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The Importance of Anonymity and Confidentiality for Conducting Survey

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DOI: 10.15722/jrpe.4.1.202303.1

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ISSN: 2733-7146 © 2022 KODISA & JRPE

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doi: http://dx.doi.org/10.15722/jrpe.4.1.202303.1

The Importance of Anonymity and Confidentiality for Conducting

Survey Research

Eungoo KANG1, Hee-Joong HWANG2

Received: February 28, 2023. Revised: March 31, 2023. Accepted: March 31, 2023.

Abstract
Purpose: Poor anonymity and confidential strategies by a researcher not only develop unprecedented and precedented harm to
participants but also impacts the overall critical appraisal of the research outcomes. Therefore, understanding and applying
anonymity and confidentiality in research is key for credible research. As such, this research expansively presents the importance
of anonymity and confidentiality for research surveys through critical literature reviews of past works. Research design, data and
methodology: This research has selected the literature content approach to obtain proper literature dataset which was proven by
high degree of validity and reliability using only books and peer-reviewed research articles. The current authors have conducted
screening procedure thoroughly to collect better fitted resources. Results: Research findings consistently mentioned the
confidentiality and anonymity principles are preserved and implemented as a means of protecting the privacy of all individuals,
establishing trust and rapport between researchers and study participants, as a way of critically upholding research ethical
standards, and preserving the integrity of research processes. Conclusions: Confidentiality and anonymity are research ethical
principles that help in providing informed consent to participants assuring subjects of the privacy of their personal data. As
provided by research bodies and organizations, every research process has to incorporate the principles to meet credibility.

Keywords : Anonymity and Confidentiality, Survey Research Method, Publication Ethics

JEL Classification Code: C02, C35, O35

1. Introduction12 and asserting important scientific and social aspects. To

achieve and reliably appraise the data collected,
Research processes entail the collection of reliable data participants (research subjects), must be effectively
that can be quantified to help in ascertaining, elaborating, involved in the research process (Zohrabi, 2013). As such,
participants in research projects and studies are relied upon
by scientists and researchers to willingly give information
1 First Author. Full-Time Faculty, Becamex School of Business, on their own opinions and behaviors in regard to a wide
Eastern International University, Binh Duong, Vietnam. Email: variety of subjects under investigation. When the identity
[email protected]
2 Corresponding Author. Professor, Department of International of a participant or subject is not going to be exposed, the
Trade, Korea National Open University, South Korea. Email: participant or subject has a greater possibility of offering
[email protected] genuine responses to questions that are asked. Because of
ⓒ Copyright: The Author(s) this, anonymity and confidentiality serve an important
This is an Open Access article distributed under the terms of the Creative Commons
Attribution Non-Commercial License (http://Creativecommons.org/licenses/by-nc/4.0/)
purpose in research because they contribute to the
which permits unrestricted noncommercial use, distribution, and reproduction in any production of results that are of high quality while also
medium, provided the original work is properly cited.
2 Eungoo KANG, Hee-Joong HWANG / Journal of Research and Publication Ethics 4-1 (2023) 1-7

