Establish organisational requirements to comply with IP, ethics, and privacy policy procedures

A policy is a set of rules or guidelines an organisation sets to direct its operations. Meanwhile, procedures are step-by-step instructions you must follow to put the policy into practice.

Policies and procedures typically go together. They can be existing or currently in place. This means they are already established and implemented within the organisational structure. There are also potential policies and procedures. They are being considered by the organisation, reflecting their future direction.

Locating both existing and potential is part of establishing organisational requirements. For existing policies and procedures, it means finding their source within the organisation. It involves identifying where they are stored or published. It allows organisations to recognise areas that need improvement or changes. Meanwhile, locating potential policies and procedures means finding the ones the organisation may need to implement in the future. They could address emerging challenges, industry changes or improvements needed in the organisation.

The process of locating is the basis of developing new organisational policies and procedures. It helps avoid redundancies, address shortcomings and maintain consistency. It also prepares the organisation for future changes and challenges with IP, ethics and privacy. First, you must know what the policy and procedures mean and include.

IP Policy and Procedures

An IP policy defines how the organisation creates, owns, uses and protects its IP assets. It includes patents, trademarks, copyrights, trade secrets and other innovations. Meanwhile, IP procedures outline how IP must be managed, ensuring compliance with the policy.

IP policy and procedures are important for the following reasons:

The existing and potential policies and procedures vary depending on the organisation. Here are examples of key policies and procedures related to IP:

• Copyright policy and procedures: They address copyright-related matters within the organisation. These protect digital works, such as software, databases and content, from unauthorised use or copying. They also guide employees on how to use copyrighted materials. A key procedure example for this policy is identification and registration. Register original works with the Australian Copyright Office to establish ownership and protection.
• Patent policy and procedures: They protect new inventions or ideas, ensuring others cannot copy or use what the company has created without permission. These help the organisation keep its innovations safe. A related key procedure for patent policy is the invention disclosure process. It asks employees to disclose new inventions and developments within the organisation.
• Trademark policy and procedures: They focus on the protection and use of the organisation's trademarks. They outline guidelines for the correct representation, licensing and enforcement of trademarks. These protect the organisation's brand identity and distinctive marks used in the ICT industry. A key procedure for trademark policy is trademark enforcement. It monitors and responds to potential trademark infringements or unauthorised usage.
• Cybersecurity IP protection policy and procedures: They focus on protecting the organisation's IPs from cybersecurity threats and data breaches. A key procedure included in the policy is incident response plans. It involves developing and testing response plans in case of IP theft or data breaches.
• Global IP expansion policy and procedures: They guide the expansion of IP protection internationally for Australian ICT organisations. An example of a key procedure for this policy is cultural IP adaptation. It is the process of customising IP strategies to suit culture and legal differences in international markets. It considers local regulations and practices.

Organisations keep documentation of IP policies and procedures. There are different ways to organise them, but here are examples of key documentation:

Key Documentation	Description
IP policy documents	These outline the organisation's stance on IP, such as its commitment to protecting and managing IP assets. These also give an overview of the policy's guiding principles. These might include details on relevant legislation for ICT-related projects.
IP assignment and ownership agreements	These are legal agreements that establish the transfer of IP ownership from employees or external parties to the organisation. They clarify the rights, responsibilities and compensation related to the assigned IP.
Non-disclosure agreements (NDAs)	These are legal agreements used to protect confidential information shared with external parties. They safeguard information during collaborations with employees, contractors and third-party partners. These ensure information remains confidential and will not be disclosed to unauthorised people.

Knowing the key documentation may help in locating the existing policies. You must also know the key organisational communication processes. These processes are how information is shared within the company. They help employees work together and make good decisions. They are helpful in locating potential policies and procedures. Here are the key organisational communication processes related to identifying IP policies:

Organisations also have key organisational communication procedures related to identifying IP policies and procedures. These procedures are rules when sharing information. They make sure communication is clear and professional. Here are some of the key procedures:

Ethics Policy and Procedures 

An ethics policy sets the expected conduct concerning interactions within the digital landscape. It focuses on using technology fairly and behaving professionally in ICT-related work. It also prevents misuse, like unauthorised access or hacking. It is crucial for dealing with unique challenges, such as using artificial intelligence (AI). The ethics procedures detail step-by-step instructions on how to implement and follow the policy. Together, they ensure ethical principles, values and professional standards are followed.

