First post 1 critique 1 response
The difference between ethics and security controls is passive versus active assurance. With ethics, individuals and organizations are given the expectation to intrinsically enforce themselves. Subsequently, the controls act as a tool of arbitration for breaches of ethics. Consequently, ethics should be written well enough for the controls to be followed instinctively.
Point 1: Ethics are subjective. Societal behavior is shaped by norms. Every civilization has both written and unwritten expectations that vary between cultures. Ethics is synonymous with these societal rules but is often more formalized in business settings. However, ethics are normally vague and subject to interpretation. Consequently, that’s why in most cases, ethics are followed by rules, laws, policies, and controls to specify intended behaviors (Valentine & Fleischman, 2008). For example, the SSCP Code of Ethics provides a broad framework for ethical behavior, but it requires the detailed implementation of security controls to ensure compliance and to address specific ethical dilemmas that may arise in different contexts.
Point 2: Controls enforce behaviors. Most individuals are innately compliant with rules. However, there will always be people who make mistakes or bad actors who intentionally disregard ethics (Zhou, 2024). Personnel Security controls as specified in NIST SP 800-53 provide a structured and enforceable approach to ensuring ethical behavior. These controls include measures such as background checks, access controls, and regular audits, which help prevent unethical actions by identifying potential risks and enforcing compliance. For instance, background checks can uncover past unethical behavior that might predict future actions, and access controls can limit opportunities for unethical behavior by restricting access to sensitive information.
Point 3: Controls provide accountability and deterrence. One of the most significant advantages of implementing Personnel Security controls is the establishment of accountability and deterrence mechanisms. When employees know that there are robust controls in place that monitor their actions and that there are clear consequences for unethical behavior, they are more likely to adhere to ethical standards. Regular audits and monitoring, as prescribed by NIST SP 800-53, ensure that employees remain aware of the oversight and are less likely to engage in unethical behavior. For example, an organization that regularly audits user activities on its information systems can quickly detect and address any deviations from expected ethical behavior, thereby maintaining a high standard of ethical conduct (Zhou, 2024).
In conclusion, while a Code of Ethics provides a foundational understanding of expected behaviors, it is the implementation of Personnel Security controls that ensures these behaviors are consistently followed. By providing clear guidelines, enforcing compliance, and establishing accountability, Personnel Security controls offer a stronger and more effective method for promoting ethical behavior within organizations.
References:
ISC2. (2024). ISC2 code of ethics. https://www.isc2.org/Ethics
National Institute of Standards and Technology. (2022). Special publication 800-53: Security and privacy controls for information systems and organizations. https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5.pdf
Valentine, S., & Fleischman, G. (2008). Professional ethical standards, corporate social responsibility, and the perceived role of ethics and social responsibility. Journal of business ethics, 82, 657-666.
Zhou, D. (2024, March). Combating insider threat in the open-world environments: Identification, monitoring, and data augmentation. In Proceedings of the AAAI Conference on Artificial Intelligence (Vol. 38, No. 20, pp. 22688-22688).
Second post 1 critique 1 response
In the context of promoting ethical behavior within an organization, a well-defined and effectively communicated Code of Ethics stands as the stronger method compared to the implementation of Personnel Security (PS) controls. While PS controls, as specified in NIST SP 800-53, play a critical role in safeguarding information systems through measures such as background checks, access restrictions, and monitoring, they primarily address the external actions and compliance of employees rather than their intrinsic ethical values and decision-making processes.
None to less a Code of Ethics clearly articulates the values and principles that an organization stands for, providing employees with a comprehensive framework for ethical decision-making. This is crucial because ethical behavior often involves navigating complex and nuanced situations that cannot be anticipated by prescriptive security controls alone. For example, a Code of Ethics for a financial institution like Wells Fargo might emphasize principles such as customer trust, honesty, and compliance with regulations, which guide professionals in making ethical decisions beyond mere compliance with procedures.
Code of Ethics helps to create a shared sense of responsibility and community within an organization. When employees are aware of and committed to a common set of ethical standards, they are more likely to hold themselves and their colleagues accountable. This collective commitment can be more powerful than external enforcement mechanisms, as it leverages the power of peer influence and organizational culture to promote ethical behavior. For instance, companies like Wells Fargo have a well-publicized Code of Conduct that emphasizes integrity and respect, fostering an environment where employees feel personally responsible for maintaining ethical standards.
Furthermore, a Code of Ethics provides a clear basis for ethical education and continuous reinforcement. Regular training sessions and discussions centered around the Code can help to keep ethical considerations at the forefront of employees’ minds. This ongoing engagement helps to internalize ethical principles, making them a part of the organization’s daily operations. Organizations with strong ethical cultures achieve significantly higher levels of employee engagement and lower misconduct rates.
In conclusion a Code of Ethics serves as a foundational document that articulates the core values, principles, and standards of behavior expected within an organization. It provides employees with clear guidelines on what constitutes acceptable and ethical behavior, fostering a culture of integrity and accountability. This culture is crucial because ethical behavior often extends beyond what is legally or procedurally mandated. For instance, a robust Code of Ethics can guide employees in situations where rules are ambiguous or where adherence to the letter of the law does not necessarily equate to doing what is right. While PS controls are indispensable for mitigating risks and ensuring compliance with security policies, they are inherently reactive and limited to the specific actions they are designed to monitor and control. In contrast, a Code of Ethics proactively shapes the ethical landscape of an organization by embedding ethical considerations into the daily operations and decision-making processes of its employees. It helps to internalize ethical behavior, making it a part of the organizational identity rather than a checklist of controls to be followed. While both a Code of Ethics and Personnel Security controls are important for ensuring ethical behavior, a Code of Ethics provides a more holistic and proactive approach. It cultivates a culture of integrity, guides behavior in complex situations, and encourages transparency and accountability, ultimately leading to a more ethically sound organization.
References:
National Institute of Standards and Technology (NIST). (2020). NIST Special Publication 800-53 Revision 5: Security and Privacy Controls for Information Systems and Organizations. Retrieved from https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5.pdf
Ethics & Compliance Initiative. (2021). 2021 Global Business Ethics Survey. Retrieved from https://www.ethics.org/global-business-ethics-survey/
Johnson & Johnson. (2021). Our Credo. Retrieved from https://www.jnj.com/credo/
