You have learnt about the organisation's existing IP, ethics and privacy policies and procedures. Now, you must evaluate them. It means reviewing and assessing whether the policies are effective for the organisation. Doing so helps identify whether the policies serve the organisation's objectives. This process also confirms if employees understand and follow the policies.
Once the evaluation phase is complete, the next phase is implementing new or updated policies and procedures. It involves creating awareness, training employees and integrating the policies into daily operations. It ensures all personnel understand and follow the policies and procedures. This will reduce the risk of non-compliance, ethical misconduct or privacy breaches. In the dynamic ICT industry, this is crucial for maintaining the organisation's credibility.
The evaluation process will involve monitoring employee compliance within the organisation. It will also look into whether the policies and procedures help prevent infringement. Meanwhile, implementation will require you to set up and assist in maintaining the policies. This will include identifying potential risks and improvements in the policies and procedures. Once you identify them, you must communicate them to the relevant personnel.
By the end of this subtopic, you will learn how to:
- monitor compliance with organisational IP, ethics, and privacy policies and procedures
- evaluate whether IP, ethics, and privacy policies and procedures prevent infringement
- assist in maintaining, developing and implementing these policies and procedures
- communicate potential risks and improvements of these policies and procedures.
Before you determine if the current policies are working effectively, you need to ensure people are abiding by them. Then, you can get a clear understanding of their practical application. It will let you know whether any identified gaps are because of improper compliance or a lack of policies.
This process involves regular supervision and assessment of employee actions, practices and operations. It ensures employees are following the policies and procedures in their day-to-day responsibilities. It also checks if the policies and procedures are properly implemented.
First, you must know the personnel required to comply with the organisational policies and procedures. They refer to individuals and teams mandated by the organisation's policies to follow the guidelines. They may include any of the relevant personnel that may need support and advice. They may also involve employees with roles in protecting and fulfilling the policies and procedures.
To identify who the required personnel are, you can perform these practices:
- Review existing policies. Examine the current IP, ethics and privacy policies and procedures. They define their scope, purpose and the departments or roles they apply to.
- Map relevant departments or roles. Identify them through mapping if the departments or roles are not mentioned in the policies. Assess which departments and roles must be concerned with the policies. Then, create a map documenting the connections.
- Establish policy review committees. Engage with policy development or review committees. They are involved in creating, updating or interpreting the policies. Therefore, they can help you identify the personnel who must follow the policies.
- Consult with key personnel. Reach out to department heads, team leaders or compliance offers. As supervisors, they can guide you in identifying the required personnel.
Once you know the required personnel, you must also learn how to monitor compliance. You will start with understanding what it means to comply or abide by. It means employees observe and apply the policies and procedures in their work. There are indicators of whether the policies are properly followed or not. They are different for each policy.
The table below highlights the indicators of abiding by organisational policy and procedures for IP, ethics and privacy:
| Policy and Procedures | Indicators | Meaning |
|---|---|---|
| IP policy and procedures |
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| Ethics policy and procedures |
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| Privacy policy and procedures |
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Now, you can monitor the required personnel and know whether they are abiding by the policies or not. Here are the practices you can perform for it:
Schedule regular audits and assessments specifically targeting IP, ethics and privacy policies. You may also review past audits, policies and procedural documentation. Doing so will let you know whether compliance has improved, been maintained or become worse. You may also conduct interviews and surveys across different departments to know how they follow the policies. This practice will help you identify gaps, shortcomings and areas of non-compliance.
Set specific goals to track how well people follow the IP, ethics and privacy policies. You may use key performance indicators or KPIs. They are specific and measurable parameters for evaluation. Measure how closely personnel stick to the policies using numbers and observations. This will provide quantitative and qualitative insights into the level of policy compliance.
Establish clear reporting channels and incident handling procedures for policy violations. You may create accessible and confidential platforms. This will be where employees can report policy violations and handle incidents as they arise. This will commit everyone to practice compliance while addressing violations effectively.
Regularly assess the effectiveness of training programs on IP, ethics and privacy policies. You may do this by conducting post-training assessments or surveys. Doing so will assess how well employees keep and apply their understanding of the policies. This will identify whether the training is effective or if improvements are needed.
