements of this Code.

5. The Researcher must take all reasonable precautions to ensure that Respondents are in no way directly harmed or adversely affected as a result of their participation in a marketing research project.

6. The Researcher must take special care when interviewing children and young people. The informed consent of the parent or responsible adult must first be obtained for interviews with children.

7. Respondents must be told (normally at the beginning of the interview) if observation techniques or recording equipment are being used, except where these are used in a public place. If a Respondent so wishes, the record or relevant section of it must be destroyed or deleted. Respondents' anonymity must not be infringed by the use of such methods.

8. Respondents must be enabled to check without difficulty the identity and bona fides of the Researcher.

C. The Professional Responsibilities of Researchers
9. Researchers must not, whether knowingly or negligently, act in any way which could bring discredit on the marketing research profession or lead to a loss of public confidence in it.

10. Researchers must not make false claims about their skills and experience or about those of their organization.

11. Researchers must not unjustifiably criticize or disparage other Researchers.

12. Researchers must always strive to design research which is cost-efficient and of adequate quality, and then to carry this out to the specifications agreed with the Client.

13. Researchers must ensure the security of all research records in their possession.

14. Researchers must not knowingly allow the dissemination of conclusions from a marketing research project which are not adequately supported by the data. They must always be prepared to make available the technical information necessary to assess the validity of any published findings.

15. When acting in their capacity as Researchers the latter must not undertake any non-research activities, for example database marketing involving data about individuals which will be used for direct marketing and promotional activities. Any such non-research activities must always, in the way they are organized and carried out, be clearly differentiated from marketing research activities.

D. The Mutual Rights and Responsibilities of Researchers and Clients
16. These rights and responsibilities will normally be governed by a written Contract between the Researcher and the Client. The parties may amend the provisions of Rules 19-23 below if they have agreed to this in writing beforehand; but the other requirements of this Code may not be altered in this way. Marketing research must also always be conducted according to the principles of fair competition, as generally understood and accepted.

17. The Researcher must inform the Client if the work to be carried out for that Client is to be combined or syndicated in the same project with work for other Clients but must not disclose the identity of such Clients.

18. The Researcher must inform the Client as soon as possible in advance when any part of the work for that Client is to be subcontracted outside the Researcher's own organization (including the use of any outside consultants). On request the Client must be told the identity of any such subcontractor.

19. The Client does not have the right, without prior agreement between the parties involved, to exclusive use of the Researcher's services or those of his organization, whether in whole or in part. In carrying out work for different Clients, however, the Researcher must endeavour to avoid possible clashes of interest between the services provided to those Clients.

20. The following Records remain the property of the Client and must not be disclosed by the Researcher to any third party without the Client's permission:
a) marketing research briefs, specifications and other information provided by the Client
b) the research data and findings from a marketing research project (except in the case of syndicated or multi-client projects or services where the same data are available to more than one Client).

The Client has however no right to know the names or addresses of Respondents unless the latter's explicit permission for this has first been obtained by the Researcher (this particular requirement cannot be altered under Rule 16).

21. Unless it is specifically agreed to the contrary, the following Records remain the property of the Researcher:
a) marketing research proposals and cost quotations (unless these have been paid for by the Client). They must not be disclosed by the Client to any third party, other than to a consultant working for the Client on that project (with the exception of any consultant working also for a competitor of the Researcher). In particular, they must not be used by the Client to influence research proposals or cost quotations from other Researchers.
b) the contents of a report in the case of syndicated and/or multi-client projects or services where the same data are available to more than one Client and where it is clearly understood that the resulting reports are available for general purchase or subscription. The Client may not disclose the findings of such research to any third party (other than to his own consultants and advisors for use in connection with his business) without the permission of the Researcher.
c) all other research Records prepared by the Researcher (with the exception in the case of non-syndicated projects of the report to the Client, and also the research design and questionnaire where the costs of developing these are covered by the charges paid by the Client).

22. The Researcher must conform to currently agreed professional practice relating to the keeping of such Records for an appropriate period of time after the end of the project. On request the Researcher must supply the Client with duplicate copies of such Records provided that such duplicates do not breach anonymity and confidentiality requirements (Rule 4); that the request is made within the agreed time limit for keeping the Records; and that the Client pays the reasonable costs of providing the duplicates.

