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<TITLE>P3P Guiding Principles</TITLE>
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<BODY BGCOLOR="#FFFFFF" TEXT="#000000" LINK="#0000EE" VLINK="#551A8B" ALINK="#FF0000">
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<H3>
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<A HREF="http://www.w3.org/"><IMG ALT="W3C" BORDER=0 ALIGN=LEFT SRC="../../Icons/w3c_home"></A>NOTE-P3P10-principles-19980721
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</H3>
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</DIV>
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<CENTER>
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<H1>
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P3P Guiding Principles
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</H1>
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</CENTER>
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<CENTER>
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<H3>
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W3C NOTE 21-July-1998
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</H3>
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</CENTER>
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<DL>
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<DT>
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<B>This Version:</B>
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<DD>
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<A HREF="http://www.w3.org/TR/1998/NOTE-P3P10-principles-19980721">http://www.w3.org/TR/1998/NOTE-P3P10-principles-19980721</A>
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<DT>
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<B>Latest Version:</B>
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<DD>
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<A HREF="http://www.w3.org/TR/NOTE-P3P10-principles">http://www.w3.org/TR/NOTE-P3P10-principles</A>
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<DT>
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<B>Previous Version:</B>
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<DD>
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<A HREF="http://www.w3.org/TR/1998/NOTE-P3P10-principles-19980710">http://www.w3.org/TR/1998/NOTE-P3P10-principles-19980710</A>
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<DT>
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<B>Editor:</B>
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<DD>
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<A HREF="http://www.research.att.com/~lorrie/">Lorrie Faith Cranor</A>
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(AT&T Labs-Research)
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<A HREF="mailto:lorrie@research.att.com">lorrie@research.att.com</A>
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<DT>
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<B>Signatories:</B>
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<DD>
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[See <A HREF="#Signatories">below</A>]
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</DL>
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<P>
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<SMALL><A HREF="http://www.w3.org/Consortium/Legal/ipr-notice#Copyright">Copyright</A>
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© 1998 <A HREF="http://www.w3.org">W3C</A>
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(<A HREF="http://www.lcs.mit.edu">MIT</A>,
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<A HREF="http://www.inria.fr/">INRIA</A>,
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<A HREF="http://www.keio.ac.jp/">Keio</A> ), All Rights Reserved. W3C
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<A HREF="http://www.w3.org/Consortium/Legal/ipr-notice#Legal Disclaimer">liability
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,</A>
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<A HREF="http://www.w3.org/Consortium/Legal/ipr-notice#W3C Trademarks">trademark</A>,
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<A HREF="http://www.w3.org/Consortium/Legal/copyright-documents">document
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use </A>and
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<A HREF="http://www.w3.org/Consortium/Legal/copyright-software">software
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licensing </A>rules apply.</SMALL>
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<H2>
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Status of This Document
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</H2>
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<P>
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This document is part of the <A HREF="http://www.w3.org/P3P">Platform for
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Privacy Preferences Project Activity</A>. This document describes the intent
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of P3P development and recommends guidelines regarding the responsible use
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of P3P technology. It is one section of the P3P Implementation Guide. Comments
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to the editor or endorsements are welcome.
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<P>
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<HR>
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<P>
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The Platform for Privacy Preferences Project (P3P) has been designed to be
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flexible and support a diverse set of user preferences, public policies,
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service provider polices, and applications. This flexibility will provide
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opportunities for using P3P in a wide variety of innovative ways that its
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designers had not imagined. The P3P Guiding Principles were created in order
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to: express the intentions of the undersigned members of the P3P working
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groups when designing this technology and suggest how P3P can be used most
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effectively in order to maximize privacy and user confidence and trust on
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the Web. In keeping with our goal of flexibility, this document does not
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place requirements upon any party. Rather, it makes recommendations about
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1) what <I>should</I> be done to be consistent with the intentions of the
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P3P designers and 2) how to maximize user confidence in P3P implementations
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and Web services. We invite organizations, individuals, policy-makers, and
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companies who use P3P to join us in supporting these principles.
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<H2>
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Information Privacy
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</H2>
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<P>
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P3P has been designed to promote privacy and trust on the Web by enabling
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service providers to disclose their information practices, and enabling
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individuals to make informed decisions about the collection and use of their
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personal information. P3P user agents work on behalf of individuals to reach
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agreements with service providers about the collection and use of personal
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information. Trust is built upon the mutual understanding that each party
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will respect the agreement reached.