Identify the focus of the feedback. For example, you may have separate feedback for each policy. Then, select feedback mechanisms, such as surveys or structured interviews. Design the feedback tools addressing key aspects of the policies and distribute them. Once employees have given their feedback, collect and analyse them. Interpret responses to identify trends and areas for improvement.
Now, you must evaluate whether the implemented policy and procedures are effective. You will look into whether they prevent infringement of IP and privacy. This process will involve examining the effectiveness of each policy. It will assist in determining the impact of the implemented policies. As a result, it will identify potential loopholes or areas where the policies might be lacking.
Before you evaluate, you must know the different types of IP present in the organisation. They may include copyrights, patents, trademarks and trade secrets. You must also know the key legislation required in evaluating and implementing IP in the ICT industry. They promote innovation while keeping the rights of creators, innovators and businesses in the ICT industry safe. Here are some of the key legislations:
| Key Legislations | Description |
|---|---|
| Federal Register of Legislation - Copyright Act 1968 |
It governs IP and copyright protection. It outlines rights and responsibilities for original creative works such as books, arts and software. It grants creators exclusive rights to reproduce, distribute and perform their works. This safeguards the rights of content creators and encourages innovation and creativity. It sets limitations and exceptions for fair dealing. This balances the public’s interest in accessing and using copyrighted materials. This Act is relevant to, but not exclusive to, the ICT industry. It covers internet service providers and users, protecting their copyrights. It also impacts online platforms and digital content sharing, encouraging their responsible use. It allows copyright holders to ask courts to stop people from accessing websites that illegally use their content. It also prevents online service providers from being held responsible if their users break copyright rules. |
| Federal Register of Legislation - Patents Act 1990 | It establishes the legal framework for patent protection. It lists the patent requirements, the application process and the rights granted. It also covers infringement, revocation and compulsory licensing. It gives inventors and owners exclusive rights to their inventions. It protects new technological inventions, like software algorithms, methods and processes. |
| Federal Register of Legislation - Trade Marks Act 1995 | It sets the rules for registering and protecting trademarks. It outlines the requirements for trademark registration and the rights granted. It also explains what happens if someone copies the trademark. It helps organisations secure their brand identities. It prevents others from using similar ones that may confuse customers. |
| Federal Register of Legislation - Competition and Consumer Act 2010 | It ensures fair competition and consumer safety in the Australian market. It guides businesses on how they can use technology, IP, ethics and privacy. It ensures companies use people's information the right way. It also checks up on digital advertising, ensuring people get accurate information and fair treatment. |
| Federal Register of Legislation - Copyright Amendment (Online Infringement) Act 2015 | It focuses on online copyright infringement. It stops the unauthorised sharing of copyrighted IP online. It also helps copyright owners block websites that allow such sharing. It reminds people to respect creators' rights online. |
Finally, you must review the IP and privacy requirements the policies must protect. IP requirements are what individuals or organisations follow to protect their IP assets. They include copyrights, patents, trademarks and trade secrets. Meanwhile, privacy requirements refer to the standards or conditions that protect privacy. They include consent for data collection, data security and transparency in data practices.
The policies and procedures must prevent infringement of these requirements. If they are infringed, it puts the organisation at risk for violations and legal consequences. Here are some examples of infringed IP and privacy that organisations aim to prevent:
IP infringement
- Copyright infringement: It occurs when someone uses, reproduces or shares copyrighted material without permission. This includes using images, videos, text or software without proper licensing or attribution.
- Patent infringement: It occurs when someone uses, sells, makes or imports a patented invention or process without the owner's permission or license. It may include using a patented technology without authorisation.
- Trademark infringement: It is the unlawful use of logos, brand names or symbols protected by trademarks. It includes using a trademarked brand name or logo without permission. This could lead to confusion or misrepresentation of the brand's identity.
Watch
Watch this short video (5:24 minutes) to learn more about copyright infringement:
Privacy infringement
- Data breaches: These mean sensitive information has been accessed, lost, exposed or changed without permission. Hackers might exploit security vulnerabilities to obtain these data.
- Phishing attacks: These occur when a scammer pretends to be a legitimate source, such as a bank or government agency. Then, they trick employees into revealing personal or sensitive information. These often lead to identity theft or fraud.
- Surveillance violations: They are the monitoring or recording of private communications or activities without permission. They include illegal or unethical surveillance. An example is using spyware to track someone's activities without their knowledge or consent.
