TS-RDC-02
Trust & Stewardship
Risk, Data & Compliance
CORE
Compliance
v2.9.7
Complaints & whistle-blowing mechanism
Examines the systems for handling complaints (dissatisfaction with service, fundraising, or decisions) and whistleblowing (public interest disclosures of wrongdoing), distinct from personal grievances. Crucial for upholding *Amānah* (trust) and ensuring *Maẓālim* (redress), these mechanisms protect stakeholders from injustice, mitigate operational risk, and build a culture of integrity. The system must include clear routing: safeguarding concerns trigger immediate escalation under the Safeguarding Policy, while employment disputes follow HR grievance procedures unless public-interest wrongdoing is alleged.
Assessment Questions
- What triage criteria determine whether an issue is a complaint, whistleblowing disclosure, safeguarding concern, or HR grievance—and how is misclassification corrected?
- What are the thresholds and decision-maker(s) for Serious Incident Reporting (SIR) and external escalation (including prescribed persons), and how are decisions documented?
- How does the organization ensure that all investigations are conducted with impartiality, fairness (*'Adl*), and verification (*Tabayyun*)?
- What specific measures are in place to protect whistle-blowers from retaliation (including defined remedies and monitoring) and guarantee confidentiality?
- What lawful basis, retention schedule, and access controls apply to whistleblowing/complaints data, and when is a DPIA undertaken?
- How are findings analyzed to identify root causes, and does the Board receive reporting on themes, cycle times, and culture?
Evidence Requirements
- Documented Complaints & Whistleblowing Policies with Triage Matrix (incl. safeguarding/HR handoffs).
- Serious Incident Reporting (SIR) decision log (anonymized) and escalation criteria.
- Whistleblowing privacy notice, retention schedule, and access control list.
- Communication materials demonstrating accessible channels (e.g., web, phone, third-party).
- Anonymized case log showing intake, triage, investigation steps, and resolution.
- Records of channel tests (dates, scenarios, findings) and conflict-of-interest recusal records.
- Evidence of staff training on speaking up and anti-retaliation.
- Board reports on complaints/whistleblowing trends, outcomes, and lessons learned.
Scoring Guidelines
| Level | Rating | Description |
|---|---|---|
| 5 | 5/5 | Strategic culture of safety; independent effectiveness reviews; advanced analytics; proactive 'Hisbah' approach. |
| 4 | 4/5 | Effective, monitored system; retaliation tracking; GDPR audits; regular learning loops. |
| 3 | 3/5 | Formal policies with triage matrix; clear channels; staff trained; safeguarding/HR handoffs defined. |
| 2 | 2/5 | Basic policy exists but lacks triage, SIR integration, or awareness; ad-hoc handling. |
| 1 | 1/5 | No effective complaints or whistleblowing mechanisms; informal or reactive only. |
Related Criteria
Version
2.9.7
2025-11-05
Discussion (1)
Administrator
2026-03-07 11:07:50.474365
📋 **Version updated: 1.0.0 → 2.9.7** **Changes:** Updated islamic_references from mizan-297.json
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