1. What constitutes a complaint?
2. Who handles receipt of complaints?
3. What happens after a complaint is received by ISACA?
4. Who is responsible for dealing with Code of Ethics complaints?
5. What is the communication with the subject of the complaint?
6. What are the potential disciplinary actions?
7. Can the findings of the Investigations Committee be appealed?

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1. What constitutes a complaint?

A complaint must be:

• Specific to a section of the ISACA Code of Ethics;
• In writing and signed by the individual lodging the complaint;
• Supported by definitive and specific evidence of such accusation; or
• Made against a current holder of ISACA membership and/or holder of an ISACA certification.

2. Who handles receipt of complaints?

Any complaint should be submitted to the attention of the Director of Standards at ISACA International Headquarters. The complaint and all related documentation are dealt with in a strictly confidential manner.

3. What happens after a complaint is received by ISACA?

• Once a complaint is filed, the complainant agrees to hold in strict confidence, and will not announce or promote in any manner, or use personal or chapter communication vehicles to announce filing of a complaint.
• If it is determined that additional information and evidence is required, this will be requested from the complainant and a specific timeframe needed to receive such information. If this additional information is not received, a decision will be rendered based on what information was initially provided.
• If it is determined that no further action is warranted, the complainant will be advised in writing of the outcome of the initial assessment.
• If the initial investigation supports the complaint, an independent investigation will commence, and the information will be handed over to the Investigations Committee.

4. Who is responsible for dealing with Code of Ethics complaints?

The Investigations Committee consists of:

• At least five independent ISACA members, including at least one representative of each geographic area
• The respective chairs of the Membership, Standards and Certification Boards

5. What is the communication with the subject of the complaint?

The communications with the subject of a complaint are made as follows:

• If a preliminary investigation of the information/evidence reveals a valid compliant, the individual(s) named in the written complaint will be sent a “Notice of Complaint” by registered or certified mail. The Investigations Committee will also request any additional information needed.
• The Investigations Committee will submit a written report of its findings within sixty (60) working days of receiving all further requested supporting information.
• Within ten (10) working days of the written report findings being accepted, the findings of the Investigations Committee will be communicated to the subject of the complaint.

6. What are the potential disciplinary actions?

If a complaint is found to have valid grounds, the independent Investigations Committee could recommend one of the following disciplinary actions depending on the severity of the infraction:

• Warning—A written warning and notice of such shall remain in the member’s file and articulate clearly the consequences if the situation occurs again, or if there is another violation.
• Suspension—ISACA membership and/or ISACA certification or eligibility to become certified could be suspended for a period up to one (1) year.
• Revocation of Certification or and/or Membership—ISACA membership and or ISACA certification could be revoked.

7. Can the findings of the Investigations Committee be appealed?

If the subject of the complaint wishes to appeal the disciplinary actions:

• The appeal should be made in writing and submitted to the attention of the Investigations Committee within thirty (30) days of receipt of the decision.
• Once the appeal is received, the subject of the complaint will be contacted to arrange for a hearing.