being objective. 2. Literature Review

Ideally, protecting the privacy of participants would
require adhering to ethical rules such as maintaining The importance, usefulness, and required strategies for
confidentiality and anonymity when collecting, analyzing, anonymity and confidentiality in research have been
and reporting data. The process of eliminating or changing extensively captured in the literature. All these efforts by
any personally identifying information that was submitted authors and researchers have been to create awareness and
by participants and included in the data encompasses the elaborate on the significance of anonymity and
aspect of confidentiality, as elaborated by the previous confidentiality in research processes. Qu and Dumay (2011)
work (Boruch & Cecil, 2016). On the other hand, note that new researchers face a lot of challenges when
anonymity is the practice of data collection without the conducting studies due to low experience relating to
acquisition of any personally identifying information research processes, and especially ethical considerations.
(Vainio, 2013). When carrying out quantitative research, it Further as put forward by Filkins et al. (2016) and Xu et al.
is common practice to ensure that participants' anonymity (2011), researchers' implementation of confidentiality
is maintained, whereas when qualitative research is carried strategies determines research success, as much effort has
out, confidentiality is given the utmost importance. In both to be put into the understanding, awareness, and effective
cases, the researcher will collect information from the implementation of anonymity and confidentiality in
participants while ensuring high levels of privacy. research, in current and future research. As such, more
Importantly, social scientists are less concerned with effective strategies have to be studied, appraised and put
the specifics of individual people's lives and more forward for use in research.
interested in the patterns of behavior and experiences that Similarly, Kaiser (2009) argues that when conducting
people have. These interests make up key variables in qualitative research, one of the most difficult issues is
research topics and only necessary data is collected. protecting the respondent's anonymity while
Therefore, it is reasonable to expect researchers to provide simultaneously providing rich and detailed accounts of
the people who take part in their studies with some level of social life. The literature on such research ethics and
respect, as researchers are typically less interested in methodologies has not fully addressed such difficulties.
characterizing the actions of individuals. Consequently, the Ideally, by carefully considering the audience for one's
credibility and reliability of research outcomes are research and using an informed consent process, qualitative
enhanced. However, when anonymity and confidentiality researchers can avoid confidentiality dilemmas that might
are poorly considered by researchers, bias occurs leading to otherwise lead them to not report rich, detailed data,
reduced credibility of the research outcomes. according to Kaiser (2009), who cites an example from a
It is important to note that misuse of confidential study of breast cancer survivors. In another evaluation,
information by researchers breaches ethical and some legal Sherif (2018) elaborates that the richness of qualitative
standards of research procedures (Christen et al., 2020). data for secondary analysis can only be enhanced when
Therefore, it is of high significance that researchers adhere critical data collection methodologies and strategies have
to all ethical standards relating to anonymity and been used.
confidentiality when conducting studies. Quality research Significantly, when participants in research feel
is assessed on the levels of lack of bias and favoritism protected for their sentiments and opinions as influenced
which can be effectively achieved when anonymity and by effective anonymity and confidentiality strategies, they
confidentiality standards are used in research where tend to effectively contribute to highly enriched data. Most
importantly necessary (Avidan et al., 2019). As participants’ research topics entail sensitive topics, and the study aims
confidential information is kept private and protected, both that reliable information can only be obtained when
the research and participants gain positive outcomes from privacy, anonymity, and confidentiality are assured to
the research process. However, poor anonymity and participants (Tourangeau, 2018). Ideally, research data
confidential strategies by a researcher not only develop collections come with different categorizations in which
unprecedented and precedented harm to participants but participants’ engagements must be considered in the levels
also impacts the overall critical appraisal of the research of the sensitivity of the data collected. However, there is a
outcomes. Therefore, understanding and applying need for future elucidation of effective criteria that help in
anonymity and confidentiality in research is key for data collection with the influence of privacy, confidentiality,
credible research. As such, this paper expansively presents and anonymity. In a similar way, researchers conducted
the importance of anonymity and confidentiality for web-based survey to assess the importance of anonymity
research surveys through critical literature reviews of past and confidentiality concluding that participants understand
works relating to the paper’s topic. the roles of anonymity and confidentiality in research,
requiring researchers to be highly sensitive to the matter.
 Eungoo KANG, Hee-Joong HWANG / Journal of Research and Publication Ethics 4-1 (2023) 1-7 3