23. The Researcher must not disclose the identity of the Client (provided there is no legal obligation to do so), or any confidential information about the latter's business, to any third party without the Client's permission.

24. The Researcher must on request allow the Client to arrange for checks on the quality of fieldwork and data preparation provided that the Client pays any additional costs involved in this. Any such checks must conform to the requirements of Rule 4.

25. The Researcher must provide the Client with all appropriate technical details of any research project carried out for that Client.

26. When reporting on the results of a marketing research project the Researcher must make a clear distinction between the findings as such, the Researcher's interpretation of these and any recommendations based on them.

27. Where any of the findings of a research project are published by the Client the latter has a responsibility to ensure that these are not misleading. The Researcher must be consulted and agree in advance the form and content of publication, and must take action to correct any misleading statements about the research and its findings.

28. Researchers must not allow their names to be used in connection with any research project as an assurance that the latter has been carried out in conformity with this Code unless they are confident that the project has in all respects met the Code's requirements.

29. Researchers must ensure that Clients are aware of the existence of this Code and of the need to comply with its requirements.

E. Implementation of the Code
Queries about the interpretation of this Code, and about its application to specific problems, should be addressed to the international Secretariats of the ICC or ESOMAR.
Any apparent infringement, if it applies solely to activities within a single country, should in the first place be reported immediately to the appropriate national body (or bodies) in that country. A list of such bodies which have adopted this Code will be found in the Appendix. That national body will then investigate and take any appropriate action, notifying the ICC/ESOMAR of the outcome in the case of proven infringement.
Apparent infringements should be reported directly to the Secretariats of the ICC or ESOMAR in cases where:
a) there is no appropriate national body,
b) the national body is unable to take action or prefers the issue to be dealt with by the international body,
c) more than one country is involved, as with international projects.
One or both of these international bodies, as appropriate, will then investigate the complaint and take such further action as may be called for. This action can include suspension or withdrawal of membership of the relevant professional or trade associations, and in the case of an organization its exclusion from the published Directory of such organizations.


How the ICC/ESOMAR International Code should be applied

These Notes are intended to help users of the Code to interpret and apply it in practice. Any query or problem about how to apply the Code in a specific situation should be addressed to the Secretariats of ESOMAR or the ICC.

The German-language version of this Code is prefaced by a Declaration prepared by the ADM and BVM (the German national market research associations). This sets out certain additional requirements which must be followed in order to conform with German legislation when carrying out research in that country. Copies of this Declaration are available on request from the ESOMAR Secretariat, in the following languages: English, French, German and Spanish.

The ICC itself has published certain Codes of Practice which cover other aspects of marketing. In particular, the ICC's Code on Direct Marketing deals with the different rules which apply to that field of marketing activity.

The Notes, and the Guidelines referred to in them, will be reviewed and reissued from time to time. These revised versions will be circulated in draft to appropriate bodies for comment (and in the case of the ICC official approval, except in the case of purely technical papers before they are officially published as joint documents). The Notes and Guidelines will continue to be updated when it is necessary to take account of changing circumstances or important new issues.

Section B
All Respondents are entitled to be sure that when they agree to cooperate in any marketing research project they are fully protected by the provisions of this Code and that the Researcher will conform to its requirements. This applies equally to Respondents interviewed as private individuals and to those interviewed as representatives of organizations of different kinds.

Rule 3
Researchers and those working on their behalf (e.g. interviewers) must not, in order to secure Respondents' cooperation, make statements or promises which are knowingly misleading or incorrect - for example, about the likely length of the interview or about the possibilities of being reinterviewed on a later occasion. Any such statements and assurances given to Respondents must be fully honoured.

Respondents are entitled to withdraw from an interview at any stage and to refuse to cooperate further in the research project. Any or all of the information collected from or about them must be destroyed without delay if Respondents so request.

Rule 4
All indications of the identity of Respondents should be physically separated from the records of the information they have provided as soon as possible after the completion of any necessary fieldwork quality checks. The Researcher must ensure that any information which might identify Respondents is stored securely, and separately from the other information they have provided; and that access to such material is restricted to authorized research personnel within the Researcher's own organization for specific research purposes (e.g. field administration, data processing, panel or 'longitudinal' studies or other forms of research involving recall interviews).