Watch
Watch this short video (0:59 seconds) discussing phishing attack examples:
To evaluate, you must look for indicators that the implemented policies and procedures prevent infringement. These indicators vary depending on the policy and procedures. Here are some common examples for each:
| Policy and Procedures | Indicators |
|---|---|
| IP policy and procedures |
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| Ethics policy and procedures |
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| Privacy policy and procedures |
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You can look for the indicators by performing these practices:
Observe activities, incidents and compliance in real time. Document all observations and examine them for indicators. You may employ continuous monitoring tools to ensure accuracy and efficient documentation.
Gather feedback from employees and relevant stakeholders. Ask them about the effectiveness of the policies and procedures in preventing infringement. Use various channels, such as in-person discussions or digital forms, to gather feedback. Then, check the collected feedback for the indicators.
Conduct a thorough examination of incident reports. Look for patterns, trends or anomalies in the reports. These may indicate whether or not the implemented policies and procedures are effective.
You have found out how to evaluate whether the implemented policies and procedures help prevent infringement. You must also implement processes to protect the organisation’s IP assets to make them more effective. It involves the practical application of security procedures for IP. Processes will vary depending on the IP type. Here are some processes you can implement to protect each IP type:
| IP Types | Processes to Protect IP |
|---|---|
| Copyright |
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| Patent |
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| Trademark |
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You learnt some of the processes that can protect different IP types. Now, you must implement them. You can follow these general practices:
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Implement robust security measures. Roll out processes for each IP category. Ensure you follow the security standards and protocols for each IP category.
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Conduct employee training on IP protection. Conduct training sessions to educate staff about the processes. Provide guidelines and instructions on handling, accessing and securing different IPs.
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Integrate into workflows. Integrate the processes into day-to-day operations and standard business procedures. Assist staff in following the processes in their respective roles by providing support and advice. You may use earlier discussions with staff to help you with this.
After the evaluation, you will contribute to maintaining the existing policies and procedures. Then, you will help develop new policies or revise existing ones to respond to the identified gaps. Of course, you will also assist in implementing them. It is a continuous process of review, adjustment and enhancement. It ensures policies remain robust and effective in protecting IP and privacy requirements.
Assisting in maintaining policy and procedures involves supporting their ongoing upkeep and improvement. It ensures policies and procedures are constantly updated and followed across the organisation. Its process includes the following five steps which do not necessarily need to be followed in a linear order:
Set routine reviews of existing IP, ethics and privacy policies. For example, you can schedule the review every quarter or twice a year. Then, invite legal advisors, compliance officers and other relevant personnel. During the review, check whether the policies and procedures are still relevant against constant changes in ICT. Also, determine if they are still current with changes in regulations.
Schedule regular meetings to align policies across departments. You may do this after every policy review or whenever there are known changes. Ensure the policies and procedures are applicable across departments. You may also create inter-departmental communication channels for open discussions on policy alignment.
Establish methods to monitor compliance among required personnel. Some examples include using KPIs and employee training. Continue and update these methods as necessary.
Give employees a structured way to share their suggestions and concerns about the policies and procedures. Take advantage of digital forms for convenience and accessibility. Keep the forms open 24/7 so employees can submit feedback anytime. Then, regularly review the feedback to assess areas that need improvement.
Track and record policy changes and updates. You may implement an automated documentation system for easy reference and legal compliance. You may also prepare a quarterly or bi-annual report for reference during reviews.
After maintaining the existing policies and procedures, start assisting in developing new ones. This means you must help create, refine and establish policies and procedures. Remember the potential policies and procedures you located earlier. Also, refer to the identified gaps from monitoring and evaluations. You will develop new policies and procedures based on them.
Here are the steps you must follow to assist with the development:
- Review existing documentation. Gather existing policies and procedures related to IP, ethics and privacy. Review them thoroughly, along with any identified gaps. Then, create an inventory to list all gaps and areas needing improvement.
- Research best practices. Conduct further research into industry best practices and legal requirements. Also, look into recent developments related to IP, ethics and privacy. Compare this information with the existing documentation and identified gaps. Doing so will help establish areas for improvement or new policy development. Summarise findings in a detailed report.
- Collaborate with stakeholders. Conduct meetings with cross-functional teams. Let every relevant personnel share their insights on the potential policies and procedures. Assign a liaison to collect and summarise the suggestions from various departments. Then, incorporate their suggestions into the development process.