There are varying types of existing and potential policies and procedures for codes of ethics. Here are some key ethics policies and procedures that may be existing or considered by the organisation:

• Confidentiality policy and procedures: These list what information is considered confidential and who has access to it. They also outline the measures to maintain its confidentiality. They require employees to maintain strict confidentiality of client information and sensitive data. A related key procedure is secure data storage. It helps employees keep information in restricted access folders and encrypted databases.

• Conflict of interest policy and procedures: These define guidelines to address conflicts of interest in ICT-related work. To carry the policy out, the employee must disclose any conflicts of interest with their professional work. There must also be reviews to assess conflicts. The employee may also have to follow protocols for managing conflicts.

• Integrity policy and procedures: These outline the expected standards and behaviour of employees while representing the organisation. They guide the employees on how to conduct themselves with honesty and integrity. They emphasise preventing manipulation or misuse of data for personal gain. These ensure transparency, fair practices and responsibility in their work. A related procedure for this is conducting regular training on integrity principles. It also requires performance evaluations and a reporting system for ethical violations.

• AI and automation ethical policy and procedures: These are focused on the ethical guidelines for developing and using AI and automation technologies. Related key procedures for this include the development of ethical AI frameworks and having a committee for it. It involves putting ethical considerations into the design and use of automation technologies.

• ICT environmental sustainability policy and procedures: These address ethical responsibility toward environmental sustainability in ICT operations. They have procedures for applying energy-efficient computing systems. They also outline the steps for reducing e-waste and disposing of electronic equipment.

Additionally, there are established ethics policies and procedures applicable to ICT professionals. They include the following:

Established ethics policies and procedures	Description
Rules & Regulations (acs.org.au)	Australian Computer Society (ACS) established this regulation. It outlines the ethical standards and conduct expected of ICT professionals in Australia. It emphasises three core values: honesty, trustworthiness and respect.
Code of Ethics (acm.org)	It is a global set of guidelines for computing professionals by Associate for Computing Machinery. It emphasises ethical considerations in computing practice. It provides explicit guidance on issues like IP, user privacy and the societal impacts of computing
Procedures for determining breaches of the Code of Conduct and for determining sanction | Department of Social Services, Australian Government (dss.gov.au)	These are procedures established under subsection 15 (3) of the Public Service Act 1999. They provide a clear and fair process for handling reports of code of conduct breaches in Australian public service.

Like IP, organisations also have documentation of their ethics policy and procedures. The key documentation includes the following:

• Code of Ethics Handbook: This comprehensive document details the organisation's code of ethics. It includes the principles and expected behaviours for employees and relevant stakeholders. It has specific guidelines for the responsible use of technologies, such as AI.
• Ethics policy document: It details the policies and procedures related to the ethical conduct of employees. It outlines the specific guidelines on how employees must handle various situations ethically. It may also include guidelines for reporting ethical violations or concerns.
• Conflict of interest disclosure forms: These are forms employees fill out to disclose conflicts of interest. They may also detail how each conflict is managed. Be mindful in reviewing these documents as they may contain employees' personal details.

There are also key organisational communication processes related to identifying ethics policies. Here are some examples:

• Ethics policy introduction: Introduce the organisation's ethics policies to all employees and stakeholders. Outline every detail and explain their relevance to the ICT industry.
• Ethics training sessions: Arrange sessions or workshops focused on ethical conduct and the code of ethics tailored for ICT staff. These sessions help raise awareness and provide practical examples of ethical decision-making.
• Code of Ethics distribution: Distribute the Code of Ethics and related policies to all employees. You can distribute them in digital and printed formats, ensuring easy accessibility and reference. 

Meanwhile, here are the key organisational communication procedures for identifying ethics policies:

• Anonymous reporting mechanism: Allow employees to report ethical violations or concerns anonymously. This will protect them from potential backlash, encouraging them to be honest.
• Feedback collection: Implement procedures for collecting feedback from employees. Encourage them to suggest ways to improve ethical policies and procedures for ICT.
• Ethical dilemma escalation: Establish structured procedures for managing complex ethical dilemmas. Include steps for escalating issues to higher management or ethics committees for resolution. They ensure complex ethical challenges are addressed appropriately within the organisation. 

