Proactive Remediation Framework for Negligence
This criterion assesses the extent to which the organization has established and implemented a proactive and comprehensive framework for preventing and remediating professional negligence. It emphasizes a commitment to `Ihsan` (excellence), `Adl` (justice), and client welfare, going beyond compliance to foster a culture of accountability. The framework must encompass robust risk assessment, preventative controls, timely detection, effective corrective actions, and transparent reporting. Central to this is the principle of `La darar wa la dirar` (no harm and no reciprocating harm), ensuring remediation prioritizes harm removal and rectification. Compensation must follow a structured playbook based on `Dhaman` (guarantee) and `Al-Kharaj bi al-Daman` (entitlement by liability), prioritising `ta’widh` (actual, evidenced loss) while avoiding riba-based calculations, though complying with legal requirements for interest through Shariah-compliant handling where necessary. Amicable settlement (`sulh`) and arbitration (`tahkim`) should be offered in line with Islamic ethics and UK legal guidelines (e.g., Arbitration Act 1996). The framework must include clearly defined escalation pathways, independence safeguards for sensitive cases, and strict adherence to data protection laws (GDPR). Additionally, it requires specific regulatory mapping (e.g., FCA, SRA, CQC) to ensure all statutory rights and timelines are embedded.
Compliance 5
-
Incident File Handling Standard: UK GDPR/DPA 2018 compliant procedures for negligence records.Data Protection Essential
-
Candour & Communication SOP: Procedures for apology, explanation, and mitigation (Duty of Candour).Stakeholder Engagement Essential
-
Whistleblowing Framework: PIDA 1998 compliant workflow with triage, independence, and anti-retaliation monitoring.Governance Essential
-
Contractual Fairness Review: Annual review of T&Cs against CRA 2015 and UCTA 1977.Legal Essential
-
Serious Incident Reporting (Charity specific): Protocol for notifying the Charity Commission.Compliance Conditional
Good 8
-
Regulatory Applicability Matrix: Mapping of specific regulatory regimes (FCA, SRA, CQC, etc.) to the organization, defining mandatory timelines and rights.Compliance Essential
-
Risk Identification & RCA: Process using standardized RCA (e.g., 5-Whys) and CAPAs with effectiveness testing.Process Essential
-
Compensation & Redress Playbook: Guide for loss taxonomy, evidence, Shariah-compliant ta’widh calculation, and settlement templates.Process Essential
-
Harm Severity Matrix & SLAs: Defined matrix triggering specific SLAs, mandatory actions, and escalation.Process Essential
-
Governance & SRO: RACI matrix with SRO ('Amanah-holder') and quarterly Board/Shariah reporting.Governance Essential
-
Insurance/Takaful Adequacy Review: Annual stress-testing of coverage; Shariah approval for conventional insurance if used.Risk Management Essential
-
Sulh & Tahkim Adab: Shariah-compliant mediation/arbitration clauses with informed consent and neutral selection.Dispute Resolution High
-
Pre-Action Protocol Compliance: Checklists for early legal protocol adherence.Legal High
Better 4
-
Independence Safeguards: Defined triggers for independent investigation (e.g., Severity ≥3).Governance Essential
-
Proactive Client Engagement: Identifying concerns before they become complaints.Stakeholder Engagement High
-
Lessons Learned Database: Sharing anonymized knowledge to prevent recurrence.Continuous Improvement Medium
-
Restorative Justice Principles: Facilitated dialogue for emotional closure.Ethics Medium
Best 1
-
ISO 10002 Adoption: Certification or alignment for complaints handling.Process High
Related Criteria
Discussion (1)
📋 **Version updated: 1.0.0 → 2.9.7** **Changes:** Updated islamic_references from mizan-297.json
Sign in to post a comment.