id: "PT-03" title: "Personally Identifiable Information Processing Purposes" family: "PT" family_name: "PII Processing and Transparency" sort_id: "pt-03" priority: "P2" implementation_level: "organization" enhancements: - pt-3.1 - pt-3.2
Identify and document the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information;
Describe the purpose(s) in the public privacy notices and policies of the organization;
Restrict the {{ insert: param, pt-03_odp.02 }} of personally identifiable information to only that which is compatible with the identified purpose(s); and
Monitor changes in processing personally identifiable information and implement {{ insert: param, pt-03_odp.03 }} to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}.
Guidance
Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term "process" includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system and individuals whose information is processed by the system to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization’s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, PRIVACT statements, computer matching notices, and other applicable Federal Register notices.
Organizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information.
Organizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes that arise from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks that arise from changes in personally identifiable information processing purposes.
Assessment Objective: the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information is/are identified and documented;
Assessment Objective: the purpose(s) is/are described in the public privacy notices of the organization;
Assessment Objective: the purpose(s) is/are described in the policies of the organization;
Assessment Objective: the {{ insert: param, pt-03_odp.02 }} of personally identifiable information are restricted to only that which is compatible with the identified purpose(s);
Assessment Objective: changes in the processing of personally identifiable information are monitored;
Assessment Objective: {{ insert: param, pt-03_odp.03 }} are implemented to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}.
Personally identifiable information processing and transparency policy and procedures
configuration management plan
organizational privacy notices
organizational policies
Privacy Act statements
computer matching notices
applicable Federal Register notices
documented requirements for enforcing and monitoring the processing of personally identifiable information
privacy plan
other relevant documents or records
Organizational personnel with personally identifiable information processing and transparency responsibilities
organizational personnel with information security and privacy responsibilities
Organizational processes for authorizing the processing of personally identifiable information
mechanisms supporting and/or implementing the management of authorized personally identifiable information processing
organizational processes for monitoring changes in processing personally identifiable information