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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.

Compliance 5
  • Documented policies with clear triage (complaint vs. whistleblowing vs. safeguarding vs. HR)
    Documentation Essential
  • Formal whistleblowing policy with 'prescribed person' escalation routes
    Governance Essential
  • Serious Incident Reporting (SIR) decision tree and external reporting thresholds
    Compliance Essential
  • Confidentiality, anonymity, and GDPR-compliant data handling
    Process Essential
  • Robust anti-retaliation framework (defined behaviors, monitoring, remedies)
    Governance Essential
Basic 1
  • Staff awareness and training on speaking up
    Training Essential
Good 4
  • Clear investigation process: impartial, evidence-based (Tabayyun), and timely
    Process Essential
  • Conflict of interest protocol (recusal rules) for investigators
    Governance Essential
  • Tiered approach based on severity and 'Harm Removal'
    Continuous Improvement Medium
  • Mandatory recusal protocols for cases involving trustees
    Governance High
Better 4
  • Multiple accessible channels (incl. beneficiary-friendly, languages, third-party)
    Infrastructure Essential
  • Independent oversight or Board Whistleblowing Champion
    Leadership High
  • Learning loops: Root cause analysis feeding into risk registers
    Continuous Improvement High
  • Board reporting on themes, cycle times, SIR decisions, and culture
    Leadership High
Best 2
  • External reporting channel/hotline for high-risk/senior allegations
    Transparency High
  • Documented timeline commitments and 'mystery shopper' testing
    Continuous Improvement Medium

Related Criteria

TS-RDC-01 Multi‑scenario financial stress‑testing documented TS-RDC-03 Due-diligence on delivery partners TS-RDC-04 Serious-incident reporting & escalation TS-RDC-05 Cyber-security baseline (NCSC Cyber Essentials – UK) TS-RDC-06 GDPR accountability & DPIA log
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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