Privacy Policy and Procedures 

A privacy policy explains how a company gathers, keeps, uses and shares personal and sensitive information. It focuses on managing data in digital spaces. Meanwhile, privacy procedures protect people's privacy and ensure compliance with privacy laws.

Here are some examples of existing and potential key policies and procedures for privacy:

• Data security and encryption policy and procedures: These outline guidelines for securing data through encryption methods. They ensure sensitive information remains protected from unauthorised access or breaches. A related key procedure includes regular encryption of stored data. It involves applying encryption techniques to protect data at rest. It includes those stored in databases, files or systems within the organisation's infrastructure.
• Access control and user permissions policy and procedures: These set rules for controlling access to sensitive information and systems. They define who can access what data within the organisation. These also require employee access to be revoked immediately upon termination. Some of the key procedures include implementing multi-factor authentication and role-based access control.
• Incident response and data breach policy and procedures: These define the steps to be taken during a data breach or security incident. They aim to minimise the impact and ensure compliance with reporting regulations. A key procedure related to it is incident reporting. It involves following a clear reporting structure, including steps for containment and communication.
• Data minimisation and retention policy and procedures: These limit data collection to only what is necessary for the organisation. They also define timelines for keeping data to maintain privacy. Procedures for this policy include regular audits for unnecessary data. They also involve setting retention periods for different data types.
• Ethical use of emerging technologies policy and procedures: These address ethical considerations when adopting emerging technologies. They ensure user privacy and data protection are maintained even when changing technologies. These involve procedures for risk assessments for new technologies. They also include forming ethical guidelines for data handling and user consent.

Additionally, there are general privacy policies and procedures that guide organisations. Some examples are the following:

General privacy policies and procedures	Description
Guidelines for Cyber Security Incidents | Cyber.gov.au	These guidelines are for managing and responding to cybersecurity incidents. They have a wide range of focus, including handling personal information and data protection. They provide a structured approach to incident detection, response and recovery.
What is a privacy policy? | OAIC	This policy is by the Office of the Australian Information Commissioner. It serves as a guide on how organisations must handle personal information. It details the types of personal information collected, its usage and measures to ensure security.

You may find these policies and procedures in different documentation. Here are the key documentation for privacy policy and procedures:

• Privacy policy documents: They contain the organisation's privacy policy. These explain the practices related to data privacy and user information protection. They may include data handling guidelines, which are instructions for proper data handling. These ensure ICT support staff follow best practices for privacy protection.
• Privacy compliance records: These are a set of documents encompassing records of privacy audits and assessments. They demonstrate the organisation's commitment to privacy compliance.
• Consent forms: These consist of documented user consent obtained for data processing. They guarantee the organisation follows privacy regulations and secures consent from users.
• Privacy breach incident reports: They comprehensively document instances of privacy breaches. They detail the incident's specifics, containment strategies and notification procedures. They ensure transparency and compliance with breach response protocols.
• Data breach response plan: It details the response strategy in case of a data breach or security incident. It includes protocols for incident reporting, containment, investigation and notification.

You must also know the key organisational communication processes related to identifying privacy. They include the following:

• Privacy policy awareness campaigns: Regularly communicate the importance of the privacy policy. You may distribute content infographics or short videos. You can do this through emails, newsletters and intranet portals. You can also use communication platforms like Slack or Microsoft Teams.
• Privacy policy updates: Set up effective communication channels to keep ICT staff updated on any changes or updates to the privacy policy. This ensures everyone stays informed about the latest privacy guidelines. You may use automated email alerts for real-time updates on privacy policy changes.
• Consent management process: Explain how the user data will be used. Then, outline the policies for providing and withdrawing consent for data processing activities.

Meanwhile, here are the key organisational communication procedures for identifying privacy:

• Privacy policy review and update procedure: It outlines the procedure for reviewing and updating the privacy policy. It ensures the policy remains current and follows the changing privacy regulations. It also defines the person responsible for the reviews and the update frequency.
• Privacy incident reporting procedure: It sets up step-by-step procedures for ICT staff to report privacy concerns they encounter at work.
• Consent management procedure: It details how to handle consent for data processing activities. It includes obtaining and recording consent. It also provides options for withdrawing consent and ensuring compliance with consent-related regulations. 

