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4.1 Principle 1 - Accountability
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An organization is responsible for personal information under
its control and shall designate an individual or individuals who
are accountable for the organization's compliance with the
following principles.
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4.1.1
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Accountability for the organization's compliance with the
principles rests with the designated individual(s), even though
other individuals within the organization may be responsible for
the day-to-day collection and processing of personal
information. In addition, other individuals within the
organization may be delegated to act on behalf of the designated
individual(s).
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4.1.2
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The identity of the individual(s) designated by the
organization to oversee the organization's compliance with the
principles shall be made known upon request.
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4.1.3
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An organization is responsible for personal information in its
possession or custody, including information that has been
transferred to a third party for processing. The organization shall
use contractual or other means to provide a comparable level of
protection while the information is being processed by a third
party.
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4.1.4
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Organizations shall implement policies and practices to give
effect to the principles, including
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(a) implementing procedures to protect personal information;
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(b) establishing procedures to receive and respond to
complaints and inquiries;
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(c) training staff and communicating to staff information
about the organization's policies and practices; and
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(d) developing information to explain the organization's
policies and procedures.
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4.2 Principle 2 - Identifying Purposes
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The purposes for which personal information is collected shall
be identified by the organization at or before the time the
information is collected.
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4.2.1
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The organization shall document the purposes for which
personal information is collected in order to comply with the
Openness principle (Clause 4.8) and the Individual Access
principle (Clause 4.9).
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4.2.2
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Identifying the purposes for which personal information is
collected at or before the time of collection allows organizations
to determine the information they need to collect to fulfil these
purposes. The Limiting Collection principle (Clause 4.4)
requires an organization to collect only that information
necessary for the purposes that have been identified.
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4.2.3
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The identified purposes should be specified at or before the
time of collection to the individual from whom the personal
information is collected. Depending upon the way in which the
information is collected, this can be done orally or in writing. An
application form, for example, may give notice of the purposes.
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4.2.4
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When personal information that has been collected is to be
used for a purpose not previously identified, the new purpose
shall be identified prior to use. Unless the new purpose is required
by law, the consent of the individual is required before
information can be used for that purpose. For an elaboration on
consent, please refer to the Consent principle (Clause 4.3).
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4.2.5
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Persons collecting personal information should be able to
explain to individuals the purposes for which the information is
being collected.
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4.2.6
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This principle is linked closely to the Limiting Collection
principle (Clause 4.4) and the Limiting Use, Disclosure, and
Retention principle (Clause 4.5).
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4.3 Principle 3 - Consent
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The knowledge and consent of the individual are required for
the collection, use, or disclosure of personal information, except
where inappropriate.
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Note: In certain circumstances personal information can be
collected, used, or disclosed without the knowledge and consent
of the individual. For example, legal, medical, or security reasons
may make it impossible or impractical to seek consent. When
information is being collected for the detection and prevention of
fraud or for law enforcement, seeking the consent of the
individual might defeat the purpose of collecting the
information. Seeking consent may be impossible or
inappropriate when the individual is a minor, seriously ill, or
mentally incapacitated. In addition, organizations that do not
have a direct relationship with the individual may not always be
able to seek consent. For example, seeking consent may be
impractical for a charity or a direct-marketing firm that wishes to
acquire a mailing list from another organization. In such cases,
the organization providing the list would be expected to obtain
consent before disclosing personal information.
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4.3.1
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Consent is required for the collection of personal information
and the subsequent use or disclosure of this information.
Typically, an organization will seek consent for the use or
disclosure of the information at the time of collection. In certain
circumstances, consent with respect to use or disclosure may be
sought after the information has been collected but before use
(for example, when an organization wants to use information for
a purpose not previously identified).
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4.3.2
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The principle requires ``knowledge and consent''.
Organizations shall make a reasonable effort to ensure that the
individual is advised of the purposes for which the information
will be used. To make the consent meaningful, the purposes must
be stated in such a manner that the individual can reasonably
understand how the information will be used or disclosed.
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4.3.3
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An organization shall not, as a condition of the supply of a
product or service, require an individual to consent to the
collection, use, or disclosure of information beyond that required
to fulfil the explicitly specified, and legitimate purposes.
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4.3.4
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The form of the consent sought by the organization may vary,
depending upon the circumstances and the type of information.
In determining the form of consent to use, organizations shall
take into account the sensitivity of the information. Although
some information (for example, medical records and income
records) is almost always considered to be sensitive, any
information can be sensitive, depending on the context. For
example, the names and addresses of subscribers to a
newsmagazine would generally not be considered sensitive
information. However, the names and addresses of subscribers to
some special-interest magazines might be considered sensitive.
