Appeals

Quality investigations and adverse actions are a necessary part of the CMMI ecosystem to help protect the brand around the world. ISACA tries to be transparent, fair, and free from conflict of interest during the Quality Investigation process, but after hearing from our Partners, we decided to implement an Appeal Process to allow our valued Partners an opportunity to appeal any decisions that are made following an investigation.

Eligibility Criteria

Corrective Action Appeals will only be considered for one of the below Articles for Appeal:

Severity of Corrective Action:
- An appeal on the basis that the original corrective action was too severe, not congruent with the violation, or extenuating circumstances exist. Extenuating Circumstance could include but is not limited to:
  - Prolonged illness or serious injury
  - Death of an immediate family member
  - Global or local circumstances affecting ability to perform your role (e.g., Covid-19 pandemic)
Material Errors of Fact:
- An appeal will be considered when there is a change in material error of fact or disputes regarding interpretation of method, model, and/or policy operative in the initial investigation or audit report determination and corrective action decision. A “Material error of fact or interpretation of method, model, and/or policy” relates to facts that are essential for helping a reasonable person decide whether a violation of the Code of Professional Conduct has occurred; for example, where the underlying facts of the complaint are not true, or essential evidence was not available.
Audit Process Not Followed:
- In the circumstance that the CMMI contracted Independent Service Provider (ISP) Auditor did not adhere to the formalized audit process set forth by CMMI, the Respondent’s appeal may be considered.

More information on the Appeals Process and policy can be found in the Complaints and Corrective Action Appeals Policy below.

View Policy

Complaints and Corrective Action Appeals Policy

Created By: ISACA

Published: June 1, 2023

ISACA Complaints and Corrective Action Appeals Policy V1.8

Appeal Process

1. Submit Appeal Form

Download and submit the Appeal Intake Form using the webform below. If you are unable to access the webform, you may send an email to [email protected] with the required documents.

2. Appeal Request Reviewed for Eligibility Criteria

If the Appeal Request DOES NOT meet criteria, appellant receives email explaining decision.
- Appeal Request Denied
If the Appeal Request DOES meet criteria, then an Appeals Case Liaison is assigned
- Appeal Request Approved

3. Appeal Request is reviewed based on one of the Articles of Appeal (above)

Was the audit process followed? Is the appeal about the severity of corrective action? Or was there a perceived material error of fact?

Audit Process:
- Yes, the audit process was followed
  - Appeal reviewed by Panel and determined if an additional audit is needed
- No, the audit process was not followed
  - Fix Audit and move to step 4
Severity of Corrective Action:
- Review case against Corrective Action Policy and Procedures
  - Extenuating circumstance gives justification for a lesser Corrective Action?
    - Yes
      - Update record and reduce Corrective Action
      - Written response to Appellant confirming reversal of decision and acceptance of appeal
    - No
      - Case is sent to CMMI Executive Steering Committee
Material Error of Fact:
- The case is sent to the CMMI Executive Steering Committee for review.

4. Did the outcome change based on the new information?

Yes, the outcome changed
- Reviews corrective action severity and case against policy and procedure, reduce severity and update record
No, the outcome did not change
- Case is sent to CMMI Executive Steering Committee for review

5. Complaints and Corrective Action Appeals Panel reviews case

Panel votes on case
- Original Decision upheld
  - Written response sent to the Appellant with justification
- Original Decision overturned
  - Written response sent to the Appellant with justification

Submit an Appeal

If you have been the subject of a Quality Investigation and you want to appeal a decision, you may click the button below to access the webform:

Submit an Appeal