To preserve Respondents' anonymity not only their names and addresses but also any other information provided by or about them which could in practice identify them (e.g. their Company and job title) must be safeguarded.
These anonymity requirements may be relaxed only under the following safeguards:
a) where the Respondent has given explicit permission for this under the conditions of 'informed consent' summarized in Rule 4 (a) and (b).
b) where disclosure of names to a third party (e.g. a subcontractor) is essential for any research purpose such as data processing or further interview (e.g. an independent fieldwork quality check) or for further follow-up research. The original Researcher is responsible for ensuring that any such third party agrees to observe the requirements of this Code - in writing, if the third party has not already formally subscribed to the Code.

It must be noted that even these limited relaxations may not be permissible in certain countries.

The definition of 'non-research activity', referred to in Rule 4(b), is dealt with in connection with Rule 15.

The particular issues which arise in the case of customer satisfaction surveys and 'Mystery Shopping' will be addressed in ESOMAR Guidelines on these subjects. These are currently under discussion.

Rule 5
The Researcher must explicitly agree with the Client arrangements regarding the responsibilities for product safety and for dealing with any complaints or damage arising from faulty products or product misuse. Such responsibilities will normally rest with the Client, but the Researcher must ensure that products are correctly stored and handled while in the Researcher's charge and that Respondents are given appropriate instructions for their use.

More generally, Researchers should avoid interviewing at inappropriate or inconvenient times. They should also avoid the use of unnecessarily long interviews; and the asking of personal questions which may worry or annoy Respondents, unless the information is essential to the purposes of the study and the reasons for needing it are explained to the Respondent.

Rule 6
This issue is addressed in detail in the ESOMAR Guideline on 'Interviewing Children'. The definitions of children' and 'young people' may vary by country but if not otherwise specified locally should be taken as 'under 14 years' and '14-17 years'.

Rule 7
The Respondent should be told at the beginning of the interview that recording techniques are to be used unless this knowledge might bias the Respondent's subsequent behaviour: in such cases the Respondent must be told about the recording at the end of the interview and be given the opportunity to see or hear the relevant section of the record and, if they so wish, to have this destroyed.

A 'public place' is defined as one to which the public has free access and where an individual could reasonably expect to be observed and/or overheard by other people present, for example in a shop or in the street.

The more general issues which arise with the use of tape and video-recording of interviews are dealt with in the ESOMAR Guideline on this subject.

Rule 8
The name and address/telephone number of the Researcher must normally be made available to the Respondent at the time of interview. In cases where an accommodation address or 'cover name' are used for data collection purposes arrangements must be made to enable Respondents subsequently to find without difficulty or avoidable expense the name and address of the Researcher. Wherever possible 'Freephone' or similar facilities should be provided so that Respondents can check the Researcher's bona fides without cost to themselves.

Section C
This Code is not intended to restrict the rights of Researchers to undertake any legitimate marketing research activity and to operate competitively in so doing. However, it is essential that in pursuing these objectives the general public's confidence in the integrity of marketing research is not undermined in any way. This Section sets out the responsibilities which the Researcher has towards the public at large and towards the marketing research profession and other members of this.

Rule 14
The kinds of technical information which should on request be made available include those listed in the Notes to Rule 25. The Researcher must not however disclose information which is confidential to the Client's business, nor need he disclose information relating to parts of the survey which were not published.

Rule 15
The kinds of 'non-research activity' which must not be associated in any way with the carrying out of marketing research include:
enquiries whose objectives are to obtain personal information about private individuals per se, whether for legal, political, supervisory (e.g. job performance), private or other purposes
the acquisition of information for use for credit-rating or similar purposes
the compilation, updating or enhancement of lists, registers or databases which are not exclusively for research purposes (e.g. which will be used for direct marketing)
industrial, commercial or any other form of espionage
sales or promotional approaches to individual Respondents
the collection of debts
fund-raising
direct or indirect attempts, including by the design of the questionnaire, to influence a Respondent's opinions, attitudes or behaviour on any issue.

Certain of these activities - in particular the collection of information for databases for subsequent use in direct marketing and similar operations - are legitimate marketing activities in their own right. Researchers (especially those working within a client company) may often be involved with such activities, either directly or indirectly. In such cases it is essential that a clear distinction is made between these activities and marketing research since by definition marketing research anonymity rules cannot be applied to them.