Whelan (2007) further suggests that in the future, the team or the person who transcribes the data, keep the data's
research could take into account how participants feel confidentiality safe. For instance, data has to always be
about their anonymity and confidentiality, with the goal of kept separate from identifiable individuals and stored in
determining how purposeful and unintentional differences codes. Further, researchers should ensure that the records
affect the findings. Kokolakis (2017) elaborates on the and data are kept confidential by refraining from
phenomenon of privacy paradox that encompasses discussing the concerns that arose from an individual
participants' attitudes and behaviors toward the awareness, interview with other people in a manner that could lead to
understanding, and perception of privacy in research. As the identification of an individual. Technological
such, these aspects influence research outcomes in the way enhancements can improve confidentiality and anonymity
research implements its privacy strategies and approaches. in research. However, it should be considerable to think
Ideally, participants' attitudes and behaviors relating to about what the concept of confidentiality implies for social
privacy concerns are important in research outputs. research in the current century. This is especially true
Therefore, as suggested by Kokolakis (2017), in future considering the rapidly advancing technologies and
studies, rather than relying on self-reports of behavior, innovative approaches to social research and the
researchers should collect evidence of the actual behavior dissemination of its findings, such as the utilization of
of participants and implement the right confidentiality visual and online methodologies. Ideally, as put forward by
approaches for the most reliable data outputs. the prior studies (Wiles et al., 2008; Guillemin & Gillam,
Gibson and Brand (2013) point out that research 2004), with today's culture of increasing individualization,
studies on the topic of suicide are one of the critical in which people want their story to be shared and have the
examples of studies that require high-end anonymity and power to make this happen, the concept of secrecy may not
confidentiality approaches. Even though it is widely be one that is appropriate or desirable in certain types of
acknowledged that there is a need for additional qualitative social research, and this is something that needs to be
research on suicide, it is also abundantly obvious that the considered and heavily researched.
ethical considerations involved in carrying out such Anonymity and confidentiality provide some levels of
research need to be addressed. Research on suicide can be social and individual rights when undertaking surveys.
shaped and limited in various ways depending on the Lancaster (2017) highlights the need for confidentiality
constraints that are placed on confidentiality and when power relations between researchers and participants
anonymity throughout the ethics review process. As a play a critical function in the process and outcomes of
result, suggestions are required about ways in which research. There are complex domains of research in which
anonymity and confidentiality constraints and methods confidentiality and anonymity are highly important
relevant to suicide research can be enhanced (Gibson & requiring researchers to exercise high levels of research
Brand, 2013). As such, more credible information can be ethics. Lancaster (2017) examined the processes of
collected with anonymity and confidentiality playing Australian drug policy development through research
significant roles. Elaborately, as explained by the study surveys to elucidate the intertwining of power and research
(Hassan, Rehmani & Chen, 2019), privacy has been a key ethics. Ideally, administrations seek specific data that
element of most internet developments with the aim of participants are not always willing to divulge. Therefore,
protecting users' identities and confidential information. effective implementation of anonymity and confidentiality
Like research studies, privacy is key for the maximum can be a significant driving force in such situations.
engagement of participants and their willingness to Therefore, there is a need for elaborately developing
effectively partake in the processes. However, Hassan, confidentiality strategies when engaging the processes of
Rehmani and Chen (2019) suggest that there is an such surveys. Profoundly, Ali and Kelly (2004) note that
important need for effective future integration of privacy, social research can only achieve the highest levels of
confidentiality, and anonymity in the establishment of reliable information when participants, for instance,
surveys, whether in-person or online. consumers during market research, feel empowered in
Notably, there are occasions and exceptions where what they are going to say. Significantly, as informed
anonymity and confidentiality can be sidelined in research. consent forms one of the basics of ethical research
However, scientific research communities insist on processes, the importance of informed consent in research,
adherence to every ethical standard relating to anonymity insisting researchers have to be keenly implementing
and confidentiality. Sidelining the ethics in exceptional proper approaches for the same. However, the author
cases also requires following a set of ethics. Therefore, proposes that researchers need to consider whether their
researchers, guided by the importance of anonymity and ability to fulfill their mandate of affording respondents’
confidentiality in research, should always ensure that those dignity, respect, autonomy, and beneficence is hindered by
who have access to the research data, such as the research the unadulterated application of the concept of anonymity.
4 Eungoo KANG, Hee-Joong HWANG / Journal of Research and Publication Ethics 4-1 (2023) 1-7

