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

The CMMI Complaints and Corrective Actions Appeals Team will ONLY consider three potential scenarios for an appeal. An appeal can be submitted to include one or more of the below articles; however, an appeal can only be submitted and considered one time for each case.

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.

Appeal Criteria

An appeal will only be considered if it meets the following criteria. If your appeal does not meet these terms, it will be immediately suspended.

The appeal must be made for one of the three Articles for Appeal
The appeal must be filed within 45 calendar days from the receipt of the original CMMI corrective action
The minimum threshold for an appeal to be considered is a corrective action of probation or above
If the matter being pursued is a subject of civil or criminal litigation or other proceedings substantially related to the appeal before a court, a regulatory agency, or other governmental body, CMMI may suspend the case (as applicable)

Note: A case will only be considered once for appeal. Once a decision has been made, it is final.

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

Submit the Appeal Intake from 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 NOTmeet criteria, appellant receives email explaining decision.
- Appeal Request Denied
If the Appeal Request DOESmeet 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

Appeal From

Complete the below form to the best of your ability. Please note that a member of the CMMI Complaints and Corrective Action Appeals Team may contact you to collect more information, if necessary.

Contact Information

*First Name:

*Last Name:

*Phone Number:

*Email Address:

*Affiliated Partner Organization:

*Please check the article(s) you are appealing:

Severity of Corrective Action Material Errors of Fact Audit Process Not Followed

1. *Provide a statement of what you consider to be the essential facts that refute the original corrective action.

This statement should ONLY provide new information, evidence, facts, etc. If you previously provided a Response form during the audit or investigation prior to this disciplinary decision, please indicate that below (but do not provide the same information twice). This response will be reviewed by ISACA to determine, in its sole discretion, whether to overturn or uphold the disciplinary decision. The Appellant should provide those facts which refute the original decision or explain the Appellant’s actions in sufficient detail to permit an appeal by ISACA. Please be as thorough and organized as possible. (If the space below is insufficient, additional pages may be used and attached).

2. *List all persons that you believe have knowledge of the matters asserted in the original investigation and/or the response and a brief description of what each person’s knowledge is regarding the violation.

“Original investigation” can include a complaint investigation and/or an audit. Please provide each individual’s full name, email address, telephone number, and other contact information (to the extent known) that will assist ISACA.

3. *List all documents that you believe to be relevant to the matters asserted in the Appeal of this corrective action.

All documents must be listed by type (e.g., letter, e-mail, memo, certificate), date and the name of the individual or organization that prepared it. All documents listed in this section must be submitted to ISACA along with this Appeal. No information will be utilized unless accompanied with the Appeal Intake Form Submission. Please attach documentation below.

4. *Identify any other professional complaints or disciplinary decisions resulting in court actions or other matters of public record that have been filed by you or anyone else that relate to the same or similar ethics allegations that you have stated in section 1 above.

The Appellant should identify any other actions that have been taken that are directed at the same or related complaints. For example, the Appellant should identify any matters filed with state licensure or regulatory panels, courts or other judicial forums, professional organizations, and employers that relate to the issues raised in this Appeal of disciplinary decision. You are under a continuing obligation to advise ISACA of any additional ethics responses which may be filed with other bodies subsequent to the time that you submit this response, or which were previously filed but that you did not have knowledge at the time this response was submitted.

*Statement and Certification.

I accept / Sign

By submitting this appeal to the disciplinary decision, you assert that you have read the CMMI Code of Professional Conduct and agree to abide by its conditions and terms in proceeding with this matter. You understand that some or all the information submitted with respect to this proceeding may be disclosed (in either redacted or non-redacted form) to CMMI’s members and others once a final determination is reached by ISACA. You acknowledge and agree that all decisions by ISACA regarding the Ethics Appeal, including determinations of whether the Response is complete, are final and binding in all respects, and that ISACA will have no liability whatsoever to Appellant with regard to the Ethics Appeal, including but not limited to, ISACA’s handling of the Ethics Appeal process and ISACA’s final determination. You further certify that the factual allegations made in this Ethics Appeal response are true and accurate to the best of your knowledge and are made in good faith.