Shariah Compliance Audit & Traceability
This criterion assesses the organization's commitment to ensuring that all ingredients, processes, and products/services are fully compliant with Shariah principles. It evaluates the robustness of the audit and traceability systems implemented to verify compliance throughout the supply chain. The system must ensure 'Tayyib' (wholesome, safe, ethical) standards, integrating safety and harm prevention (La darar wa la dirar) alongside Halal compliance. For non-food categories, this requires a defined 'Halal High-Risk Materials List' (e.g., leather, tallow derivatives, collagen, shellac, carmine, ethanol/IPA solvents). The audit process includes regular reviews of sourcing, production, handling, and labeling. Traceability must align with legal standards (e.g., UK/EU Article 18 'one-step-back, one-step-forward') and enable complete mapping of material provenance and BOMs to the component level. Compliance also covers ethical sourcing, screening high-risk suppliers for forced labor (Modern Slavery Act) as part of the Tayyib mandate. The objective is to provide assurance that products meet the highest standards of Islamic integrity, fostering trust and preventing fraud.
- Does the organization maintain a 'Halal Certification Acceptance Standard' (HCAS) to validate certifiers?
- Does the traceability system capture all mandatory fields (supplier lot, internal lot, BOM version) to ensure Article 18 compliance?
- How are high-risk non-food materials (e.g., leather, collagen, solvents) identified and controlled?
- Is there a documented CAPA process that requires root-cause analysis (5-Whys) and effectiveness checks?
- How are marketing claims and labels approved? Is there a substantiation pack for every halal claim?
- Does the Board of Trustees or Senior Management receive annual assurance reports on Shariah compliance?
- What are the specific rotation and independence policies for internal/external auditors?
- How does the organization screen suppliers for modern slavery and fraud risks during onboarding?
- What is the median time-to-trace and time-to-recall in the last two exercises?
- Are data integrity controls (ALCOA+) in place for traceability records?
- Shariah Compliance Management System (SCMS) manual and HCAS document.
- Halal certificates and the internal 'Certificate Registry' with validation logs.
- Traceability records showing one-step-back/one-step-forward links for sampled batches.
- CAPA logs showing root-cause analysis and effectiveness verification.
- Halal Claims Substantiation Packs (artwork, scope proof) for marketing materials.
- Supplier risk scoring rubrics and onboarding records.
- Inventory control evidence: Segregation maps, pallet labels, and line clearance checklists.
- Board/Management meeting minutes showing Shariah compliance review.
- Mock recall reports with time-stamps and success rates.
- DPIA and data retention policy for traceability systems.
| Level | Rating | Description |
|---|---|---|
| 5 | 5/5 | Exemplary compliance. ≥99% SKU traceability with data quality checks. 2+ external audits/year. Mock recall ≤4 hours. Zero repeat critical non-conformances in 24 months. Claim substantiation pass rate ≥99%. |
| 4 | 4/5 | Strong compliance. ≥95% traceability (one-step-back/forward). 1 external audit/year. Mock recall ≤8 hours. Repeat critical NC rate ≤1/year. Data quality rules enforced. |
| 3 | 3/5 | Moderate compliance. ≥80% traceability. Internal audits conducted. Basic CAPA process without deep root-cause analysis. Mock recall ≤24 hours. |
| 2 | 2/5 | Weak compliance. <60% traceability. Ad-hoc checks. Limited supplier verification. Significant improvements required. |
| 1 | 1/5 | No Shariah compliance demonstrated. No traceability or audit records. Immediate action needed. |
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📋 **Version updated: 1.0.0 → 2.9.7** **Changes:** Updated islamic_references from mizan-297.json
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