If it is, then they need to evaluate why this is the case and more useful to researchers than participants at that time
develop sophisticated approaches. (Alase, 2017). Researchers should respect the privacy
rights of participants which in turn impacts positively on
the outputs of their research.
3. Results Hence, research should never come before a person's
basic right to privacy, which is almost never the case. So,
The primary reason for upholding confidentiality and those who plan, approve, and carry out research must
anonymity ethical guidelines during research is so that figure out how to do it in a way that protects the privacy of
study participants can be shielded from any potential harm. the people who take part. Profoundly, any violations of
Respondents whose identities are revealed alongside confidentiality are an infringement of a person's rights and
reports of their individual characterization cause potential put the research participant at risk of harm to their dignity,
harm to those respondents who possessed stigmatizing such as social embarrassment and shame, and even worse,
traits or behaviors (Surmiak, 2018). If the identities of economic predicaments. Such aspects occur when
vulnerable populations are exposed, such as children, the participants provide sensitive information about themselves
less privileged, or subordinates in the workplace, this could leading to social embarrassment when confidentiality is
result in adverse effects on these groups. Therefore, there is violated, and when participants provide data about their
an adamant need for researchers to uphold confidentiality workplaces or organization and privacy is not protected,
and anonymity principles during research processes. leading to problems with their managers.
The Belmont Report places a strong focus on
beneficence, which instructs researchers not to cause any 3.2. Establishing Trust and Rapport Between
harm to the people who participate in their studies, Researchers and Study Participants
therefore this priority should always align with researchers’
priorities, as explained by Bromley et al. (2015). The When participants in research studies are assured
Importantly, the confidentiality and anonymity principles of their anonymity and confidentiality, there is a significant
are preserved and implemented as a means of protecting establishment of trust and rapport between the researcher
the privacy of all individuals, establishing trust and rapport and the participants, as explained and elaborated by
between researchers and study participants, as a way of Bolderstone (2012), Joinson et al. (2010) and Karnieli et al.
critically upholding research ethical standards, and (2009). Positive relationships between researchers and
preserving the integrity of research processes. Further, the subjects are key to the successful outcomes of a research
principles also foster autonomy and provide participants process necessitating researchers to always strive to
with control and more freedom during research studies. establish trust and rapport at the early stages of research
processes. Importantly, as influenced by anonymity and
3.1. Protecting the Privacy of Participants in confidentiality principles, openness, and transparency of a
Research researcher to participants build trust and rapport which is
essential for effective data collection. It is important to note
Market Before engaging in any research study or that the transferability and credibility of research data are
survey, participants always need the affirmation of determined by the trustworthiness involved in the research
protection of their personal information that could process (Curtin & Fossey, 2007). Significantly, the
potentially cause harm to them. Ideally, researchers go out simplest way of establishing credible trustworthiness
quantifying sensitive research topics in which participants between the researcher and the subjects is by assuring them
who contribute to the data collection require privacy of their privacy rights through effective confidentiality and
protection. As such, it is upon the researcher to uphold anonymity strategies.
every necessary confidentiality and anonymity principle to Establishing and maintaining trust and rapport is one of
protect the privacy of the subject (Novak, 2014; Cohen et the most important foundations for effective
al., 2017). communication. Ideally, after a successful rapport has been
During research processes, no participants should have established, there will be an increase in trust, as well as
to worry about getting hurt because their private mutual respect, and communication will become more
information got out because they took part in the research. efficient (Guillemin & Gillam, 2004). This aspect is what
Participating in research is always voluntary, and everyone most researchers should always seek in the early processes
who takes part has to be assured of their safety influenced of studies. Both the researcher and the volunteer will have
by privacy (Brandimarte et al., 2013). Importantly, it is the a deeper grasp of and trust in their relationships with each
researcher's role and responsibility to keep research other. When two individuals have trust in one another and
subjects’ information private, since the research outputs are an understanding of one another, their communication will
 Eungoo KANG, Hee-Joong HWANG / Journal of Research and Publication Ethics 4-1 (2023) 1-7 5

