Legal and Ethical Compliance

This document discusses the scope of legal and ethical compliance requirements, including industry relations, work health and safety, business insurance, and management of complaints. It also provides policies and procedures for confidentiality and equal opportunities. Subject: Legal and Ethical Compliance, Course Code: N/A, Course Name: N/A, College/University: N/A

Legal and Ethical Compliance 1
Part A: Identify the scope of legal and ethical compliance requirements
Compliance is the act of adhering to rules. Compliance policies may be designed to
govern external undertakings of an organization, while at the same time ensuring that internal
procedures, rules, and policies are followed. Compliance policies require that ethical practices
are upheld in any organization. Management of compliance policies is the approach that is taken
by and organization to ensure that activities are undertaken in accordance to the laws, rules, and
regulation to which an enterprise is subject.
Community members entrust organizations with their data. Therefore, they usually expect
that the team leaders will ensure ethical and legal stipulations have been upheld in protecting
their information1. The burden of ensuring that all other team members behave in an ethical,
professional, and competent manner while discharging duties falls upon the shoulder of the team
leader/manager. This calls for familiarity with regulations, laws, standards, and rules that are
need to support service delivery to community members2. Following such procedures ensures
that people’s rights are protected, and standard high quality services can be delivered in a smooth
manner.
Industry Relations
This involves management of entitlements within the work area and obligations that have
been outlaid to employees and their employers. Industrial Relations is guided by the Fair Work
Act 2009 and addresses issues such as least wage, leave entitlement, unfair dismissal, and
protection from discrimination. The Community Sector Industrial relations service (CSIR)
supports non-profit enterprises that are in need of Human Resource Management and Industrial
Relations support and advice3.
Work health and safety
This is a critical policy that should be upheld by the managerial team in any community
organization. The Work Health and Safety Act 2011 (Cth) is a regulation that outlines the
approaches and responsibilities as they relate to safety and health within the work environment.
The act is a replacement of the Territory and States Act and Occupational Health and Safety Act
1991 (Cth). The baseline of all these Acts is directing team leaders in organizations to guard the
safety and health of employees4. The Act also stipulates that workers are held responsible for
1 B.A.C, Board, 2014. Professional and ethical compliance code for behavior analysts.
2 E.C, Blount, 2002. Occupational crime: Deterrence, investigation, and reporting in compliance with
federal guidelines. CRC press.
3 Weaver, R.K., 2014. Compliance regimes and barriers to behavioral change. Governance, 27(2),
pp.240.
4 S. Ingolfo, et al., 2014, October. Nomos 3: Legal compliance of roles and requirements. In International
Conference on Conceptual Modeling pp250.

Legal and Ethical Compliance 2
health hazards that exist in the work place as they are always expected to report on such matters.
WHS regulations ensure that the workplace environment is safe, and work associated illnesses,
incidents, and associated costs are reduced as much as possible. The WHS procedure and
policies rely on codes of practice, standards, and legislations.
Business Insurance
A team leader is mandated to come up with procedures and policies that guide insurance
of workers, public liability, and the manner in which workers are supposed to be compensated.
The policies are supposed to clearly address property damage, workplace risks, arson, equipment
damage, safety of volunteers, arson, and professional indemnity. The procedures are supposed to
indicate how public liability occurrences should be managed, and how workers will be
compensated when an accident occurs.
Management of Complaints
Complaints entail the satisfaction expressed by clients with regards to services that have
been offered. Existence or absence of a complaint depends on the approach that is taken during
service delivery. Complaints may be emailed, formal, or informal. A team leader in an
organization should clearly outline how complaints should be managed and resolved in the
quickest possible manner. Complaints policies should also entail instructions on how complaint
can be analyzed and results used to boost service delivery. Most importantly, complaints should
be handled very confidentially5.
Complaints can be handled externally or internally.
Internal Complaints management
An organization should set up processes that help to manage complaints. This will assist
families, and users of services to deliver complaints effectively. Fairness, absence of penalties,
and non-discrimination should be ensured regardless of the complaint. The following procedure
can be used to manage complaints internally6.
o Listening to a complaint that is being presented without taking a defensive stand.
o Validating the feeling of those who are making a complaint
o Outline and actions plan
o Record and report the complaint
o Make follow ups on how complaint is being resolved while constantly informing
complainant.
External Complaint Management
This is best achieved through employing the services of external agencies. This can be
achieved through consulting an advocate, counsellor, or Commonwealth Ombudsman.
5 F. Koetter, et al., 2014, September. Integrating compliance requirements across business and it.
In 2014 IEEE 18th International Enterprise Distributed Object Computing Conference p.200. IEEE.
6 S.Arjoon, 2005. Corporate governance: An ethical perspective. Journal of business ethics, 61(4),
pp.330.

