Legal and Ethical Compliance Report: Monitoring and Communication

This report addresses legal and ethical compliance within a service program, focusing on a data breach scenario involving three employees. It defines data breaches and personal information, outlining various causes. The report details five compliance breaches, including confirming client information in public, delivering resources to the wrong clients, incorrect disposal of records, disrespect of professional boundaries, and failure to adhere to informed consent procedures. As a manager, the student proposes strategic responses for each breach, including identifying affected individuals, assessing impacts, notifying clients, and implementing corrective measures. The report also outlines future compliance monitoring strategies, such as annual self-assessments, yearly audits by qualified auditors, and providing support resources. Furthermore, it details the manager's steps to maintain their knowledge of compliance requirements, including research, ethical considerations, and continuous learning. Finally, the report describes effective communication methods for updating compliance knowledge, emphasizing transparency, training, and feedback sessions to ensure staff understanding and adherence to policies.

Running head: LEGAL AND ETHICAL COMPLIANCE
LEGAL AND ETHICAL COMPLIANCE
Name of Student
Name of University
Author Note

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Data Breach
A data breach can be defined as the access and disclosure or loss of private information
of a person without their authorization. Personal information can be defined as the information of
a person or an individual who is identifiable or identified. It should be made aware to the person
handling the information that information of an individual can become personal information
when combined with other data if it is seen to be resulting in the individual becoming identifiable
in a reasonable manner. A data breach can be occurring because of various issues like loss or
theft of personal information, disclosing the personal information of an individual to scammers,
employee’s access to an individual’s data without proper authorization, disclosing personal
information by human error.
In the current scenario 3 employees in the service program have been seen to be in breach
of compliance in regard to asking clients the confirmation of names and addresses in presence of
others, deliver of the resources to the wrong clients, disposing client records papers in a incorrect
way, disrespect of professional boundaries by staff member and disregard of the consent
procedures that had been informed to the staff member.
Strategic response for breach of compliance
As the manager of the service program my responsibility is to create a strategic response
for each compliance that has been breached. For the breach of the five compliances by the
employees the strategic response that needs to be developed is:
 Confirming names and addresses of clients in front of others:

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1. Identifying the person who has been affected
2. Finding out how the breach of the data could be affecting the victim
3. Making consideration for the context of the breach
4. Mandatorily notifying the client regarding the data breach and the necessary steps
taken for the safeguard of the data.
 Delivery of resources to wrong client:
1. Identifying the person who has been affected
2. Finding out how the breach of the data could be affecting the victim
3. Making consideration for the context of the breach
4. Mandatorily notifying the client regarding the data breach and the necessary steps
taken for the safeguard of the data.
 Incorrect disposal of client records:
1. Conduct a monitoring for compliance of the staffs as has been mentioned under
Compliance Monitoring and Support Framework.
2. Identifying point person who would be responsible for the organization’s overall
compliance and for delegating the responsibilities of auditing
3. Ensuring that the person who has been responsible for compliance monitor can also be
involving with processes used for getting outputs.
4. Establishment of checking of information in relation to the compliance with
medications of reconciliation.
 Disrespect of professional boundaries: for this breach of compliance a few steps I can
provide are
1. Conducting supervisory session with the staff to discuss about the issue

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2. Moving the client to another staff,
3. Reestablishing the boundaries of the staff.
 Staff member not adhering to informed consent procedure:
1. Ensuring that the roles of the staff are understood by them
2. Conducting supervisory session with staff to discuss about the issue
3. Reestablishing the boundaries of the staff.
Monitoring Future Compliance
For monitoring and ensuring that the staffs are in compliance of the policies of the
service program in the future I would have to take certain measures. These measures include-
 Providing for an annual self assessment for the employees. These self assessments help in
providing opportunities for reviewing an employee’s compliance with the requirements
of the service program. These assessments are seen to be supporting openness,
consistency and transparency.
 Providing a yearly audit for the assessment of the compliance of the staffs of the service
program. These audits would be conducted under the supervision of qualified auditors
and would be done based on the data analysis results of claims, complaints, audits of
claims, and other signals of risk. These audits would be conducted by randomly selecting
staffs for quality assurance and complementing risk based audits.
 Providing a range of supports for assisting the staffs for maintaining the requirements of
the compliance of the service programs. These supports are seen to be including website
of the program, CSPNs, lessons reports, annual reports, self assessment reports and user
guides. This guidance would also include the actions that have been resulting from the

