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id: "PM-26" title: "Complaint Management" family: "PM" family_name: "Program Management" sort_id: "pm-26" priority: "P1" implementation_level: "organization"

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Statement

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

Mechanisms that are easy to use and readily accessible by the public;

All information necessary for successfully filing complaints;

Tracking mechanisms to ensure all complaints received are reviewed and addressed within {{ insert: param, pm-26_prm_1 }};

Acknowledgement of receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.03 }} ; and

Response to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.04 }}.

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.

Assessment Objective: a process for receiving complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;

Assessment Objective: a process for responding to complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented;

Assessment Objective: the complaint management process includes mechanisms that are easy to use by the public;

Assessment Objective: the complaint management process includes mechanisms that are readily accessible by the public;

Assessment Objective: the complaint management process includes all information necessary for successfully filing complaints;

Assessment Objective: the complaint management process includes tracking mechanisms to ensure that all complaints are reviewed within {{ insert: param, pm-26_odp.01 }};

Assessment Objective: the complaint management process includes tracking mechanisms to ensure that all complaints are addressed within {{ insert: param, pm-26_odp.02 }};

Assessment Objective: the complaint management process includes acknowledging the receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.03 }};

Assessment Objective: the complaint management process includes responding to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.04 }}.

Privacy program plan

procedures addressing complaint management

complaint documentation

procedures addressing the reviews of complaints

other relevant documents or records

Organizational personnel with privacy program responsibilities

organizational personnel with privacy responsibilities

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