Control statement
Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational security and privacy practices that includes:
- a.Mechanisms that are easy to use and readily accessible by the public;
- b.All information necessary for successfully filing complaints;
- c.Tracking mechanisms to ensure all complaints received are reviewed and addressed within [Organization-defined: organization-defined time period];
- d.Acknowledgement of receipt of complaints, concerns, or questions from individuals within [Organization-defined: time period] ; and
- e.Response to complaints, concerns, or questions from individuals within [Organization-defined: time period].
Discussion
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.
Organization-defined parameters
These values must be resolved through the organization’s tailoring and governance process. Bracketed parameter references in the control text identify where a decision is required.
From control text to operational evidence
Use Complaint Management as a testable risk decision. Translate the official statement into accountable people, repeatable processes, configured technology, and evidence that demonstrates the outcome over time. In this family, pay particular attention to enterprise program governance, accountability, resources, metrics, and organization-wide risk decisions.
Implementation workflow
- Define the control boundary, responsible owner, inherited portions, and systems or processes in scope.
- Resolve each organization-defined parameter before declaring the control implemented.
- Document how the implementation satisfies every clause of the official control statement.
- Collect evidence as a normal byproduct of operation rather than only before an assessment.
- Review exceptions, changes, and monitoring results on a risk-based cadence.
Evidence examples
- program charters and policies
- governance meeting records
- risk and performance metrics
- resource and responsibility assignments
Common failure patterns
- program metrics count activity instead of outcomes
- system-level risks never reach enterprise governance
- responsibilities assigned without authority or resources
- privacy and security managed in separate silos
Questions practitioners should ask
- What risk decision is this control intended to support in this system?
- Which parts are implemented locally, inherited, shared, or not applicable—and what evidence supports that decision?
- Do the documented narrative, deployed configuration, operating process, and collected evidence agree?
- What event or threshold requires the implementation to be reviewed or changed?
Assessment objectives and methods
Show the assessment objective
- PM-26[01]a process for receiving complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;
- PM-26[02]a process for responding to complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;
- PM-26a.
- PM-26a.[01]the complaint management process includes mechanisms that are easy to use by the public;
- PM-26a.[02]the complaint management process includes mechanisms that are readily accessible by the public;
- PM-26b.the complaint management process includes all information necessary for successfully filing complaints;
- PM-26c.
- PM-26c.[01]the complaint management process includes tracking mechanisms to ensure that all complaints are reviewed within [Organization-defined: time period];
- PM-26c.[02]the complaint management process includes tracking mechanisms to ensure that all complaints are addressed within [Organization-defined: time period];
- PM-26d.the complaint management process includes acknowledging the receipt of complaints, concerns, or questions from individuals within [Organization-defined: time period];
- PM-26e.the complaint management process includes responding to complaints, concerns, or questions from individuals within [Organization-defined: time period].
Examine
- Privacy program plan
- procedures addressing complaint management
- complaint documentation
- procedures addressing the reviews of complaints
- other relevant documents or records
Interview
- Organizational personnel with privacy program responsibilities
- organizational personnel with privacy responsibilities
Test
- 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
Related controls
These relationships come from the official OSCAL catalog. They indicate useful dependencies or context, not automatic inheritance or equivalence.
Authoritative sources
Bare Metal Cyber is an independent educational publisher and is not affiliated with or endorsed by NIST. Official control requirements and interpretations remain with NIST and the responsible authorizing organization.