Legal and Ethical Compliance

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

1LEGAL AND ETHICAL COMPLIANCE
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:

2LEGAL AND ETHICAL COMPLIANCE
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