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DM-1

DM-1: Minimization of Personally Identifiable Information

The organization:

DM-1a.: Identifies the minimum personally identifiable information (PII) elements that are relevant and necessary to accomplish the legally authorized purpose of collection;

DM-1b.: Limits the collection and retention of PII to the minimum elements identified for the purposes described in the notice and for which the individual has provided consent; and

DM-1c.: Conducts an initial evaluation of PII holdings and establishes and follows a schedule for regularly reviewing those holdings [Assignment: organization-defined frequency, at least annually] to ensure that only PII identified in the notice is collected and retained, and that the PII continues to be necessary to accomplish the legally authorized purpose.

Supplemental

Organizations take appropriate steps to ensure that the collection of PII is consistent with a purpose authorized by law or regulation. The minimum set of PII elements required to support a specific organization business process may be a subset of the PII the organization is authorized to collect. Program officials consult with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) and legal counsel to identify the minimum PII lements required by the information system or activity to accomplish the legally authorized purpose. Organizations can further reduce their privacy and security risks by also reducing their inventory of PII, where appropriate. OMB Memorandum 07-16 requires organizations to conduct both an initial review and subsequent reviews of their holdings of all PII and ensure, to the maximum extent practicable, that such holdings are accurate, relevant, timely, and complete. Organizations are also directed by OMB to reduce their holdings to the minimum necessary for the proper performance of a documented organizational business purpose. OMB Memorandum 07-16 requires organizations to develop and publicize, either through a notice in the Federal Register or on their websites, a schedule for periodic reviews of their holdings to supplement the initial review. Organizations coordinate with their federal records officers to ensure that reductions in organizational holdings of PII are consistent with NARA retention schedules. By performing periodic evaluations, organizations reduce risk, ensure that they are collecting only the data specified in the notice, and ensure that the data collected is still relevant and necessary for the purpose(s) specified in the notice.

CIA Levels
Confidentiality	unknown
Integrity	unknown
Availability	unknown

Overlays
Privacy (High), Privacy (Low), Privacy (Mod), Privacy (PHI)

Related Controls

The controls below (if any) were marked by NIST as being related to DM-1.

Control	Description
AP-1	The organization determines and documents the legal authority that permits the collection, use, maintenance, and sharing of personally identifiable information (PII), either generally or in support of a specific program or information system need.
AP-2	The organization describes the purpose(s) for which personally identifiable information (PII) is collected, used, maintained, and shared in its privacy notices.
AR-4	The organization monitors and audits privacy controls and internal privacy policy [Assignment: organization-defined frequency] to ensure effective implementation.
IP-1	The organization: IP-1a.: Provides means, where feasible and appropriate, for individuals to authorize the collection, use, maintaining, and sharing of personally identifiable information (PII) prior to its collection; IP-1b.: Provides appropriate means for individuals to understand the consequences of decisions to approve or decline the authorization of the collection, use, dissemination, and retention of PII; IP-1c.: Obtains consent, where feasible and appropriate, from individuals prior to any new uses or disclosure of previously collected PII; and IP-1d.: Ensures that individuals are aware of and, where feasible, consent to all uses of PII not initially described in the public notice that was in effect at the time the organization collected the PII.
SE-1	The organization: SE-1a.: Establishes, maintains, and updates [Assignment: organization-defined frequency] an inventory that contains a listing of all programs and information systems identified as collecting, using, maintaining, or sharing personally identifiable information (PII); and SE-1b.: Provides each update of the PII inventory to the CIO or information security official [Assignment: organization-defined frequency] to support the establishment of information security requirements for all new or modified information systems containing PII.
SI-12	The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
TR-1	The organization: TR-1a.: Provides effective notice to the public and to individuals regarding: (i) its activities that impact privacy, including its collection, use, sharing, safeguarding, maintenance, and disposal of personally identifiable information (PII); (ii) authority for collecting PII; (iii) the choices, if any, individuals may have regarding how the organization uses PII and the consequences of exercising or not exercising those choices; and (iv) the ability to access and have PII amended or corrected if necessary; TR-1b.: Describes: (i) the PII the organization collects and the purpose(s) for which it collects that information; (ii) how the organization uses PII internally; (iii) whether the organization shares PII with external entities, the categories of those entities, and the purposes for such sharing; (iv) whether individuals have the ability to consent to specific uses or sharing of PII and how to exercise any such consent; (v) how individuals may obtain access to PII; and (vi) how the PII will be protected; and TR-1c.: Revises its public notices to reflect changes in practice or policy that affect PII or changes in its activities that impact privacy, before or as soon as practicable after the change.

Enhancements

The controls below (if any) add on to the requirements of DM-1.

Control	Description
DM-1 (1)	The organization, where feasible and within the limits of technology, locates and removes/redacts specified PII and/or uses anonymization and de-identification techniques to permit use of the retained information while reducing its sensitivity and reducing the risk resulting from disclosure.

Related CCIs

The CCIs below are tied to DM-1.

CCI	Definition
CCI-003486	The organization identifies the minimum personally identifiable information (PII) elements that are relevant and necessary to accomplish the legally authorized purpose of collection.
CCI-003487	The organization limits the collection and retention of personally identifiable information (PII) to the minimum elements identified for the purposes described in the published privacy notice.
CCI-003488	The organization limits the collection and retention of personally identifiable information (PII) to the minimum elements identified for the purposes which the individual has provided consent.
CCI-003489	The organization defines the frequency, minimally annually, for conducting reviews of its personally identifiable information (PII) holdings.
CCI-003490	The organization conducts an initial evaluation of personally identifiable information (PII) holdings.
CCI-003491	The organization establishes a schedule for regularly reviewing the personally identifiable information (PII) holdings on an organization-defined frequency to ensure that only PII identified in the notice is collected and retained.
CCI-003492	The organization follows a schedule for regularly reviewing the personally identifiable information (PII) holdings on an organization-defined frequency to ensure that only PII identified in the notice is collected and retained.
CCI-003493	The organization establishes a schedule for regularly reviewing the personally identifiable information (PII) holdings on an organization-defined frequency to ensure the PII continues to be necessary to accomplish the legally authorized purpose.
CCI-003494	The organization follows a schedule for regularly reviewing the personally identifiable information (PII) holdings on an organization-defined frequency to ensure the PII continues to be necessary to accomplish the legally authorized purpose.