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follow ups of complaints, audits and other methods of compliance monitoring
(Hearingservices.gov.au, 2019).
Maintaining own knowledge of Compliance Requirements:
There are certain steps I would need to take as the manager of the service program for
maintaining my own knowledge of the requirement of the compliance of the staffs. These steps
include:
 Researching for the information that would be required for the compliance of legal
procedure. These researches would be including the identification of the sources of
information of the requirements of compliance, accessing and interpreting information in
relevance of the area of work, identifying of risks, consequences and penalties on non
compliance of the staffs and evaluating the areas of own works and determining
requirements of the scope of compliance.
 Determining the ethical responsibilities that include identification of ethical frameworks
that can be seen to be applying to work context, incorporating as a part of the ethical
practices the scopes of considerations of practices and preparing a model behavior in my
own work.
 Identifying and using the opportunities for the maintenance of knowledge of the legal and
ethical requirements of current and emerging issues, sharing these knowledge with my
peers and staffs and engaging in the pro active process for the review and improvement
(Training.gov.au, 2019).

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Ways to communicate updated compliance knowledge
The updated knowledge of the compliance requirements that I need to communicate with
the staffs are to be done in certain ways. The effective ways for the communication of the
updated knowledge of the requirements of the compliance are:
 Being transparent- transparency in communicating policy updates, updating of the
policies of the work place, by way of holding staff meetings, handing out to the staffs the
hardcopies for the updated policies, sending information to the staffs about the updates
regarding the policies via emails, websites of the company and intranet.
 Scheduling on an ongoing or on the need basis trainings that are required for the complex
policies and for the changes in the procedures.
 Conducting sessions for feedbacks and incorporating opinions of the staffs and the
allowance for anonymous and confidential feedbacks for the comfort of the staffs in
voicing opinions regarding the company’s policies (Worksafe.vic.gov.au, 2019).

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Reference
Archives Act 1983
Freedom of Information Act 1982
Hearingservices.gov.au. (2019). Compliance Monitoring and Support. Retrieved from
http://www.hearingservices.gov.au/wps/portal/hso/site/prof/audit/!ut/p/a1/
nZHLUoMwFIZfRRcsMwmQtLBkaovQlo7jDdgwSbhFIVBIHfv2BnUrWrPIzJmc-
fKd88MUxjCV9E1UVIlO0maq00W2vSMLM0DW1nk6bJDnRY-
7cIMt5GP4DFOYcql6VcOkHrsr3klVSGWg_sQawQ1Ud22h74IOQlZZP3RlMY6f9NFA
9JQLNSF6LnKY5DahJkYUEE4YwAxz4Ba6dDFhy5yZnFCqnRLthH44HvqT8kwLIt8N
M18k2mGZWc6Nd-
tiMzisgzXyVv5D6DuB5RMC7y8cah64QxcDw9_WoNcoXo7H1NP5TZm9Kxj_N0DNs
ob9al9pRapqIGTZwfjrrW9bxz6D1zKKAGXO2W6q6w-8XFAW/dl5/d5/
L2dBISEvZ0FBIS9nQSEh/
Privacy Act 1988 (Cth)
Training.gov.au. (2019). training.gov.au - CHCLEG003 - Manage legal and ethical compliance.
Retrieved from https://training.gov.au/Training/Details/CHCLEG003#
Worksafe.vic.gov.au. (2019). Compliance code: Communicating occupational health and safety across
languages - WorkSafe. Retrieved from https://www.worksafe.vic.gov.au/resources/compliance-
code-communicating-occupational-health-and-safety-across-languages

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