PM-26 PM · Program Management

Complaint Management

LOW MODERATE HIGH
1 Overlay 4 Related Controls
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Requirements NIST SOURCE

Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational security and privacy practices that includes:

Discussion (NIST Supplemental Guidance)

Complaints, concerns, and questions from individuals can serve as valuable sources of input to organizations and ultimately improve operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information which is handled in accordance with relevant policies and processes.

Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for PM-26 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

NIST SP 800-53A REV 5.2.0

Assessment Objectives

  1. the time period in which complaints (including concerns or questions) from individuals are to be reviewed is defined;
  2. the time period in which complaints (including concerns or questions) from individuals are to be addressed is defined;
  3. the time period for acknowledging the receipt of complaints is defined;
  4. the time period for responding to complaints is defined;
  5. a process for receiving complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;
  6. a process for responding to complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;
  7. the complaint management process includes mechanisms that are easy to use by the public;
  8. the complaint management process includes mechanisms that are readily accessible by the public;
  9. the complaint management process includes all information necessary for successfully filing complaints;
  10. the complaint management process includes tracking mechanisms to ensure that all complaints are reviewed within <PM-26_ODP[01] time period>;
  11. the complaint management process includes tracking mechanisms to ensure that all complaints are addressed within <PM-26_ODP[02] time period>;
  12. the complaint management process includes acknowledging the receipt of complaints, concerns, or questions from individuals within <PM-26_ODP[03] time period>;
  13. the complaint management process includes responding to complaints, concerns, or questions from individuals within <PM-26_ODP[04] time period>.

Examine

[SELECT FROM: Privacy program plan; procedures addressing complaint management; complaint documentation; procedures addressing the reviews of complaints; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with privacy program responsibilities; organizational personnel with privacy responsibilities].

Test

[SELECT FROM: Organizational processes for complaint management; mechanisms supporting complaint management; tools used by the public to submit complaints, concerns, and questions (e.g., telephone, hotline, email, or web-based forms].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

Not applicable at this tier.

MODERATE

Not applicable at this tier.

HIGH

  • Base control: Added (beyond standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for PM-26. 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

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

  • Privacy program plan

Testing

  • Organizational processes for complaint management
  • mechanisms supporting complaint management
  • tools used by the public to submit complaints, concerns, and questions (e.g., telephone, hotline, email, or web-based forms

Other Records

  • procedures addressing complaint management
  • complaint documentation
  • procedures addressing the reviews of complaints
  • other relevant documents or records