Principle 5 3

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4.1 Principle 1 — Accountability

The Five Principles. The Five Principles form the foundation of how we do business today and every day. With 130,000+ Mars Associates working in 80 countries across the globe, clear direction and a moral compass are essential. The long-term future of our business and the planet depends on us to stand for more and take bold action. Ocean life ranges in size from the smallest living things, microbes, to the largest animal that has lived on Earth, blue whales. Most of the organisms and biomass in the ocean are microbes, which are the basis of all ocean food webs. Module 5-3: Principles for Learning to Use Principles, Module 5: Principle Using. 5 Recommendations 3.1 Parties should not accept, support or endorse partnerships and non-binding or non-enforceable agreements as well as any voluntary arrangement with the tobacco industry or any entity or person working to further its interests. 3.2 Parties should not accept, support or endorse the tobacco industry organizing.

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.

4.1.1

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).

4.1.2

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.

4.1.3

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.

4.1.4

Tenorshare ultdata portable. Organizations shall implement policies and practices to give effect to the principles, including

  • (a) implementing procedures to protect personal information;

  • (b) establishing procedures to receive and respond to complaints and inquiries;

  • (c) training staff and communicating to staff information about the organization's policies and practices; and

  • (d) developing information to explain the organization's policies and procedures.

4.2 Principle 2 — Identifying Purposes

The purposes for which personal information is collected shall be identified by the organization at or before the time the information is collected.

4.2.1

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).

4.2.2

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.

4.2.3

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.

4.2.4

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).

4.2.5

Persons collecting personal information should be able to explain to individuals the purposes for which the information is being collected.

4.2.6

This principle is linked closely to the Limiting Collection principle (Clause 4.4) and the Limiting Use, Disclosure, and Retention principle (Clause 4.5).

4.3 Principle 3 - Consent

The knowledge and consent of the individual are required for the collection, use, or disclosure of personal information, except where inappropriate.

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.

4.3.1

Calendarmenu 3 0 – convenient menu bar calendar. 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).

4.3.2

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.

4.3.3

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.

4.3.4

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.

4.3.5

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.

4.3.6

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).

4.3.7

Individuals can give consent in many ways. For example:

  • (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;

  • (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;

  • (c) consent may be given orally when information is collected over the telephone; or

  • (d) consent may be given at the time that individuals use a product or service.

4.3.8

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.

4.4 Principle 4 — Limiting Collection

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.

4.4.1

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).

4.4.2

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

This principle is linked closely to the Identifying Purposes principle (Clause 4.2) and the Consent principle (Clause 4.3).

4.5 Principle 5 —Limiting Use, Disclosure, and Retention

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.

4.5.1

Organizations using personal information for a new purpose shall document this purpose (see Clause 4.2.1).

4.5.2

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.

4.5.3

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.

4.5.4

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4.4.3

This principle is linked closely to the Identifying Purposes principle (Clause 4.2) and the Consent principle (Clause 4.3).

4.5 Principle 5 —Limiting Use, Disclosure, and Retention

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.

4.5.1

Organizations using personal information for a new purpose shall document this purpose (see Clause 4.2.1).

4.5.2

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.

4.5.3

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.

4.5.4

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).

4.6 Principle 6 — Accuracy

Personal information shall be as accurate, complete, and up-to-date as is necessary for the purposes for which it is to be used.

4.6.1

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.

4.6.2

An organization shall not routinely update personal information, unless such a process is necessary to fulfil the purposes for which the information was collected.

4.6.3

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.

4.7 Principle 7 — Safeguards

Personal information shall be protected by security safeguards appropriate to the sensitivity of the information.

4.7.1

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.

4.7.2

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.

4.7.3

The methods of protection should include

  • (a) physical measures, for example, locked filing cabinets and restricted access to offices;

  • (b) organizational measures, for example, security clearances and limiting access on a 'need-to-know' basis; and

  • (c) technological measures, for example, the use of passwords and encryption.

4.7.4

Organizations shall make their employees aware of the importance of maintaining the confidentiality of personal information.

4.7.5

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).

4.8 Principle 8 — Openness

An organization shall make readily available to individuals specific information about its policies and practices relating to the management of personal information.

4.8.1

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.