Locating Existing and Potential Policy and Procedures 

Locating the existing and potential policies and procedures means finding each documentation. Organisations may have different ways of organising the documentation. However, here are the common approaches:

There are common places where you can locate the documentation. They include the following:

• Employee handbook or policy manual: It serves as a centralised resource for employees. It houses various organisational policies and procedures, including IP, ethics and privacy. Employees can use the handbook or manual to find relevant policies and procedures.
• Intranet or internal portal: It is a digital platform accessible to employees within the organisation. Typically, it has a dedicated section for policies and procedures.
• Shared network drive or document management systems: Some organisations use shared network drives or document management systems. These systems allow the creation of folders or directories to store all policy files. These allow employees to access all policies from a centralised location.

Having learnt the documentation of policies and procedures, you can start locating them. There are different ways of locating existing and potential policies and procedures. They may depend on the preferences or established processes of the organisation. First, here are five methods to locate types of existing IP, ethics and privacy policies and procedures:

Location methods	Description
Review internal documentation	Review the key documentation for each policy. You may refer to the types of documentation listed earlier. You may also examine other internal documents, such as contracts and agreements. They may outline the organisation's IP, ethics or privacy policies and procedures.
Consult with management or legal teams	Seek guidance from teams managing IP, ethics and privacy. They can tell you where to locate the most updated and accurate documentation. They also can provide insights into the policies and procedures. You may reach out to them in person or through email.
Search internal databases.	Explore any internal databases that store information about IP, ethics and privacy policies. You can look into the intranet portal or any document management system the organisation uses.
Search using keywords	Use search engines to look for IP, ethics or privacy policies and procedures. Enter keywords like 'ethics policy' or 'privacy policy.' The search engines must give you quick access to the existing policies and procedures.
Identify creators	Know the individuals within the organisation who created new technologies, products or solutions. They can give you valuable knowledge of the company's IP, ethics and privacy guidelines.

Meanwhile, locating types of potential policies and procedures involves external sources. Here are the methods you must follow to locate types of potential IP, ethics and privacy policies and procedures:

You have found out how to locate the existing and potential policy and procedures for IP, ethics, and privacy. It involved knowing the various types of policies and procedures within the organisation. You have also learnt where these policies and procedures can be found. These are preparation steps for the next process, which is determining the specifics of each policy and accessing them. This process assists in developing organisational IP, ethics and privacy policies and procedures. Here are some methods to develop these new policies and procedures:

• Understanding for alignment: It involves comprehending and gaining access to the current policies. This understanding is crucial for aligning the new policies with the existing ones. It ensures the new policies comply with established standards.
• Enhanced improvement and integration: It aids in improved policy development. It leverages successful strategies and integrates them into the new policies. It ensures the new policies fit well within the organisational framework.
• Risk mitigation and legal adherence: It helps identify risks and ensure legal compliance. Both of these processes directly impact the development of effective new policies.

Now, you must determine the specific policies and procedures the organisation follows. It means knowing the exact policies and procedures the organisation has. Then, you recognise and understand their content.

The process for determining can be applied to IP, ethics and privacy policies and procedures. The steps that make up the process do not have to be followed in a linear sequence - they can be flexible and may occur simultaneously. Here are the five steps you must follow to determine the organisation's policy and procedures:

After determining the organisation's policies and procedures, you can access them. It involves retrieving the policy documents or information from the identified sources. It also includes getting the necessary permissions or authorisation to access the policies. Here are the practices you can apply to access the organisation's policies and procedures:

• Determine authorisation: Ensure you have the necessary approval or permission from relevant authorities. This means seeking the green light from your supervisors or designated personnel. For example, you may ask your supervisor's permission to open certain locations. Always refer to your organisation's policies and procedures to get information.
• Authenticate your identity: Confirm your identity following the organisation's security protocols. This may involve using unique login credentials or multi-factor authentication. This practice helps protect the confidentiality of the documents.
• Follow access procedures:Comply with any specific access procedures or guidelines set by the organisation. You may have to submit access requests or sign NDAs. You may also need to complete training on protecting and handling the documentation.
• Respect usage restrictions: Be aware of any limitations or restrictions associated with IP, ethics and privacy documents. For example, IP restrictions relate to copyrights, licenses or agreements. They define how IP can be used, shared or adjusted. In essence, this practice ensures the ethical, legal and responsible use of various information.
• Maintain confidentiality and security:Follow the organisation's security measures when accessing the policy and procedures. This involves using encryption, secure networks or complying with data protection measures.