become more open and in-depth, which will result in the subjects become free and take control in the process. This
production of data that is rich in meaning and credibility. autonomy is significantly important in the data collection
Therefore, the outcome will most certainly be to the process as participants feel free to divulge any required
advantage of the research study. information (Giordano et al., 2007). As participants engage
in their own ways, ideas, and interests while following the
3.3. Upholding Research Ethical Standards research processes as laid out by the research, more in-
Giving the Research Process Integrity depth information is collected.
Notably, without elaborate confidentiality and
One of the most important functions of adhering to anonymity strategies by researchers, participants' level of
confidentiality and anonymity principles in research is to engagement in a study is lowered. Ideally, when one feels
maintain research integrity. Credible research is only their privacy is in jeopardy while being asked to provide
approved when the research had adhered to confidentiality sensitive information, they might be unwilling to
and anonymity principles and guidelines (Hammersley & participate or provide limited data. However, when
Traianou, 2012). Research credibility, through in-depth participants' autonomy is enhanced through choice, as
information provided by participants, is achieved when all explained by Halperin et al. (2018), more engagement in
ethical codes have been adhered to. More specifically, as the study is achieved. Therefore, the implementation of
confidentiality and anonymity are one of the most proper confidentiality and anonymity approaches provides
important ethical codes, strict adherence to the principles the importance of in-depth data collection by enhancing
ensures credible and authentic research, as further participants' autonomy, control in the study, and freedom of
explained by Alase (2017). When confidentiality and expression. It is also important to note that during the
anonymity codes are used in the process of research, its confidentiality and anonymity briefing process in the
transferability is enhanced. This aspect, being one factor of research, participants choose whether or not to participate
credible research, it is adamant that researchers engage through the informed consent ethical code. Therefore, as
these codes in their research processes so that the studies they accept to participate as influenced by good rapport
can attain the highest integrity levels. and trust, they develop more enthusiasm for participation
Confidentiality and anonymity foster trust and respect created by a good confidentiality briefing strategy.
between the researcher and participants which positively
impacts the data collection process in studies. Ideally, if
these research codes are not followed and the study still Protecting the Privacy of Participants
ends up gaining in-depth data, the study can be easily
termed as not credible, and its integrity not approved.
However, starting out a research process with informed
consent briefing, the research process is already on the Establishing Trust and Rapport
right path to being approved as one with integrity.
Significantly, most research studies are critically appraised
by critical reviewers and approved organizations who Upholding Research Ethical Standards
analyze the credibility and trustworthiness of research
studies. Therefore, for a study to pass the integrity test, it
must have incorporated and rationalize all confidentiality
and anonymity principles (Krol et al., 2016). Therefore, as Provide Autonomy, Control
the importance of confidentiality and anonymity principles
in research encompass the significance of providing
privacy security to participants and creating trust, they also Figure 1: Research Findings
enable research studies to attain credibility and integrity.

3.4. Provide Autonomy, Control, And Freedom to

4. Discussions
Participants

Confidentiality and anonymity strategies help in It is of the utmost importance that every researcher has
building good rapport and trust and assure participants of a solid understanding of the ethical rules pertaining to
their privacy and security in participating in research confidentiality and anonymity, and that these features be
studies. Consequently, as participants are assured of their effectively implemented in research operations. In an ideal
privacy and trust and respect have been established, the world, the necessity of integrating the principles not only
6 Eungoo KANG, Hee-Joong HWANG / Journal of Research and Publication Ethics 4-1 (2023) 1-7

