The Institute’s disciplinary process is overseen and directed by the Disciplinary Committee.
The Disciplinary Committee delegates its decision-making authority to the Disciplinary Review Panel (DRP) who review all cases, in the first stage. The DRP consider all information provided and written representation from the member, before making
their decision on whether there appears to be a case to answer. In doing so the DRP may:
Guidance for members on the disciplinary process
- refer the matter to the Disciplinary Panel; or
- if the offence is not an Administrative Offence and not considered sufficiently material for referral to the Disciplinary Panel, they may send an appropriate strongly worded warning letter reminding the member of the Institute’s expected
levels of behaviour as well as recommending additional CPD which could include the retaking of the IntegrityMatters test, or
- should there be no case to answer, close the case.
Summary of the CISI Disciplinary Process
Misconduct allegation received by the CISI Professional Standards team. The team will review the information to see if it is appropriate for the CISI to investigate, and proceed accordingly.
Should there be grounds for an investigation, the misconduct allegation will be reviewed by the Disciplinary Review Panel. The Disciplinary Review Panel decide whether or not, there is a case to answer.
Step 2: Scenario One
The Disciplinary Review Panel could conclude that there is "no case to answer", in which case the member will be notified, and no further action will be taken.
Step 2: Scenario Two
Scenario Two: The Disciplinary Review Panel could conclude that there is a "case to answer" and the member will be notified.
Should there be a "case to answer" the member will be informed of the formal allegations, and given the opportunity to provide further information, e.g. written evidence/statement.
Step 3: Scenario One
Scenario One: After further investigation, the Disciplinary Review Panel could conclude there is "no case to answer". The member will be notified, and no further action will be taken.
Step 3: Scenario Two
The Disciplinary Review Panel could conclude there is a case to answer, the member will be notified that their case will be referred to the Disciplinary Panel.
Should there be a "case to answer", a Disciplinary Hearing will be scheduled which the member can attend with a guest of their choosing. A report to the Disciplinary Panel will be shared with the member and panel, which will provide
detailed information on the case, any written submissions and evidence prior to the hearing date.
Once the Disciplinary Panel has reached their final decision, there will be either (a) sanctions imposed (b) no further action to take. Should the member wish to, they can request to appeal the decision.
In summary, possible sanctions, should they be imposed include: additional hours of CPD; completion of IntegrityMatters test; denial of CISI facilities; reprimand; severe reprimand; suspension; reduction in member status and expulsion.
Step 6: Scenario One
Case has been concluded, and the member has not made a request to appeal.
Step 6: Scenario Two
Scenario Two: The member has made a request to appeal, which has been approved, and the case is heard by the Appeals Panel.
Appeals Panel reach the final decision and the findings are either upheld amended or
On an annual basis, members are required to declare any breach(es) of the CISI
Membership Regulations or Code of
Conduct, in a timely manner. This may be in relation to:
- Failure to satisfy a judgement debt
- A Bankruptcy order or IVA
- A criminal conviction
- Disciplinary action/sanction by their employer
- A disciplinary sanction/fine imposed by a Regulatory Body or other Professional Body
Please note that failure to report a breach could lead to a further disciplinary action being taken
against a member for non-disclosure.
How to Self-declare a disciplinary offence:
If not already declared, members are required to make a declaration via their annual renewals for Membership, SPS, CFP™ or Certificate of Professionalism.
Additionally, Members can make a declaration by emailing firstname.lastname@example.org with the following information:
- the nature of offence/incident
- chronology of event(s)
- relevant details and supporting documentation (Disciplinary Hearing invitation/Outcome letter)
- relevant written representations regarding the matter, which may include any mitigating circumstances you wish to be considered.
A disciplinary offence is a breach of the CISI Membership Regulations – these are the rules that govern the professional behaviour of all CISI members. A full list of disciplinary offences can be found in section 16
of the CISI Membership Regulations.
In summary, the Institute can take disciplinary action against any member who:
- (a) commits any act likely to bring discredit to himself/herself
- (b) performed work incompetently
- (c) failed to satisfy a judgement debt
- (d) entered into an Individual Voluntary Agreement (IVA) or International equivalent and defaulted on payment
- (e) breached any of the CISI Regulations
- (f) failed to pay membership
- (g) failed to undertake the required amount of CPD
- (h) failed to comply with an order of the Disciplinary Panel
- (i) pleaded guilty or been found guilty by a court of a criminal offence
- (j) received a penalty including a reprimand imposed by a Regulatory Body or other Professional Body
Please note a member shall not be considered guilty of a disciplinary offence by virtue of any act, omission or failure occurring at a time before they became a member of the Institute provided that the member made a full and frank written disclosure
of the act, omission or failure in connection with their application for membership.
If a member has been found to be in breach of the CISI
Membership Regulations and receives a sanction as listed under 19.2 of the
CISI Membership Regulations, they may incur an administrative cost in relation to the proceedings, which will be payable to the CISI.
Members may be awarded all or part of the administrative costs incurred from disciplinary proceedings, which usually are:
- Disciplinary Hearings – minimum of £500
- Administrative Sanctions- minimum of £100
Please note, cases that have pro-longed timelines, require legal representation or expert witnesses may lead to higher costs.
Costs allocated must be paid within 31 days of the date of the Disciplinary Panel’s order (or such longer period as the Disciplinary Panel determines). The determination of the allocation of costs, will be reviewed in relation to the member’s
The member will be able to make a representation in respect of costs and will also be given a timeline to appeal any decision made by the CISI.