Situations may arise where a Researcher wishes, quite legitimately, to become involved with marketing database work for direct marketing (as distinct from marketing research) purposes: such work must not be carried out under the name of marketing research or of a marketing research organization as such. The ESOMAR Guideline on the subject of the differences between telephone research and telemarketing is being revised to deal with these issues.

Section D
This Code is not intended to regulate the details of business relationships between Researchers and Clients except insofar as these may involve principles of general interest and concern. Most such matters should be regulated by the individual business Contracts. It is clearly vital that such Contracts are based on an adequate understanding and consideration of the issues involved: the ESOMAR Guidelines on 'Selecting a Marketing Research Agency' and on 'Reaching Agreement on a Marketing Research Project' address these issues.

Rule 18
Although it is usually known in advance what subcontractors will be used, occasions do arise during the course of a project where subcontractors need to be brought in, or changed, at very short notice. In such cases, rather than cause delays to the project in order to inform the Client it will usually be sensible and acceptable to let the Client know as quickly as possible after the decision has been taken.

Rule 22
The period of time for which research Records should be kept by the Researcher will vary with the nature of the project (e.g. ad hoc, panel, repetitive) and the possible requirements for follow-up research or further analysis. It will normally be longer for the stored research data resulting from a survey (tabulations, discs, tapes etc.) than for primary field records (the original completed questionnaires and similar basic records). The period must be disclosed to, and agreed by, the Client in advance.
In default of any agreement to the contrary, in the case of ad hoc surveys the normal period for which the primary field records should be retained is one year after completion of the fieldwork while the research data should be stored for possible further analysis for at least two years. The Researcher should take suitable precautions to guard against any accidental loss of the information, whether stored physically or electronically, during the agreed storage period.

Rule 24
On request the client, or his mutually acceptable representative, may observe a limited number of interviews for this purpose. In certain cases, such as panels or in situations where a Respondent might be known to (or be in subsequent contact with) the Client, this may require the previous agreement of the Respondent. Any such observer must agree to be bound by the provisions of this Code, especially Rule 4.

The Researcher is entitled to be recompensed for any delays and increased fieldwork costs which may result from such a request. The Client must be informed if the observation of interviews may mean that the results of such interviews will need to be excluded from the overall survey analysis because they are no longer methodologically comparable.

In the case of multiclient studies the Researcher may require that any such observer is independent of any of the Clients.

Where an independent check on the quality of fieldwork is to be carried out by a different research agency the latter must conform in all respects to the requirements of this Code. In particular, the anonymity of the original Respondents must be fully safeguarded and their names and addresses used exclusively for the purposes of backchecks, not being disclosed to the Client. Similar considerations apply where the Client wishes to carry out checks on the quality of data preparation work.

Rule 25
The Client is entitled to the following information about any marketing research project to which he has subscribed:
1) Background
for whom the study was conducted
the purpose of the study
names of subcontractors and consultants performing any substantial part of the work

2) Sample
a description of the intended and actual universe covered
the size, nature and geographical distribution of the sample (both planned and achieved); and where relevant, the extent to which any of the data collected were obtained from only part of the sample
details of the sampling method and any weighting methods used
where technically relevant, a statement of response rates and a discussion of any possible bias due to non-response

3) Data collection
a description of the method by which the information was collected
a description of the field staff, briefing and field quality control methods used
the method of recruiting Respondents; and the general nature of any incentives offered to secure their cooperation
when the fieldwork was carried out
(in the case of 'desk research') a clear statement of the sources of the information and their likely reliability

4) Presentation of results
the relevant factual findings obtained
bases of percentages (both weighted and unweighted)
general indications of the probable statistical margins of error to be attached to the main findings, and of the levels of statistical significance of differences between key figures
the questionnaire and other relevant documents and materials used (or, in the case of a shared project, that portion relating to the matter reported on).
The Report on a project should normally cover the above points or provide a reference to a readily available separate document which contains the information.

Rule 27
If the Client does not consult and agree in advance the form of publication with the Researcher the latter is entitled to:
a) refuse permission for his name to be used in connection with the published findings and
b) publish the appropriate technical details of the project (as listed in the Notes to Rule 25).

Rule 29
It is recommended that Researchers specify in their research proposals that they follow the requirements of this ICC/ESOMAR International Code and that they make a copy available to the Client if the latter does not already have one.