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Part B: Develop two (2) policies and related procedures
CONFIDENTIALITY POLICY AND PROCEDURE
Aim
This policy is designed for volunteers, staff, schools, and any other person who may interact with
ABC’s confidential information.
Introduction
ABC’s confidential policy is defined as bellow;
Volunteers, Trustees, and staff should uphold this policy at all times. External organizations
using the confidentiality policy will have the policy elaborated to them. ABC aims to uphold a
high confidentiality standard in work related areas. This includes activities associated with staff,
children, and volunteer information. Breaches on the policy will result in disciplinary action for
staff members and termination of volunteer services7.
Children’s Information
1.1 Children’s information should always be treated as confidential. It can only be shared with
COD, teacher, or head teacher.
1.2 Confidentiality should be offered to children irrespective of their religion, medical concern,
gender, or race.
1.3 Children’s photographs should never be acquired in absence of direct permission from a
guardian or parent. Likewise, identification shouldn’t be achieved through name and photograph
association.
1.4 Where issues arise as a result of neglect or children abuse, ABC’s children protection policy
will come into effect.
Staff Information
1.1 In all circumstances, confidential information can only be offered to the staff member to
whom it relates.
1.2 Consent that has been provided for confidential data must be signed, written, and dated with
specifics of the information disclosure.
7 M.Fellmann, and A.Zasada, 2014. State-of-the-art of business process compliance approaches.

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1.3 Confidential information should never be divulged to volunteers or staff members or staff
members who are not related with the information.
EQUAL OPPORTUNITIES POLICY AND PROCEDURE
ABC is dedicated to ensuring that discrimination, harassment, and bullying is eliminated while
ensuring that diversity is encouraged between volunteers, the school, and children.
Aim
1.1 Volunteers, children, staff, and schools will act as representatives of the general society
1.2 All volunteers, and staff members should be made to feel respected so that they can offer the
best.
1.3 All forms of discrimination are opposed within ABC’s premises. In that sense, this policy is
aimed at offering fairness and equality to volunteers, and staff members or anyone to whom the
service is offered8. Disability, gender, age, marriage, maternity, ethnicity, nationality, sexual
orientation, or sex shall not be used as a basis for discrimination. Fairness shall be extended to all
staff members irrespective of their working schedules. Additionally, help will always be offered
and motivated to grow their potential fully.
Commitment;
1.1 Develop an environment that allows contribution/participation and personal differences of
volunteers and staff to be valued and recognized.
1.2 Ensure an environment that encourages respect and dignity is provided for volunteers, and
staff members.
1.3 Avail training opportunities and progression of skill growth for volunteers and staff members
absent of all forms of discrimination.
Breaching ABC’s policies on equality by volunteers and Staff will be regarded as
misconduct that will lead to disciplinary action or dismissal. Bullying and harassment will not be
accepted and existence of this will definitely lead to disciplinary action in accordance to ABC’s
grievance policies.
8 K.Pouliakas, and I. Theodossiou, 2013. The economics of health and safety at work: an interdiciplinary
review of the theory and policy. Journal of Economic Surveys, 27(1), p205.

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.
Bibliography
Arjoon, S., 2005. Corporate governance: An ethical perspective. Journal of business ethics, 61(4),
pp.343-352.

Legal and Ethical Compliance 6
Board, B.A.C., 2014. Professional and ethical compliance code for behavior analysts.
Blount, E.C., 2002. Occupational crime: Deterrence, investigation, and reporting in compliance with
federal guidelines. CRC press.
Fellmann, M. and Zasada, A., 2014. State-of-the-art of business process compliance approaches.
Ingolfo, S., Jureta, I., Siena, A., Perini, A. and Susi, A., 2014, October. Nomos 3: Legal compliance of
roles and requirements. In International Conference on Conceptual Modeling (pp. 275-288).
Springer, Cham.
Koetter, F., Kochanowski, M., Weisbecker, A., Fehling, C. and Leymann, F., 2014, September. Integrating
compliance requirements across business and it. In 2014 IEEE 18th International Enterprise
Distributed Object Computing Conference (pp. 218-225). IEEE.
Pouliakas, K. and Theodossiou, I., 2013. The economics of health and safety at work: an interdiciplinary
review of the theory and policy. Journal of Economic Surveys, 27(1), pp.167-208.
Weaver, R.K., 2014. Compliance regimes and barriers to behavioral change. Governance, 27(2), pp.243-
265.