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<P>
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Service providers should preserve trust and protect privacy by applying relevant
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laws and principles of data protection and privacy to their information
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practices. The following is a list of privacy principles and guidelines that
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helped inform the development of P3P and may be useful to those who use P3P:
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<UL>
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<LI>
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<A HREF="http://www.cdma.org/new/ethics_2.html#Private">CDMA Code of Ethics
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& Standards of Practice: Protection of Personal Privacy</A>
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<LI>
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<A HREF="http://www.privacy.org/pi/intl_orgs/coe/dp_convention_108.txt">1981
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Council of Europe Convention For the Protection of Individuals with Regard
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to Automatic Processing of Personal Data</A>
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<LI>
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<A HREF="http://www.csa.ca/">CSA</A>--Q830-96 Model Code for the Protection
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of Personal Information
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<LI>
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<A HREF="http://europa.eu.int/comm/dg15/en/media/dataprot/dir9546.htm">Directive
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95/46/EC of the European Parliament and of the Council of 24 October 1995
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on the protection of individuals with regard to the processing of personal
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data and on the free movement of such data</A>
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<LI>
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<A HREF="http://www.the-dma.org/busasst6/busasst-guidelineshome.shtml">The
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DMA's Marketing Online Privacy Principles & Guidance and the The DMA's
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Ethical Business Practice Guidelines</A>
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<LI>
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<A HREF="http://www.epic.org/privacy/consumer/code_fair_info.html">HEW Fair
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Information Principles</A>
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<LI>
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<A HREF="http://www.oecd.org/dsti/sti/it/secur/prod/PRIV-EN.HTM">OECD Guidelines
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on the Protection of Privacy and Transborder Flows of Personal Data</A>
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<LI>
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<A HREF="http://www.privacyalliance.org/resources/ppguidelines.shtml">Online
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Privacy Alliance Guidelines for Online Privacy Policies</A>
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</UL>
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<P>
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In addition, service providers and P3P implementers should recognize and
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address the special concerns surrounding children's privacy.
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<H2>
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Notice and Communication
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</H2>
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<P>
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Service providers should provide timely and effective notices of their
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information practices, and user agents should provide effective tools for
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users to access these notices and make decisions based on them.
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<P>
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Service providers should:
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<UL>
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<LI>
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Communicate explicitly about data collection and use, identifying the purpose
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for which personal information is collected and the extent to which it may
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be shared.
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<LI>
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Use P3P proposals to communicate about all information they propose to collect
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through a Web interaction.
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<LI>
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Prominently post clear, human-readable privacy policies.
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</UL>
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<P>
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User agents should:
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<UL>
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<LI>
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Provide mechanisms for displaying a service's information practices to users.
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<LI>
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Provide users an option that allows them to easily preview and agree to or
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reject each transfer of personal information that the user agent facilitates.
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<LI>
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Not be configured by default to transfer personal information to a service
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provider without the user's consent.
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<LI>
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Inform users about the privacy-related options offered by the user agent.
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</UL>
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<H2>
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Choice and Control
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</H2>
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<P>
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Users should be given the ability to make meaningful choices about the
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collection, use, and disclosure of personal information. Users should retain
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control over their personal information and decide the conditions under which
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they will share it.
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<P>
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Service providers should:
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<UL>
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<LI>
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Limit their requests to information necessary for fulfilling the level of
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service desired by the user. This will reduce user frustration, increase
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trust, and enable relationships with many users, including those who may
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wish to have an anonymous, pseudonymous, customized, or personalized relationship
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with the service.
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<LI>
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Obtain informed consent prior to the collection and use of personal information.
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<LI>
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Provide information about the ability to review and if appropriate correct
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personal information.
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</UL>
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<P>
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User agents should:
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<UL>
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<LI>
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Include configuration tools that allow users to customize their preferences.
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<LI>
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Allow users to import and customize P3P preferences from trusted parties.
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<LI>
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Transfer personal information only to sites with which the user has reached
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an agreement authorizing such transfers or when authorized by the user.
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<LI>
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Present configuration options to users in a way that is neutral or biased
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towards privacy.
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<LI>
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Be usable without requiring the user to store user personal information as
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part of the installation or configuration process.
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</UL>
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<H2>
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Fairness and Integrity
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</H2>
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<P>
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Service providers should treat users and their personal information with
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fairness and integrity. This is essential for protecting privacy and promoting
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trust.
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<P>
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Service providers should:
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<UL>
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<LI>
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Accurately represent their information practices in a clear and unambiguous
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manner -- never with the intention of misleading users.
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<LI>
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Use information only for the stated purpose and retain it only as long as
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necessary.
