WFGY/ProblemMap/GlobalFixMap/Governance/pii_handling_and_minimization.md
2025-08-29 21:52:29 +08:00

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PII Handling and Minimization — Guardrails and Fix Patterns

A governance fix page for when personally identifiable information (PII) leaks, handling is unclear, or minimization principles are violated.
Use this page when data pipelines, embeddings, or RAG outputs contain sensitive fields that cannot be justified or audited.


When to use this page

  • Retrieval responses contain raw PII that was not required for the task.
  • Embeddings or chunks accidentally ingest names, emails, IDs, or financial data.
  • Redaction or anonymization rules are inconsistently applied.
  • No audit trail exists for who accessed or approved PII exposure.
  • Waivers for PII usage lack expiry, owner, or justification.

Acceptance targets

  • PII fields are redacted, hashed, or minimized in ≥ 0.98 of stored embeddings.
  • Retrieval outputs contain no raw identifiers unless explicitly approved.
  • ΔS(question, retrieved) ≤ 0.45 for governed answers (no drift into unapproved fields).
  • All PII queries pass through policy checks with logging enabled.
  • Every waiver or override has an accountable owner and time-bound expiry.

Typical breakpoints and WFGY fix

  • Embedding or vector ingestion leaks PII
    embedding-vs-semantic.md
    Enforce PII scrub before embedding. Validate with spot-checks against gold set.

  • Chunking preserves identifiers across splits
    chunking-checklist.md
    Require token-level scrub of identifiers, then re-chunk.

  • Answers expose sensitive spans without approval
    retrieval-traceability.md
    Enforce citation schema, ensure only approved snippets are surfaced.

  • Policy bypass in orchestration or tools
    prompt-injection.md
    Guard against malicious queries that try to extract hidden PII.

  • Audit trail gaps
    audit_and_logging.md
    Require immutable logs of every PII access and minimization check.


Minimal governance checklist

  1. Redact on ingest — Apply regex/sensitive data detection before storing text or embeddings.
  2. Schema enforce — Store doc_id, pii_flag, redacted_text side by side for traceability.
  3. Chunk validation — Randomly sample and confirm PII scrubbed before index build.
  4. Policy in LLM prompts — Require “no PII unless approved waiver” as hard guardrail.
  5. Audit logs — Track every waiver, approval, and override. Immutable and joinable to lineage.
  6. Expiry enforcement — Waivers expire automatically; extension requires re-approval.

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