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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 & Grant Thornton

Published: June 1, 2023

ISACA Complaints and Corrective Action Appeals Policy V1.8

Complaints Process

1. Submit a Complaint

Download and 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:

 
Submit a Complaint
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