Now, you must use your understanding of an organisation's IP, ethics, and privacy policy and procedures to identify your role in protecting and fulfilling them. This involves knowing one's responsibilities within the established policies. It also lets you know what responsibilities are needed for the potential ones the organisation aims to develop.

This process helps you understand the implications of the policies in various roles. This contributes to creating policies that align better with daily operational practices. The policies can then be customised to suit various roles and departments. Policies are more likely to be followed when they resonate with the actual tasks and responsibilities of employees. Most importantly, clear roles help identify and mitigate potential risks or vulnerabilities. This prevents the infringement of IP, ethics and privacy requirements.

IP requirements refer to the specific conditions, rules or standards related to IP. They are what individuals or organisations must follow to protect their IP assets. They include the following:

• Clear definitions and scope: Establish what qualifies as IP within the organisation. Also, categorise IP under various categories, including patents, trademarks, copyrights and trade secrets.
• Data classification: Categorise IP based on sensitivity, importance and handling requirements. Different types of IP may require different levels of protection.
• Ownership and rights: Clarify who owns the IP created within the organisation. Then, specify the rights and responsibilities of employees, contractors and third parties about IP. This is crucial for avoiding disputes and ensuring proper management of IP assets.
• Confidentiality and non-disclosure: Implement strict confidentiality and NDAs. Doing so will protect trade secrets and other confidential information from unauthorised disclosure.
• Registration and enforcement: Use procedures for registering IP with relevant authorities and enforcing IP rights. This protects against infringement and outlines a procedure for responding to unauthorised use.
• Licensing and usage: Set guidelines on how IP assets can be licensed and used inside and outside the organisation. Ensure employees, stakeholders and third parties use IP aligning with the organisation's goals.

Infringement of these IP requirements happens when rules regarding them are violated. An example is when someone else is using IP without proper authorisation.

Meanwhile, ethics requirements are ethical expectations and standards individuals or organisations must observe. Here are some examples:

Ethics infringement happens when someone behaves against the requirements, whether intentionally or not. For example, an employee may intentionally share information with a competitor for personal gain. Another example is an employee unknowingly including sensitive information in a presentation.

Lastly, privacy requirements refer to the standards or conditions that protect privacy. They safeguard personal information, prevent unauthorised access and maintain confidentiality. Examples include the following:

• Consent for data collection: Individuals' permission must be sought before collecting or using their personal information.
• Data security: There must be measures to protect information from unauthorised access, alteration or destruction.
• Data collection limitation: Only necessary and relevant information should be gathered. Do not collect excess and unnecessary data.
• Transparency in data practices: Organisations must be open about their data practices. This includes informing individuals about the purpose and use of their information.

Similar to IP, privacy infringement happens when the requirements are violated. It may include sharing someone's personal information without their consent or permission.

Protecting these requirements involves safeguarding the guidelines laid out in the policies. It means preventing breaches or unauthorised use of IP or private information. Meanwhile, fulfilling the requirements involves meeting the conditions set in the policies. It ensures compliance with legal and ethical standards to prevent infringement.

Given this knowledge, role refers to individuals' specific responsibilities in upholding the organisation's IP, ethics and privacy policies and procedures. Here are some possible roles in protecting and fulfilling the policy and procedures:

Role	Description
Compliance officer	They ensure employees follow the policies and procedures regarding IP, ethics and privacy.
Data protection specialist	They implement measures to protect private and sensitive information.
Legal advisor	They provide guidance on legal standards and ensure policy alignment with regulations.
Policy developer	They create and update policies and procedures related to IP, ethics and privacy.
Policy reviewer	They review potential issues or breaches to the policies and propose solutions or changes.
Employee education and training officer	They conduct training sessions to ensure awareness and understanding of these policies.
Information security manager	They oversee the security of digital information and IT systems in compliance with policies.