- Draft policies. Establish a clear framework for creating or revising policies and procedures. Use a consistent template or structure for policy development. Then, draft policy content according to established guidelines and identified gaps.
- Collect feedback and iterate. Share the drafts with stakeholders for feedback. You can use survey forms or hold meetings for this. Then, revise and refine the drafts based on the received input. Ensure they align with the organisation's objectives and properly address the identified gaps.
- Seek review and approval. Submit revised drafts to legal and compliance teams for official reviews. You may also organise a panel review involving various departments for comprehensive validation. Clarify any remaining questions. Then, get formal approvals for the draft through signatures or stamps.
- Assist in developing an implementation strategy. Help develop a strategy for implementing the new or updated policies. Ensure it includes guidelines for informing employees and stakeholders about the new policies. Also, design training plans and communication strategies to support the implementation strategy. You may create visual aids or guides to assist during training sessions.
- Document and report. Maintain comprehensive records of the development process. Create reports summarising the policy development stages, changes and implementation processes. Store these documents securely for future reference and regulatory compliance.
Once new policies and procedures have been developed, you must also assist in their implementation. You will check whether the policies are effectively put into action. You will also ensure they are followed across the organisation and fit in day-to-day operations.
Although each policy has different focuses, they follow a general process for implementation. Here are the steps you can follow to assist in implementation:
- Prepare for roll-out. Organise the final documents and materials for distribution. Ensure the policies are formatted for easy accessibility and understanding.
- Schedule and communicate roll-out. Establish a clear timeline for policy dissemination across the organisation. Then, communicate the roll-out schedule to all relevant personnel and departments.
- Host training programs. Host training sessions for staff to understand the new policies thoroughly. You may also organise workshops and resources to support policy comprehension. Invite experts in IP, ethics and privacy policies and procedures to enrich these programs.
As mentioned, maintenance, development and implementation are a continuous process of review, adjustment and enhancement. You will have to constantly adapt to changes to comply with the policies and procedures.
Once the new policies, procedures and security measures are in place, you will also help maintain them. This means using the same maintenance processes for existing policies and procedures. You may go back to earlier discussions with staff and review those discussions to help you with this.
The maintenance process involved monitoring and gathering feedback from employees. You must communicate the insights, concerns and suggestions from it to relevant personnel. They may have potential risks and areas for improvement that can keep policies and procedures effective. It serves as a bridge between policy development, implementation and improvement. It enhances the success of implementing organisational policies and procedures.
The people you must communicate with are the same relevant personnel you must provide support and advice to. These personnel are:
| Employees across departments | They are most likely to be impacted daily by the policies and procedures. They must be aware of the potential risks to avoid or prevent them. They may also have valuable feedback on how the policies and procedures are currently working and how they could be improved. |
| Legal and compliance teams | They must know the potential risks in the policies and procedures to keep them compliant with relevant laws and regulations. They may also have insights into improving the policies and procedures. |
| Managers and team leaders | They can help ensure their teams know and follow the policies and procedures. By being told the potential risks and opportunities for improvement, they can manage them better. They can also provide feedback on the effectiveness and practicality of the policies and procedures. |
| IT professionals | They can help improve the implementation of the policies and procedures, knowing the potential risks and opportunities. They can also guide on the potential risks to IP, ethics and privacy posed by digital technologies. They can present opportunities to mitigate those risks as well. |
| Policy developers or implementers | They must know the potential risks and opportunities associated with the policies and procedures. They must address the potential risks in the policies they develop and implement. They must also use the opportunities for improvement to refine the policies. |
Now, you must know what to communicate with them. Potential risks are weaknesses, gaps or features that could lead to problems with IP, ethics and privacy. They could be legal, ethical or operational.
Before sharing any potential risks, you must know what they are. They may differ depending on the organisation. Here are steps to review potential risks in the organisation's policies and procedures:
Identify areas where potential risks may arise within the IP, ethics and privacy framework. Review each policy and look for areas that may pose problems. You may refer to the examples of potential risks listed earlier.
Assess the identified areas with potential risks. Determine how likely the risks may develop into an actual issue. Also, know its potential impact on the organisation. Consider the legal, financial and reputational consequences of each risk.
