Code of Professional Ethics - Frequently Asked Questions (FAQ) 

 

Violations of the ISACA Code of Professional Ethics

ISACA has set forth a Code of Professional Ethics (“Code”) to guide the conduct of ISACA members and ISACA credential holders. Where an ISACA member or credential holder violates the Code of Professional Ethics, an individual may use the Complaint Process (“Process”) summarized below to seek consideration of his/her Complaint. The Process ensures that those accused of Code violations (“Respondent”) will be provided the opportunity to respond to allegations made in a Complaint.

Filing a Complaint

A Complaint may be filed by completing an Ethics Complaint Form (below) and submitting it to ethics@isaca.org.

Please note that submitting a Complaint does create some obligations on the part of the individual (“Complainant”) submitting the Complaint Form. The Complainant must maintain all information exchanged pursuant to the Ethics Complaint as confidential and proprietary and support the investigation and resolution of the Complaint. The Complaint itself must be

  • Complete, truthful, substantive
  • Provide a complete accounting and supporting documentation of the alleged Code violation
  • Disclose if the conduct is subject to criminal or civil investigation or suit

  ISACA Complaint Process and Procedure

Complaint Review

Where a complete Complaint is submitted to ISACA, an initial assessment is conducted and a recommendation is made to the Ethics Committee. In reviewing the recommendation and Complaint, the Ethics Committee will make one of the following determinations: 1) the Complaint should be dismissed; 2) the Complaint warrants a summary finding (as in the case of a reported criminal conviction affecting an individual’s adherence to the Code of Ethics); or 3) the Complaint will proceed for formal investigation.

The Respondent and the Complainant will be notified of the Complaint and Ethics Committee’s course of action. Where a Complaint proceeds to formal investigation, the Respondent shall be given the ability to respond using the Response to Complaint Form.

Formal Investigation and Hearing

If the Ethics Committee initiates a formal investigation into the Complaint, it will consider information contained within the Complaint, the Response and any other relevant evidence obtained as part of its investigation. At any time during the investigation the parties to the Complaint may agree upon a resolution of the matter, including any disciplinary actions to be taken.

Should there be no agreed resolution prior to the conclusion of the investigation, the Ethics Committee will determine whether: 1) the Complaint will be dismissed; 2) the Complaint warrants a summary finding; or 3) the Complaint will proceed to a formal hearing.

If a summary finding is made, disciplinary actions may also be taken. If it is determined the Complaint will proceed to a hearing, the Complainant and Respondent will receive information regarding the conduct of the hearing and potential outcomes.

Disciplinary Actions

If the Respondent is found to have violated the ISACA Code of Professional Ethics, disciplinary action may be taken and could include the following: reprimand, prohibition of participation in specified ISACA activities, suspension or revocation of membership, and/or revocation of ISACA certifications held.

Appeals

Should the Respondent wish to appeal a disciplinary action, an appeals process is available. Appeals must be submitted to the Ethics Appeals Committee. Based on the information provided the Appeals Committee will determine if the Ethics Committee failed to follow ISACA’s Ethics Complaint Process or if there were material errors of fact in the information used as a basis for the determination. The Respondent may also appeal the severity of disciplinary action imposed. Decisions of the Appeals Committee are final.

For a more detailed description of the Complaint Process and Procedures, Please contact Julia Fullerton at jfullerton@isaca.org.

  ISACA Complaint Process and Procedure

  Complaint Form

  Response to Complaint Form