Each role helps ensure the policies are followed, and potential infringement is minimised or avoided.

Watch

Watch this short video (1:25 minutes) of an IT compliance manager sharing a day in their life. In what ways do the responsibilities and challenges discussed in the video relate to the protection of privacy and information security?

To identify your role in protecting and fulfilling the policies and procedures, you can follow several steps. They do not necessarily follow a single, linear process. They can be dynamic and adaptable based on your job and access to policy-related resources. Here are the steps you can follow:

After understanding your role, you must provide support and advice to relevant personnel. This step focuses on helping others understand their roles within the policies. This includes explaining standards and assisting personnel to follow the policies effectively.

This process helps align policies with practical operations. It also fosters compliance and gets insight from relevant personnel to improve the policies. This ultimately contributes to developing practical IP, ethics and privacy policies.

The relevant personnel are individuals or teams with roles related to the policies and procedures. Here are the general groupings of relevant personnel:

The relevant personnel must understand the operations of the policies and procedures. Operations encompass the practical implementation, execution and ongoing management of the established guidelines.

Here are a few examples of operations with some of their key activities:

Operations	Key Activities
Training and education programs	IP education: There are regular sessions to educate employees on identifying and protecting IP. These sessions cover the IP requirements. Ethics training: There are workshops and training programs for applying codes of ethics in the ICT industry. It emphasises ethical conduct, best practices in data handling and regulatory compliance. Privacy education: There are training modules that aim to understand the privacy policy and procedures. They focus on data privacy and confidentiality.
Compliance measures and audits	Monitoring compliance: This is continuous monitoring of operations. It ensures employees follow the established IP, ethics and privacy policies and procedures. Regular audits: They are scheduled assessments to confirm compliance with IP, ethics and privacy standards.
Data protection and management	Secure data handling: This is the application of strong security measures for sensitive data. It prevents unauthorised access or breaches. Data governance: This is the establishment of comprehensive policies on data in line with privacy regulations. They cover data collection, storage, sharing and disposal.
Policy development and review	Continuous policy improvement: This involves regular reviews and updates to policies. This ensures the policies remain aligned with changing laws and technological advancements. Policy implementation: This is about communicating and embedding new policies throughout the organisation.
Risk management	Risk mitigation: This is the proactive identification of potential risks and noncompliance incidents. It includes developing and applying measures to address the risks and incidents. Response protocols: These are the procedures for managing and addressing potential breaches or infringements.

You can now provide support or advice to the relevant personnel. Providing support means offering assistance and resources. It includes clarifying guidelines and giving access to resources. It may also involve troubleshooting whenever personnel encounter any problems.

Meanwhile, providing advice means recommending how to apply, understand or follow the policies and procedures better. Your advice may include guidance, clarification or suggestions for best practices. Support is more tangible and hands-on compared to advice to differentiate them.

Providing support and advice are not entirely separate processes. They can interconnect depending on the situation. However, they do have specific processes. First, here are some of the different ways to provide support to relevant personnel in no particular order:

Meanwhile, here are the steps to provide advice about the operations of the policies and procedures to the relevant personnel:

1. Review and assess. Review the existing policies and procedures to comprehend their functionality. Then, assess specific challenges or areas where relevant personnel may need guidance.
2. Consult and clarify. Hold consultative meetings with the relevant departments to understand their concerns and questions. Then, provide detailed explanations or clarifications related to the policies in question.
3. Offer strategic advice and recommendations. Offer strategic advice on how to implement or adapt the policies to suit different operational needs. Present suggestions or recommendations to enhance existing policy frameworks or procedures.
4. Interpret and apply policies. Assist in interpreting and applying policies or procedures for different roles or scenarios. Doing so will help personnel understand how they are relevant to their job functions. For example, explain how the new data-sharing policy applies to the sales team when interacting with customers.
5. Maintain continuous guidance and updates. Continue to give advice and help whenever policies change or get updated. Also, keep personnel well-informed by regularly providing new information. 

Here is a case study on how to prevent problems by giving support and advice:

Quiz