Information Management and Retention
✓ LOW ✓ MODERATE ✓ HIGHRequirements NIST SOURCE
Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements.
Discussion (NIST Supplemental Guidance)
Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, AC-6(9), AT-4, AU-12, CA-2, CA-3, CA-5, CA-6, CA-7, CA-8, CA-9, CM-2, CM-3, CM-4, CM-6, CM-8, CM-9, CM-12, CM-13, CP-2, IR-6, IR-8, MA-2, MA-4, PE-2, PE-8, PE-16, PE-17, PL-2, PL-4, PL-7, PL-8, PM-5, PM-8, PM-9, PM-18, PM-21, PM-27, PM-28, PM-30, PM-31, PS-2, PS-6, PS-7, PT-2, PT-3, PT-7, RA-2, RA-3, RA-5, RA-8, SA-4, SA-5, SA-8, SA-10, SI-4, SR-2, SR-4, SR-8.
Enhancements NIST SOURCE
SI-12(1) Limit Personally Identifiable Information Elements LOW MODERATE HIGH
Limit personally identifiable information being processed in the information life cycle to the following elements of personally identifiable information: [elements of personally identifiable information].
Discussion
Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk.
SI-12(2) Minimize Personally Identifiable Information in Testing, Training, and Research LOW MODERATE HIGH
Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: [organization-defined techniques].
Discussion
Organizations can minimize the risk to an individual’s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them.
SI-12(3) Information Disposal LOW MODERATE HIGH
Use the following techniques to dispose of, destroy, or erase information following the retention period: [organization-defined techniques].
Discussion
Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. The disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information.
Implementation Guidance
Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.
No engineering interpretation has been authored for SI-12 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.
Assessment
Assessment Objectives
- information within the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;
- information within the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;
- information output from the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;
- information output from the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements.
Examine
[SELECT FROM: System and information integrity policy; system and information integrity procedures; personally identifiable information processing policy; records retention and disposition policy; records retention and disposition procedures; federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention; media protection policy; media protection procedures; audit findings; system security plan; privacy plan; privacy program plan; personally identifiable information inventory; privacy impact assessment; privacy risk assessment documentation; other relevant documents or records].
Interview
[SELECT FROM: Organizational personnel with information and records management, retention, and disposition responsibilities; organizational personnel with information security and privacy responsibilities; network administrators].
Test
[SELECT FROM: Organizational processes for information management, retention, and disposition; automated mechanisms supporting and/or implementing information management, retention, and disposition].
Overlays
STIGs & CCIs
No STIG checks or CCI mappings are currently loaded for SI-12. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.
Learn more about STIG/CCI integration →Evidence
Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.
Policy
- System and information integrity policy
- personally identifiable information processing policy
- records retention and disposition policy
- federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention
- media protection policy
- system security plan
- privacy plan
- privacy program plan
Configuration
- personally identifiable information inventory
Testing
- Organizational processes for information management, retention, and disposition
- automated mechanisms supporting and/or implementing information management, retention, and disposition
Other Records
- system and information integrity procedures
- records retention and disposition procedures
- media protection procedures
- audit findings
- privacy impact assessment
- privacy risk assessment documentation
- other relevant documents or records