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<LI>
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Ensure that information is accurate, complete, and up-to-date.
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<LI>
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Disclose accountability and means for recourse.
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</UL>
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<P>
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User agents should:
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<UL>
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<LI>
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Act only on behalf of the user according to the preferences specified by
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the user.
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</UL>
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<H2>
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Security
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</H2>
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<P>
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While P3P itself does not include security mechanisms, it is intended to
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be used in conjunction with security tools. Users' personal information should
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always be protected with reasonable security safeguards in keeping with the
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sensitivity of the information.
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<P>
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Service providers should:
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<UL>
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<LI>
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Protect users' personal information with reasonable security safeguards in
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keeping with the sensitivity of the information.
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<LI>
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Use appropriate trusted protocols for the secure transmission of data.
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</UL>
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<P>
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User agents should:
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<UL>
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<LI>
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Provide mechanisms for protecting the personal information that users store
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in their P3P data repositories.
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<LI>
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Use appropriate trusted protocols for the secure transmission of data.
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<LI>
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Warn users when an insecure transport mechanism is being used.
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</UL>
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<P>
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<HR>
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<H2>
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Definitions
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</H2>
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<P>
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The following definitions reflect the way these terms are used in this document.
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<P>
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<B>personal information</B> - Data relating to an identified or identifiable
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user that is transferred to a service under a P3P agreement or stored in
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a user's P3P data repository. Note, the term personal information in this
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document does not refer to information exchanged in the course of interactions
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inherent to the operation of the HTTP protocol or related protocols.
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<P>
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<B>preferences</B> - A set of rules that determines what action(s) a user
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agent will take or allow when involved in an interaction or negotiation with
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a service. Users' P3P preferences should reflect their attitudes towards
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the use and disclosure of their personal information.
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<P>
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<B>proposal</B> - A series of P3P statements that describe the privacy-related
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terms (practices) under which a service proposes to interact with a user
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or user agent.
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<P>
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<B>service provider</B> - The person or organization that offers information,
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products, or services from a Web site, collects information, and is responsible
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for the representations made in a practice statement. Note, the term service
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provider in this document does not refer to Internet Service Providers (ISPs),
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except where ISPs also provide services from Web sites.
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<P>
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<B>user</B> - An individual (or group of individuals acting as a single entity)
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on whose behalf a service is accessed and for which personal data exists.
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<P>
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<B>user agent</B> - A program that acts on a user's behalf. The agent may
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act on preferences (rules) for a broad range of purposes, such as content
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filtering, trust decisions, or privacy. For P3P purposes, a user agent acts
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on a user's privacy preferences. Users may use different user agents at different
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times.
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<P>
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<HR>
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<H1>
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<A NAME="Signatories">Signatories</A>
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</H1>
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<P>
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<UL>
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<LI>
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Azer Bestavros, Ph.D., Senior Lead Technologist, Bowne Internet Solutions
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<LI>
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Ann Cavoukian, Ph.D., Information and Privacy Commission Ontario Canada,
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Commissioner; Participant in P3P Vocabulary Harmonization Working Group
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<LI>
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Lorrie Faith Cranor, D.Sc., P3P Interest Group Co-Chair; AT&T Labs-Research
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<LI>
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Josef Dietl, W3C
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<LI>
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Daniel Jaye, CTO, Engage Technologies
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<LI>
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Marit Köhntopp, Privacy Commissioner of Land Schleswig-Holstein, Germany
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<LI>
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Tara Lemmey, Chairman, Narrowline; TrustE Board Member
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<LI>
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Dr. Steven Lucas, CIO, MatchLogic
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<LI>
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Massimo Marchiori, P3P editor; World Wide Web Consortium
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<LI>
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Dave Marvit, Internet Strategist, Fujitsu Labs
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<LI>
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Maclen Marvit, VP Engineering, Narrowline Inc.; Member P3P syntax working
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group
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<LI>
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Yossi Matias, PhD, Department of Computer Science, Tel Aviv University
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<LI>
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James S. Miller, PhD, MIT Lab for Computer Science
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<LI>
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Deirdre Mulligan, Staff Counsel Center for Democracy and Technology; Coordinator
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of the Internet Privacy Working Group; and, Participant in P3P Vocabulary
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Harmonization Working Group
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<LI>
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Joseph Reagle, P3P Interest Group Co-Chair; Policy Analyst, W3C
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<LI>
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Drummond Reed, Co-Founder, Intermind
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<LI>
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Lawrence C. Stewart, Chief Scientist, Open Market, Inc.
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</UL>
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<P>
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