4.8.2

The information made available shall include

  • (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;

  • (b) the means of gaining access to personal information held by the organization;

  • (c) a description of the type of personal information held by the organization, including a general account of its use;

  • (d) a copy of any brochures or other information that explain the organization's policies, standards, or codes; and

  • (e) what personal information is made available to related organizations (e.g., subsidiaries).

4.8.3

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.

4.9 Principle 9 — Individual Access

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.

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.

4.9.1

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.

4.9.2

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.

4.9.3

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.

4.9.4

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.

4.9.5

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.

4.9.6

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.

4.10 Principle 10 — Challenging Compliance

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.

4.10.1

The individual accountable for an organization's compliance is discussed in Clause 4.1.1.

4.10.2

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.

4.10.3

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.

4.10.4

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.

Principlesfor learning to use principles

Process Principles

How is a process principle learned? As with concepts and procedures,the statement of the principle could certainly be memorized. It is alsopossible to memorize one particular demonstration of the principle. DaveMerrill refers to these as 'remember-a-generality' and 'remember-an-instance',respectively. But what we really want is for the students to be able toapply the principle in new (previously unencountered) situations.This makes it skill application, or what Merrill calls 'use-a-generality'. Raw converter 2 5 – converter raw to other formats.

But how are process principles applied? Let's look at a case in point.The life cycle of a flowering plant is a process principle. A seed growsinto a seedling, which in turn grows to become a mature plant, which thendevelops flowers, which produce seeds, which grow into seedlings, and thecycle continues. It is a process principle rather than a causal one becauseit is a sequence of changes in which one change does not cause the next,it just naturally precedes it.

So how can this principle be applied? Application entails generalizingthe sequence of events to new cases. So we can look at a 'new' plant anddescribe what phase or change is going to occur next (e.g., the flowerwill form seeds), or we can look at it and describe what phase or changeoccurred immediately prior to now, or we can look at all of the variousphases or changes which occurred and arrange them in the proper sequence.Statements which are often used include 'arrange the events in proper order','predict what will happen next', and 'infer what happened just prior tonow'. But all of these are essentially the same in that they entail describinga sequence of events as they apply in a new (previously unencountered)situation.

As with concept classification, there is some evidence that there aretwo phases to learning a principle at the application level. Similarto the notion of prototype formation, the learner needs to comprehend theprinciple. We refer to this as the acquisition phase. Then the learnerneeds to learn to generalize it to new situations, which is called theapplication phase. When generalization is involved, we know thatthere have to be variable characteristics across which we generalize. Whatare those likely to be for process principles? What would they be for thelife cycle of a flowering plant? Is there such a thing as 'equivalenceclasses' for principles? Think about these issues, and discuss them witha colleague.

As with concepts and procedures, not all principles require a lot ofgeneralization. Remember the 'one-dollar bill' phenomenon for conceptsand the 'recipe' phenomenon for procedures. Some principles have very littlevariation among their instances. For example, the phases of the moon comprisea process principle. Each week brings a new phase, yet each month's phasesvary little from the previous month's phases. As with concepts and procedures,such principles are virtually remember-level tasks: if you've learned oneinstance, you've learned them all. Again, there is a continuum rangingfrom such principles on one extreme to very highly divergent principleson the other extreme. This has important implications for your instruction.

Causal Principles

How is a causal principle learned? Like a process principle, it canbe learned at the 'remember-a-generality' level or the 'remember-an-instance'level, and either of those can be rote (memorization) or meaningful (understanding).But what we really want is for the students to be able to 'use the generality'óapplythe principle in new (previously unencountered) situations.

So how are causal principles applied? We saw that process principlesare applied by describing the sequence of events in a new situation. Butcausal principles are much more complex. There are three very differentforms of behavior by which causal principles can be applied. Thesethree behaviors can most easily be understood by looking at the two changeswhich comprise a simple cause-effect principle: the cause and theeffect. For example, in the law of supply and demand, an increasein price (the cause) results in a decrease in demand (the effect).

Prediction. One way to apply a causal principle is when a particularcause is given and the learner must predict what its particulareffect will be. For example, the learner is told that the priceof gasoline will soon increase due to a gasoline tax, and is asked whateffect it is likely to have. 'Implication' is another term which is commonlyused.