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4.3.5
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In obtaining consent, the reasonable expectations of the
individual are also relevant. For example, an individual buying
a subscription to a magazine should reasonably expect that the
organization, in addition to using the individual's name and
address for mailing and billing purposes, would also contact the
person to solicit the renewal of the subscription. In this case, the
organization can assume that the individual's request constitutes
consent for specific purposes. On the other hand, an individual
would not reasonably expect that personal information given to
a health-care professional would be given to a company selling
health-care products, unless consent were obtained. Consent
shall not be obtained through deception.
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4.3.6
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The way in which an organization seeks consent may vary,
depending on the circumstances and the type of information
collected. An organization should generally seek express consent
when the information is likely to be considered sensitive. Implied
consent would generally be appropriate when the information is
less sensitive. Consent can also be given by an authorized
representative (such as a legal guardian or a person having power
of attorney).
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4.3.7
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Individuals can give consent in many ways. For example:
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(a) an application form may be used to seek consent, collect
information, and inform the individual of the use that will be
made of the information. By completing and signing the form,
the individual is giving consent to the collection and the
specified uses;
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(b) a checkoff box may be used to allow individuals to request
that their names and addresses not be given to other
organizations. Individuals who do not check the box are
assumed to consent to the transfer of this information to third
parties;
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(c) consent may be given orally when information is collected
over the telephone; or
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(d) consent may be given at the time that individuals use a
product or service.
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4.3.8
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An individual may withdraw consent at any time, subject to
legal or contractual restrictions and reasonable notice. The
organization shall inform the individual of the implications of
such withdrawal.
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4.4 Principle 4 - Limiting Collection
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The collection of personal information shall be limited to that
which is necessary for the purposes identified by the
organization. Information shall be collected by fair and lawful
means.
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4.4.1
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Organizations shall not collect personal information
indiscriminately. Both the amount and the type of information
collected shall be limited to that which is necessary to fulfil the
purposes identified. Organizations shall specify the type of
information collected as part of their information-handling
policies and practices, in accordance with the Openness principle
(Clause 4.8).
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4.4.2
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The requirement that personal information be collected by fair
and lawful means is intended to prevent organizations from
collecting information by misleading or deceiving individuals
about the purpose for which information is being collected. This
requirement implies that consent with respect to collection must
not be obtained through deception.
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4.4.3
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This principle is linked closely to the Identifying Purposes
principle (Clause 4.2) and the Consent principle (Clause 4.3).
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4.5 Principle 5 - Limiting Use, Disclosure, and Retention
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Personal information shall not be used or disclosed for
purposes other than those for which it was collected, except with
the consent of the individual or as required by law. Personal
information shall be retained only as long as necessary for the
fulfilment of those purposes.
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4.5.1
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Organizations using personal information for a new purpose
shall document this purpose (see Clause 4.2.1).
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4.5.2
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Organizations should develop guidelines and implement
procedures with respect to the retention of personal information.
These guidelines should include minimum and maximum
retention periods. Personal information that has been used to
make a decision about an individual shall be retained long
enough to allow the individual access to the information after the
decision has been made. An organization may be subject to
legislative requirements with respect to retention periods.
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4.5.3
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Personal information that is no longer required to fulfil the
identified purposes should be destroyed, erased, or made
anonymous. Organizations shall develop guidelines and
implement procedures to govern the destruction of personal
information.
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4.5.4
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This principle is closely linked to the Consent principle
(Clause 4.3), the Identifying Purposes principle (Clause 4.2), and
the Individual Access principle (Clause 4.9).
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4.6 Principle 6 - Accuracy
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Personal information shall be as accurate, complete, and
up-to-date as is necessary for the purposes for which it is to be
used.
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4.6.1
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The extent to which personal information shall be accurate,
complete, and up-to-date will depend upon the use of the
information, taking into account the interests of the individual.
Information shall be sufficiently accurate, complete, and
up-to-date to minimize the possibility that inappropriate
information may be used to make a decision about the individual.
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4.6.2
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An organization shall not routinely update personal
information, unless such a process is necessary to fulfil the
purposes for which the information was collected.
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4.6.3
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Personal information that is used on an ongoing basis,
including information that is disclosed to third parties, should
generally be accurate and up-to-date, unless limits to the
requirement for accuracy are clearly set out.
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4.7 Principle 7 - Safeguards
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Personal information shall be protected by security safeguards
appropriate to the sensitivity of the information.
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4.7.1
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The security safeguards shall protect personal information
against loss or theft, as well as unauthorized access, disclosure,
copying, use, or modification. Organizations shall protect
personal information regardless of the format in which it is held.
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4.7.2
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The nature of the safeguards will vary depending on the
sensitivity of the information that has been collected, the amount,
distribution, and format of the information, and the method of
storage. More sensitive information should be safeguarded by a
higher level of protection. The concept of sensitivity is discussed
in Clause 4.3.4.