Prioritise potential risks based on their severity and the likelihood of happening. You can do this by ranking which risks pose the most significant threat and need immediate attention.
Document all identified potential risks, including their implications and priority. It must include descriptions of the risks, their potential impact and any related policy gaps.
After reviewing the risks, you must suggest or outline potential strategies to manage the risks. These strategies may involve revising the policies or implementing better security measures. It will help you develop processes for protection if you know the opportunities for improvement. They are the identified possibilities that can enhance the policies or procedures.
Here are the steps you can follow to identify the opportunities for improvement:
Review the feedback gathered from stakeholders or incident reports related to IP, ethics or privacy issues. Then, look for patterns or recurrent issues that may signal areas for improvement.
Revisit existing policies and procedures for IP, ethics and privacy. Focus on areas that have previously shown room for improvement or where improvement is possible. You can refer to identified areas where you see potential risks
Compare the existing policies with current industry best practices and trends. Highlight where the organisation's policies are falling behind or could benefit from updates.
Review the identified gaps and previous risk reviews. Use them as references to set clear, measurable objectives for policy improvement. Then, prioritise the objectives based on their impact and importance.
Document and summarise the newly identified potential opportunities for improvement within the policies. Create a report outlining areas of potential development based on the previous risk assessment.
Here is a table showing examples of potential risks and opportunities for their improvement:
| Policy and Procedures | Potential Risks | Opportunities for Improvement |
|---|---|---|
| IP policy and procedures |
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| Ethics policy and procedures |
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| Privacy policy and procedures |
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Since the potential risks and improvement opportunities are related, you can communicate them in one process. Here are the steps you can follow for it:
- Set the agenda. Determine the focus areas and structure of the session. Outline the objectives and identify key discussion points. Also, define the expected outcomes of the meeting.
- Prepare communication. Organise the documented potential risks and improvement opportunities into a well-structured presentation. Include visual aids, charts or graphs that help illustrate the critical focus areas. Also, use language and terminology appropriate for the relevant personnel. Doing so ensures clear and aligned understanding.
- Schedule meetings. Schedule dedicated meetings, ensuring the relevant personnel are available to participate. Set an appropriate amount of time for the meeting to cover essential points thoroughly.
- Present and discuss. Present the documented risks in a clear, understandable format. Then, introduce opportunities for improvement as part of the conversation. Encourage active listening and participation from the relevant personnel. Let them ask questions and discuss with each other to gain insight from various perspectives.
- Brainstorm mitigation strategies. Explore various strategies to manage and minimise the identified risks. Consider the opportunities for improvement you discussed. Encourage every relevant personnel to give suggestions and raise their opinions. This will foster an open discussion on how to prevent, control or eliminate risks.
- Plan action steps. Collaborate on developing action plans based on the inputs received. Create clear, actionable steps that address the identified risks. Take advantage of the opportunities for improvement. Then, establish timelines, responsibilities and resources needed to execute these plans effectively.
Here is a case study on how to protect the company data and ensure it follows ethical and privacy policies:
Case Study
Malcolm, the Communication Expert
Malcolm is an information security manager at the premiere fitness centre, Bounce Fitness. He assists in protecting the company data and ensures it follows ethical practices and privacy policies. Recently, there have been increasing concerns about information security and privacy. Malcolm communicates the potential risks and improvement opportunities to the relevant personnel.
To educate different departments, he organises training sessions. He plans to discuss the risks linked to data breaches. He also includes the importance of ethical behaviour and explains privacy regulations.
Understanding the need for clarity, Malcolm creates easy-to-understand materials. He makes userfriendly documents with graphics to highlight the risks in data handling and privacy breaches. He also points out where ethical decision-making and compliance processes could be improved. These materials are accessible on the company's intranet and shared during training.
Working alongside legal advisors and department heads, Malcolm coordinates the training sessions. These sessions aim to address identified risks and improve existing policies. He encourages employees to share their ideas. This makes them feel more engaged and accountable for necessary changes.
Through these efforts, Malcolm conveys the potential risks and improvement opportunities in IP, ethics and privacy policies at Bounce Fitness. This not only improves staff awareness but also prompts proactive steps to counter threats and update policies.
Malcolm contributesto establishing a secure, ethical and compliant environment at Bounce Fitness. He helps safeguard sensitive information and promote responsible behaviour among employees.
Quiz
