CMMI Institute

CMMI Partners

Our Partners are licensed to deliver authentic services through highly trained and certified individuals.

Complaints

The purpose of this process is to detail the steps required for ISACA’s CMMI Complaints process and the specific actions required to be followed when a member of the CMMI Community submits a complaint regarding alleged misconduct or a violation of the Code of Professional Conduct.

Eligibility Criteria

  • Complainant matter relates to a violation of ISACA's CMMI method, policy, or ethical standards.
  • The matter is a reasonable concern and is not frivolous or trivial.
  • The information provided is sufficient and reliable enough to constitute further investigation.
  • Additionally, ISACA may suspend (as applicable) a case if the matter is being pursued as a subject of civil or criminal litigation or other proceedings substantially related to the complaint before a court, a regulatory agency, or other governmental body.

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

Complaints and Corrective Action Appeals Policy

Created By: ISACA

Published: June 1, 2023

ISACA Complaints and Corrective Action Appeals Policy V1.8

Complaints Process

1. Submit a Complaint

Submit the Complaint Intake Form using the webform below. If you are unable to access the webform, please send an email to [email protected] with the required documents.

2. ISACA Conducts Preliminary Investigation

Within 15 days of a Complaint being received, ISACA will conduct a preliminary investigation to determine if the complaint meets the eligibility criteria.

3. If the Complaint has merit

ISACA will inform impacted parties that a complaint potentially impacting them has merit and is being investigated. ISACA will determine next steps regarding an audit or additional investigation.

4. ISACA Drafts Investigation Report

A member of the CMMI Complaints and Corrective Action Appeals Team will draft an investigation report using the results of the preliminary investigation based on the CMMI Investigation Procedures.

5. Trigger Full Investigation Process (if necessary)

If found necessary, trigger the full CMMI Investigation Procedures, which is a subprocess to the Complaints Process.

6. Trigger Full Audit Process (if necessary)

If found necessary, trigger the CMMI Audit Process, which is a subprocess to the Complaints Process.

7. Draft of Investigation or audit report is submitted to the Respondent

The Complaint Case Lead will provide a draft of either the investigation or audit report to the Respondent.

8. Respondent submits CMMI Complaint Response Form

The Respondent is required to submit their response to the investigation or audit report within 30 calendar days by completing the CMMI Complaint Response Form and returning it to the CMMI Complaints and Corrective Action Appeals Team.

9. ISACA Reviews Response Form

A member of the CMMI Complaints and Corrective Action Appeals Team will review the Respondent’s response form and amend the investigation report accordingly.

10. Trigger Corrective Action Process (if necessary)

If found necessary, trigger the Corrective Action Process, which is a subprocess to the Complaints Process.

11. ISACA Provides Final Report

The Complaint Case Lead will provide the corrective action report to the Respondent within 30 calendar days after the finalization of investigation/audit report. Inform Respondent’s Impacted Parties of the results of an investigation or audit and corrective action (if applicable) potentially impacting them. Respondent’s Impacted Parties should only be provided with the minimum amount of information required to mitigate associated risks.

Submit a Complaint

If you have have a complaint that fits the criteria above, you may click the button below to access the webform:

 
Top

CMMI Complaint Intake Form

Introduction

Any individual, group, or organization may initiate a complaint and be a "Complainant."  In the event that a group, organization, or CMMI Partner is the Compliant, a single individual must be designated to receive correspondence and represent the Complainant. Each Complainant must submit a completed Complaint Form, including a detailed written description of the factual allegations supporting the complaint and an explanation of how the allegations set forth in the complaint, may consititute a violation of the CMMI Code of Professional Conduct. Complainants may submit their complaint anonymously. Upon receipt of a new complaint, the Complaints and Corrective Action Appeals Team shall send the Complainant a submission confirmation email.

CMMI Institute will ONLY consider a complaint filed against the following:
  • CMMI Partners
    • Partner Business Points of Contact (BPOCs)
    • Certified CMMI Instructors
    • Certified CMMI Lead Appraisers
  • CMMI Practitioners (CMMI Professionals, CMMI Associates, etc)
  • CMMI Registered Interpreters
  • Any individual operating under a license or other agreement with CMMI Institute, e.g. CMMI Model Viewer license holders, individuals who register and take CMMI exams, or individuals who contract with a Partner to deliver courses or appraisals
  • CMMI Appraisal Sponsors and their delegates, including Organizational Unit Coordinators (OUCs)

Complaint Criteria

A complaint will only be considered if it meets the below criteria. If your complaint does not meet these items, it will be immediately suspended.

Upon receipt of a new complaint, the Complaints and Corrective Action Appeals Team may use discretion to determine the following:​
​    a)  The compainant matter relates to a violation of the COPC (see complaint form articles below)
    b)  The matter is a reasonable concern and is not frivolous or trivial
    c)  The information provided is sufficient and reliable enough to constitute futher investigation

Additionally, CMMI may suspend (as applicable) a case if the matter is being pursued as a subject of civil or criminal litigation or other proceedings substantially related to the complaint before a court, regulatory agency, or other governmental body.

What is NOT a complaint:
  • Any complaints against CMMI Institute employees
  • Customer service complaints
  • Account or billing related issues
  • Product or material issues
If your complaint does not meet the criteria of this form, please contact the CMMI Support team by visiting our Support page where you can:
  • Submit a support request
  • Track existing requests
  • View the library of FAQs and Knowledge Base Articles
  • Initiate a live chat session with our support team

Complaint Form

Except for providing an email address, providing your contact information is optional, and the form can be submitted anonymously. Please note that if you provide contact information, a member of the CMMI Complaints and Corrective Action Appeals team my contact you to collect more information, if necessary.  If you submit your form anonymously, plese be sure to provide adequate information for the Complaints and Corrective Action Appeals Team to conduct an investigation. Anonymous submissions with insufficient information may result in the complaint being dismissed.

Your Contact Information (option to remain anonymous, however email is required)





Please check the article(s) you are filing a complaint for:



















Respondent (Person Violation is Alleged Against) Contact Information





Description of Events
Using the space provided, please provide a description of event(s) related to the alleged violation(s) of the Code of Professional Conduct. If possible, please include the names of witnesses, dates and times of events, and references to how any attached evidence relates to the allegation(s). If you checked more than one article for complaint, address each article separately.