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4.7.3
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The methods of protection should include
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(a) physical measures, for example, locked filing cabinets and
restricted access to offices;
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(b) organizational measures, for example, security clearances
and limiting access on a ``need-to-know'' basis; and
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(c) technological measures, for example, the use of passwords
and encryption.
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4.7.4
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Organizations shall make their employees aware of the
importance of maintaining the confidentiality of personal
information.
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4.7.5
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Care shall be used in the disposal or destruction of personal
information, to prevent unauthorized parties from gaining access
to the information (see Clause 4.5.3).
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4.8 Principle 8 - Openness
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An organization shall make readily available to individuals
specific information about its policies and practices relating to
the management of personal information.
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4.8.1
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Organizations shall be open about their policies and practices
with respect to the management of personal information.
Individuals shall be able to acquire information about an
organization's policies and practices without unreasonable
effort. This information shall be made available in a form that is
generally understandable.
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4.8.2
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The information made available shall include
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(a) the name or title, and the address, of the person who is
accountable for the organization's policies and practices and
to whom complaints or inquiries can be forwarded;
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(b) the means of gaining access to personal information held
by the organization;
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(c) a description of the type of personal information held by
the organization, including a general account of its use;
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(d) a copy of any brochures or other information that explain
the organization's policies, standards, or codes; and
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(e) what personal information is made available to related
organizations (e.g., subsidiaries).
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4.8.3
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An organization may make information on its policies and
practices available in a variety of ways. The method chosen
depends on the nature of its business and other considerations.
For example, an organization may choose to make brochures
available in its place of business, mail information to its
customers, provide online access, or establish a toll-free
telephone number.
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4.9 Principle 9 - Individual Access
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Upon request, an individual shall be informed of the
existence, use, and disclosure of his or her personal information
and shall be given access to that information. An individual shall
be able to challenge the accuracy and completeness of the
information and have it amended as appropriate.
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Note: In certain situations, an organization may not be able to
provide access to all the personal information it holds about an
individual. Exceptions to the access requirement should be
limited and specific. The reasons for denying access should be
provided to the individual upon request. Exceptions may include
information that is prohibitively costly to provide, information
that contains references to other individuals, information that
cannot be disclosed for legal, security, or commercial proprietary
reasons, and information that is subject to solicitor-client or
litigation privilege.
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4.9.1
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Upon request, an organization shall inform an individual
whether or not the organization holds personal information about
the individual. Organizations are encouraged to indicate the
source of this information. The organization shall allow the
individual access to this information. However, the organization
may choose to make sensitive medical information available
through a medical practitioner. In addition, the organization shall
provide an account of the use that has been made or is being made
of this information and an account of the third parties to which
it has been disclosed.
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4.9.2
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An individual may be required to provide sufficient
information to permit an organization to provide an account of
the existence, use, and disclosure of personal information. The
information provided shall only be used for this purpose.
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4.9.3
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In providing an account of third parties to which it has
disclosed personal information about an individual, an
organization should attempt to be as specific as possible. When
it is not possible to provide a list of the organizations to which it
has actually disclosed information about an individual, the
organization shall provide a list of organizations to which it may
have disclosed information about the individual.
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4.9.4
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An organization shall respond to an individual's request
within a reasonable time and at minimal or no cost to the
individual. The requested information shall be provided or made
available in a form that is generally understandable. For example,
if the organization uses abbreviations or codes to record
information, an explanation shall be provided.
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4.9.5
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When an individual successfully demonstrates the inaccuracy
or incompleteness of personal information, the organization shall
amend the information as required. Depending upon the nature
of the information challenged, amendment involves the
correction, deletion, or addition of information. Where
appropriate, the amended information shall be transmitted to
third parties having access to the information in question.
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4.9.6
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When a challenge is not resolved to the satisfaction of the
individual, the substance of the unresolved challenge shall be
recorded by the organization. When appropriate, the existence of
the unresolved challenge shall be transmitted to third parties
having access to the information in question.
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4.10 Principle 10 - Challenging Compliance
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An individual shall be able to address a challenge concerning
compliance with the above principles to the designated
individual or individuals accountable for the organization's
compliance.
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4.10.1
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The individual accountable for an organization's compliance
is discussed in Clause 4.1.1.
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4.10.2
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Organizations shall put procedures in place to receive and
respond to complaints or inquiries about their policies and
practices relating to the handling of personal information. The
complaint procedures should be easily accessible and simple to
use.
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4.10.3
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Organizations shall inform individuals who make inquiries or
lodge complaints of the existence of relevant complaint
procedures. A range of these procedures may exist. For example,
some regulatory bodies accept complaints about the
personal-information handling practices of the companies they
regulate.
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4.10.4
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An organization shall investigate all complaints. If a
complaint is found to be justified, the organization shall take
appropriate measures, including, if necessary, amending its
policies and practices.
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