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Explanation. Another way a causal principle can be applied occurswhen a particular effect is given, and the learner must explainwhat its particular cause was. For example, the learner is toldthat consumption of sugar in the U.S. decreased considerably in the early1960s and is asked for a possible reason. 'Inference' is another commonterm for this form of application.

Solution. A third way a causal principle can be applied is whena particular desired effect is given, and the person must selectand implement the necessary particular causes to bring it about.It is similar to procedure using, except that the appropriate procedureis unknown and must be invented or derived by the person. For example,the learner is asked to figure out how to decrease the consumption of electricity(to reduce pollution and conserve fossil fuels). 'Problem solving' is thecommon term for this form of application.

These three forms of behavior are in addition to the one for processprinciples:

Description. In a process principle, the kind of behavior thatrepresents application of the principle is to describe what occurs in whatorder in a particular situation. For example, a learner is shown a marigoldin flower and is asked to predict what will happen next to it. Verbs thatare often used include 'arrange the events in proper order', 'predict whichevent will come next', and 'infer what event occurred just prior to now'.But all of these are essentially the same in that they entail describinga sequence of events as they apply in a new (previously unencountered)situation. They are not prediction or explanation in the sense you havewith causal principles.

For each of these four kinds of behavior, we can identify a procedure (or'cognitive processing routine') which is used to apply a particular principlein that way. Hence, there are two distinct things which are learned: theprinciple itself and the procedure for applying it. This is quite similarto concept classification, where prototype formation preceded generalization(algorithm formation).

In essence, then, there are two phases to learning a principleat the application level: acquisition and application. This has importantimplications for how to teach principles on an application level.

Take a moment to think back now. What are the four types of behaviorone could acquire in learning to apply a principle? Try to recall and defineeach without looking back. And what are the two phases to learning a principleat the application level?

The Complex Nature of Principles

There are some interesting features of both process and causal principles,an understanding of which can help us to teach them better. First, theymay be anywhere on a continuum of certainty as to their validity,ranging from hypotheses through propositions, postulates and rules, tolaws. When people talk about 'fundamental concepts', they are often referringto principles, as in the 'fundamental concepts of science'.

Second, principles vary greatly in the consistency with whicha given cause has a given effect. If a principle is highly consistent,it is called 'deterministic', whereas if it only sometimes has that effect,it is called 'probabilistic'.

Principles also exist on a broad range of levels of complexity,which vary depending on whether they are correlational or causal, directionalor nondirectional, and quantitative or qualitative. Another aspect of theircomplexity is their level of generality. Compare:

  1. Light bends when it passes from one medium to another.
  2. When light rays pass into a denser medium, they bend toward the normal.
  3. The greater the difference in optical density between two media, the morethe light rays will bend when they pass from one medium into the other.
  4. The amount that the light rays will bend when they pass from one mediuminto another is determined by: n = ci/cr, where n = the index of refraction,ci = the speed of light in the first medium, and cr = the speed of lightin the second medium.
All of these principles are about the same changes, but some of them aremuch more general, while others are much more detailed.

Another aspect of the complexity of principles is their level of inclusiveness.A principle like 'Prejudice is caused by ignorance and intolerance towardothers' is very inclusive, applying to very many situations; whereas therelated principle, 'People of one race or ethnic group become intoleranttoward another because they feel their way is the only way or the onlyright way', applies in far fewer situations and is therefore much lessinclusive.

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Yet another aspect of the complexity of principles is that there areusually multiple causes for any given effect and multiple effectsof any given cause. For example, an increase in price will cause an increasein the amount supplied as well as a decrease in amount demanded. Thereare often tens of factors that can 'cause' a given event (result), andtens of effects that can result from any given event (cause).

Furthermore, causes and effects usually exist in chains, wherebya cause has a certain effect, which in turn is a cause of another effect,which in turn is a cause of another effect, and so forth.

Take a moment now to think about each of the ways principles can differfrom each other: certainty, consistency, causality, directionality, magnitude,generality, inclusiveness, multiple causality, and chaining. Before youread on, state in your own words what each of these terms means, and thinkof an example of each. You will find it very helpful to understand them!





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