Ethical and Legal Compliance of an Organization

This article discusses the importance of ethical and legal compliance in an organization. It covers topics such as advantages and disadvantages of legal compliance, compliance training, and ISO 27001 certification.

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ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
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1ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
Table of Contents
A guide for all staff concerning ethical, legal and regulatory compliance pertaining to the
scenario............................................................................................................................................2
Advantages and disadvantages of legal compliance........................................................................3
Compliance training.........................................................................................................................5
ISO 27001........................................................................................................................................7
References......................................................................................................................................12

2ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
A guide for all staff concerning ethical, legal and regulatory compliance pertaining to the
scenario
Ethical compliance in an organization is applied for the growth of the company and also
for the employees. A well-designed ethical compliance policy helps the company and their
employees for making the decisions every day. The advancement of the business goes without
hampering the ‘dark-side’ (Alebrahim, Hatebur And Goeke 2014). The regulatory compliance
can be described as the goal of the organization.
 Due to the increase in the number of the regulations, the organizations can accept
this thing.
 This ensures the necessary governance.
 Regulating organizations are varying according to the different kinds of the fields.
 All data included in to the enterprise for the including of the law.
 It is used for the reporting of the specific requirements.
The regulatory compliance of the following:
 This focuses on the replacement and also the safety of the perspective and also the rigid
approach for the regulation that takes place in Australia.
 The industry has the requirement for making the changes for the way for doing the
business.
 It also focuses on the Point to Point transport that can be assist by ensuring all the
participants of the industry.

3ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
Advantages and disadvantages of legal compliance:
There are lots of the advantages and disadvantages of the ethical compliance of the
organization. The law applicable to the society can be put into the writing of the understanding
of the collective right and the wrong, and also these can be defined very clearly that these are
considered unacceptable (Board 2014). Advantages of the ethical compliance include:
 Local, federal and laws of the different states help to guide the major part of the
ethical policy of the company.
 At the very minimum level, policies should be very embracing for the application
of the laws. Most of the policies are not fit for the minimum requirement of the
law.
 The official policy is communicating for the employees that the unethical works is
not acceptable at any cost.
 Ethical issues will help a company for growing the work culture that is obeyed by
the laws related to the corporate work culture and will reduce the cost included
with the penalties and the different laws (Calder 2017).
 A policy related to the ethical compliance will help the company to make the
work culture of office in which all the personnel are treated with respect (Cots and
Casadesús 2015).
 Authority should give the equal access to all the staffs for enhancing the
opportunities and the workplace becomes very positive and also culturing the
environment (Disterer 2013).
 The ethical policies of the organization should be very simple in nature and it will
make the employees feel good about the working place in which they are working

4ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
and in the manner in which they are carrying their activities (Freshwater, Garcia-
Zalisnak and González-Ortiz 2013).
 The ethical policies of the organization should be very simple in nature and it will
make the employees feel good about the working place in which they are working
and in the manner in which they are carrying their activities (Freshwater, Garcia-
Zalisnak and González-Ortiz 2013).
 A rigid ethical policy in an organization helps for creating the strong relationships
in the working environment between the management and also the employees
(Hess 2015).
 It reduces the kissing of the employees from the organization and also improves
the moral of the company and it has the positive impact on the production of the
company.
The disadvantages of the ethical compliance include:
 It has the requirement of the total support of the authority be effective in
nature.
 If managers of the authority team decide for applying the own language of the
corporate policy so that they can manage the different departments, then the
clash of the different principles that can cause of the confusion in the office
(Hoy and Foley 2015).
 As the different movement of the company is very clear then the senior
managers should take the strong action if the ethical policies do not apply to
the organization (Hsu, Wang and Lu 2016).

5ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
 Development, implementation and the maintenance of the ethics are the
different compliance program within that organization which can be
expensive and also the time-consuming affairs.
 Ethical laws need to be updated in the continuous manner for displaying the
changes in the office premises and changes related to the culture of the
company as the organization grows in size (Isidro and Sobral 2015).
 Proper implementation of the ethical laws requires the employment of the
ethics officer in the company and the commitment required for the company
of the financial and the resources of the personnel.
 Companies related to the International activities that not only have the
adherence of the domestic laws of the Australia (Peterson 2013). These have
the monitoring the compliance with the laws and the norms of the behavior in
the other different systems related to the legal authorities and also for the
other cultures.
Compliance training:
The top level management of the company can provide different compliance training.
 It refers to the procedure of educating the employees related to the law, the
regulations and also the policy of the company that can apply on their day to day
responsivities related to the job (Simic-Draw et al. 2014).
 The company which engages the training related to the compliance that typically
hopes for accomplishing the several goals. It avoids and detects the violations by

6ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
the personnel that could lead to the legal capability in that organization. It is used
to create more careful and also the respectful in the office.
 The company can offer the employees for the training related to the compliance
on the huge range of the topics which includes the discrimination of the
workplace and also the different kinds of the harassment (Vanmeter et al. 2015).
It will also deal with the competitors, protects the sector related to the trade,
management of the different records and kickback and many others.
 Most of the compliances are offered for the employees in the annual or the bi-
annual manner. Training related to the code of conduct in the requirement of the
employees are taking different individual training programs.
 Training of the compliance is very important for ensuring that all the personnel in
that organization is aware of how properly to perform their job, so that the
company and their staffs are not in the position of the liability.
 With the various range of the different internal policies related to the
organization and also different procedures among different standards and the
procedures related to the industry (Warren, Gaspar and Laufer 2014). In the
today’s work culture, each and every industry is organizing different standards of
the regulatory issues for the information and also the data handling.
 The authorized regulatory compliance has to be proved the challenge related to
many businesses. Regulatory compliances have many aspects of keeping the
different details and the operations. Companies in all sectors are under the
tremendous pressure for explaining that the employees of that organization are

7ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
trained in the regard of the laws and the regulations and also different kinds of the
internal policies (Vanmeter et al. 2015).
 Most importantly, the companies in the information technology sector that faces
the stringent regulations and these are also applicable to the companies which are
publicly regulated, that have taken the lead by the firm-wide compliance
programs related to the training (Hsu, Wang and Lu 2016). For example, the
different IT companies trains their employees on the data security and the
information handling and many others. For the IT companies the required training
has to be given in the sector of the data hiding and also the information security.
ISO 27001:
ISO 27001 is the international standards that are authorized in worldwide for maintain the
task regarding the information security and also the data hiding (Hsu, Wang and Lu 2016).
 Certification of the ISO 27001 is allowing the person for proving that the client of
that company and also its stakeholders that the staff has to manage for the security
of the information of that organization.
 ISO 27001 provides the set of some standard that must be taken for the processing
based on the ‘Information Security Management System’ (ISMS). The standard
which has to be taken, the process that is based on the approach of the
establishment, implementation, operations, and also the monitoring and the
maintenance (Hoy and Foley 2015). This will help for the improvement of the
ISMS. This helps the organization to:
 Protection of the client data and the information of the employees

8ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
 Management of the risk of the information security in an effective manner.
 Achieving the compliance with the rules such as the European Union General
Data Protection Regulation
 Protection of the brand image of the company.
Protection of the information of the organization is very difficult for conducting the
successful management (Hess 2015). It also helps the authority of the organization for the
smooth operation (Disterer 2014). After getting the certification from the ISO 27001 that
company will able to maintain different kinds of the benefits:
 Securing the confidential information
 Providing the customers as well as the stakeholders with the confidence that how
you can manage this kind of the risk.
 Allowing the secure exchange of the information.
 Helping the company authority to integrate with the other regulations.
 Providing the company with the advantage related to the competition.
 Enhancement of the satisfaction of the customers that can be improved the
retention of the client.
 Consistent delivery of the service or the product provided by the company.
 Risk should be managed and minimized efficiently.
 It will protect the company, assets, stakeholders and also the directors
Certification of the ISO 27001 is accredited by the ‘INAB’ and ‘UKAS’ for auditing and
certifying the organizations to the ISO 27001 (Cots and Casadesús 2015). This means that it has
the authority for expert sing and also know-how to go into the company and also assess this one

9ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
according to the regarding the ISO 27001. The term Accreditation leads to the doubts for the
organization (Calder 2017). To make it clear, only the certification team is accredited for the
standards. In an organization, an employee is certified as the standard, as the certification body,
the ISO can certify their clients when they have met those requirements successfully.
Accreditation is the process by which a team of the certification is recognized for giving
the certification services (Burdon and Harvey 2015). For becoming an accredited, Certification
Europe is needed to implement the ISO 17021 standards. It is the set of the requirements for the
certification team for providing the audit and also the certification of the systems related to the
management. Certification Europe is audited annually (Board 2014). It is to ensure that its
services meet the exact requirements for the accreditation standard which is very relevant in
nature.
This certification is applicable to any sector organization. It can be very small or large.
The organizations include, bank, IT sector, financial, health and many others (Beckers et al.
2014). The standard also applicable to organizations who can maintain the high volumes of the
data on the behalf of the organizations such as the different data centers and the outsourcing
companies of the information technology (Alshitri and Abanumy 2014). This organization
provides the public and the in-house training for any kind of the organization for implementation
or assessing the Information Security Management System (Alebrahim, Hatebur and Goeke
2014). ISMS standards provide the security standards for the last three years and it is mandatory
to audit for ensuring that they are compliant. At the end of the three years, the company should
complete the reassessment of the audit for receiving the standard for the additional three years.
Personal data refers to the data, is all about the identification of the data.

10ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
 It comprises of the various kinds of the laws that can governed by the
collection, disclosure and also the use of the data.
 It can recognize the data rights of the individuals for the protection of the
personal data.
 It also includes the rights for accessing and also the correction of the data.
 It also provides the beginning of the national Do not all registry. This
registration allows the different kinds of the individual for registering their
name into this category.
 Here the various amounts of the data are collected and also used for
transferring the data to the third-party organizations in various kinds of the
causes.
 It also tells the individuals for the different kinds of the personal data that is
being used.
 Data protection is used to govern the different kinds of the collection from the
individual employees.
This report concludes that information security and the different ethical issues related to
the organization are very important. The company should give the proper training to the
employees as discussed above. This training will help the organization to improve ethical
standards. The company should take the ISO 27001 certification for enhancement of the
information and data security and also the ethical standards in that organization. The company
should follow the standards very carefully so that they can achieve the highest success. The
ethical issues can be resolved by providing the training to the employees. As discussed above,
there are lots of advantages and disadvantages of this ethical compliance.

11ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
References:
Alebrahim, A., Hatebur, D. and Goeke, L., 2014, August. Pattern-based and ISO 27001
compliant risk analysis for cloud systems. In 2014 IEEE 1st International Workshop on Evolving
Security and Privacy Requirements Engineering (ESPRE) (pp. 42-47). IEEE.
Alshitri, K.I. and Abanumy, A.N., 2014, May. Exploring the reasons behind the low ISO 27001
adoption in public organizations in Saudi Arabia. In 2014 International Conference on
Information Science & Applications (ICISA)(pp. 1-4). IEEE.
Beckers, K., Heisel, M., Solhaug, B. and Stølen, K., 2014. ISMS-CORAS: A structured method
for establishing an ISO 27001 compliant information security management system.
In Engineering Secure Future Internet Services and Systems(pp. 315-344). Springer, Cham.
Board, B.A.C., 2014. Professional and ethical compliance code for behavior analysts.
Burdon, W.M. and Harvey, J., 2015. A plea for adoption of ethical compliance. Journal of
Financial Crime.
Calder, A., 2017. Nine Steps to Success: an ISO 27001 Implementation Overview. IT
Governance Ltd.
Cots, S. and Casadesús, M., 2015. Exploring the service management standard ISO 20000. Total
Quality Management & Business Excellence, 26(5-6), pp.515-533.
Disterer, G., 2013. ISO/IEC 27000, 27001 and 27002 for information security management.
Freshwater, M.F., Garcia-Zalisnak, D.E. and González-Ortiz, N.E., 2013. Failure of plastic
surgical clinical trials to document compliance with international ethical guidelines: A
systematic review. Journal of Plastic, Reconstructive & Aesthetic Surgery, 66(1), pp.3-8.

12ETHICAL AND LEGAL COMPLIANCE OF AN ORGANIZATION
Hess, D., 2015. Ethical Infrastructure and Evidence-Based Corporate Compliance and Ethics
Programs: Policy Implications from the Empirical Evidence. NYUJL & Bus., 12, p.317.
Hoy, Z. and Foley, A., 2015. A structured approach to integrating audits to create organisational
efficiencies: ISO 9001 and ISO 27001 audits. Total Quality Management & Business
Excellence, 26(5-6), pp.690-702.
Hsu, C., Wang, T. and Lu, A., 2016, January. The Impact of ISO 27001 certification on firm
performance. In 2016 49th Hawaii International Conference on System Sciences (HICSS) (pp.
4842-4848). IEEE.
Isidro, H. and Sobral, M., 2015. The effects of women on corporate boards on firm value,
financial performance, and ethical and social compliance. Journal of Business Ethics, 132(1),
pp.1-19.
Peterson, E.A., 2013. Compliance and ethics programs: competitive advantage through the
law. Journal of management & governance, 17(4), pp.1027-1045.
Simić-Draws, D., Neumann, S., Kahlert, A., Richter, P., Grimm, R., Volkamer, M. and
Roßnagel, A., 2015. Holistic and law compatible IT security evaluation: Integration of common
criteria, ISO 27001/IT-Grundschutz and KORA. In Transportation Systems and Engineering:
Concepts, Methodologies, Tools, and Applications (pp. 927-946). IGI Global.
VanMeter, R.A., Grisaffe, D.B., Chonko, L.B. and Roberts, J.A., 2013. Generation Y’s ethical
ideology and its potential workplace implications. Journal of business ethics, 117(1), pp.93-109.

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Warren, D.E., Gaspar, J.P. and Laufer, W.S., 2014. Is formal ethics training merely cosmetic? A
study of ethics training and ethical organizational culture. Business Ethics Quarterly, 24(1),
pp.85-117.