extends from the requirement that the studies be credible and academic communities. It's possible that a researcher
and possess high levels of integrity but also has a positive will be barred from carrying out any further research or
impact on the data-gathering outputs of the research studies in the long run. Every ethical concern in research,
(Sutton & Austin, 2015). The researchers need to first earn including anonymity and anonymity, is accepted, approved,
the participants' informed consent before continuing with and enforced by relevant institutional agencies, and the
the research process. Once this step has been completed, relevance of these considerations is replicated in the
the study can only move forward in the proper direction if procedures of research.
there is a level of trust and rapport between the participants There is a possibility of selection bias in relation to the
and the researchers. As a result, the process of doing chosen body of literature that has been given in support of
research ought to be approached with the intention of the research review, which is one of the most significant
utilizing the strategies that have proven to be the most limitations of this review. Blinding bias is always present
successful in terms of maintaining confidentiality and when selective outcome reporting occurs in research
anonymity. processes, which makes it difficult to get an accurate view
Most significantly, maintaining participants' privacy of the research issue. Ideally, the criteria for selecting
and safety while doing research requires maintaining their specific pieces of literature that are relevant to the research
anonymity as well as confidentiality. Ideally, it is ethical to topic would require several ways that proceed step by step.
always keep the personal information of the participants In addition, because the significance of privacy and
safe and secure. This can only be disclosed or kept open anonymity has been extensively investigated in the study,
under certain circumstances, all of which must adhere to there is a pressing need for more elaboration on the
predetermined ethical criteria to be permitted. According to specific ways in which these concepts influence the
the suggestions of the prior research (Petrova et al., 2016), findings of the research using a variety of quantitative
the protection of personal information of each and every scales. It is necessary to conduct additional studies in order
subject should be of the utmost concern at all times. If the to have a better understanding of the significance of
participants' input into the study problem can be maintaining confidentiality and anonymity throughout the
demonstrated to meet certain credibility requirements, study process. As a result of this, particular aspects of
researchers are not concerned with the participant's importance will be discussed together with the weight that
personal particulars. When conducting studies, this they have in regard to the significance of the study.
component needs to be one of the primary goals that In addition, it is necessary for the research to define
researchers strive for. Importantly, research conducted in and classify certain ways and strategies for maintaining
the modern era has largely concentrated on delicate and confidentiality and anonymity in order to successfully
sensitive topics that influence communities on both a social elaborate on the significance of the principles underlying
and an economic level. For quantification and resolution of the research. Because different contexts, research methods,
these situations, in-depth information from specific and types require different approaches to maintaining
participants who have previous experience dealing with confidentiality and anonymity, it is necessary to discuss the
similar matters demanding high-level protection of particularities of maintaining confidentiality and
personal data is required. In this manner, their safety will anonymity in relation to the various settings and contexts
be ensured, as there will be no risk of any damage coming in which research is conducted.
to them, as confidentiality and anonymity are utilized in Confidentiality and anonymity are research ethical
the processes. principles that help in providing informed consent to
The protection of research participants' privacy and participants assuring subjects of the privacy of their
anonymity is of the utmost importance, as it is the only personal data. As provided by research bodies and
way to prevent participants from suffering adverse effects organizations, every research process has to incorporate the
on any front, be they social, economic, or psychological. principles to meet credibility and integrity standards. As
Hence, in the long run, sophisticated procedures will need such, studies that do not incorporate these aspects are
to be employed to collect reliable data. By conducting deemed not only not credible and unethical but also illegal.
critical reviews and appraisals of such research, the levels Significantly, researchers are required to utilize
of credibility and integrity will be high and will be confidentiality and anonymity protocols in their studies
effectively authorized. It is not only immoral but also which come with additional benefits to the studies in
unlawful to conduct research without using protocols to addition to being approved as ethical and credible. Ideally,
ensure the confidentiality and anonymity of participants confidentiality and anonymity positively impact in-depth
(Dennis et al., 2019; Vandekerckhove & Lewis, 2012). research data collection as they enhance the establishment
Researchers who do not follow the appropriate ethical of trust and rapport between participants and researchers.
norms risk facing disciplinary actions from both the legal When this aspect is developed, participants tend to engage
 Eungoo KANG, Hee-Joong HWANG / Journal of Research and Publication Ethics 4-1 (2023) 1-7 7

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