Unit 3.

1: Basics of Intellectual Property - Study Notes

3.1.1 What is Intellectual Property?

● Definition: Intellectual property (IP) refers to creations of the mind, such as inventions,
literary and artistic works, designs, symbols, names, and images.
● Purpose of IP Rights: Provides protection for creators and inventors, allowing them to
gain recognition and financial benefit from their work.

3.1.2 Types of Intellectual Property

1. Copyrights
○ Definition: The exclusive legal right granted to creators to reproduce, distribute,
perform, and display their works.
○ Protected Works:
■ Literary: Novels, poems, plays.
■ Musical and Artistic: Songs, films, paintings.
■ Technical: Computer programs, databases.
■ Others: Architecture, advertisements, maps.
○ Duration: Generally granted for 60 years.
○ Rights under Copyright:
■ Economic Rights: Generate financial benefits (e.g., authorizing
reproductions or public performances).
■ Moral Rights: Protect the creator’s non-economic interests, like
attribution and integrity.
○ Example: The creator of a book has the sole right to reproduce or adapt the work
into other forms, such as a movie, unless they license others to do so.
2. Patents
○ Definition: Exclusive rights granted for an invention that provides a new way of
doing something or offers a novel solution.
○ Duration: Generally 20 years from the application filing date.
○ Protection: The patent holder can prevent others from manufacturing, using, or
selling the invention without permission.
○ Example: A patented new drug formula prevents other companies from
producing the drug without consent from the patent holder.
3. Trademarks
○ Definition: Signs, symbols, or phrases that distinguish the goods or services of
one enterprise from another.
○ Components: Can include words, numbers, colors, shapes, and sounds.
○ Duration: Typically valid for 10 years, renewable indefinitely.
 ○ Rights Provided: Exclusive rights to use the trademark or license it for use by
others.
○ Example: The McDonald’s logo (golden arches) identifies the brand and is
protected from unauthorized commercial use.
4. Trade Secrets
○ Definition: Confidential business information that provides a competitive
advantage and is known only to a limited group.
○ Protection Criteria: Must be valuable, known to few, and kept secret through
reasonable steps (e.g., confidentiality agreements).
○ Example: Coca-Cola’s formula is a trade secret, protected by restricted access
and strict confidentiality agreements.
○ Rights: No one else can use, disclose, or acquire the information unlawfully.
However, independent development or reverse engineering is permissible.
5. Industrial Designs
○ Definition: Covers the ornamental or aesthetic aspects of an article.
○ Protection: Registered industrial designs prevent others from making, selling, or
importing designs identical or substantially similar for commercial purposes.
○ Coverage: Includes products like packaging, furniture, jewelry, electronic
devices, and logos.
○ Example: The unique design of Apple’s iPhone is protected as an industrial
design.
6. Geographical Indications (GI)
○ Definition: Signs identifying goods with a specific geographical origin, where the
product’s qualities are linked to that location.
○ Rights Provided: Prevents third parties from using the GI if their product does
not meet the specified standards.
○ Example: "Darjeeling Tea" can only be used by producers in Darjeeling who
meet the established standards for growing and processing.

3.1.3 Objectives of Intellectual Property

● Encourage Innovation: By granting exclusive rights, IP laws incentivize creators to

innovate and recoup R&D investments.
● Importance: IP protection is crucial for fostering innovation; without it, creators might not
benefit fully from their inventions, reducing motivation for development.

3.1.4 Why Promote and Protect Intellectual Property?

1. Progress for Humanity: Protection enables the sharing and development of new
technologies and cultural works.
 2. Encourages Disclosure: Legal protection encourages creators to share their work with
the public rather than keeping it a secret.
3. Economic Growth: IP protection promotes economic development, job creation, and
industrial growth.
4. Balance of Interests: Balances the rights of inventors with public interest, allowing
innovation to flourish for the benefit of society.

3.1.5 Nature & Characteristics of Intellectual Property Rights (IPR)

1. Intangible Property:
○ IP rights protect the idea behind the physical object, not the object itself.
○ Example: A software patent protects the algorithm but not the computer it runs
on.
2. Rights and Duties:
○ IP owners can produce, copy, and market their work, while preventing
unauthorized use.
○ Example: A music composer can authorize the use of their song for commercial
purposes or restrict its use.
3. Creation by Statute:
○ IP rights derive from specific laws, granting statutory rights.
○ Example: Copyright is established under copyright law, requiring compliance with
legislative standards.
4. Territoriality:
○ IP laws are territorial, meaning they apply only within the jurisdiction of the
governing body.
○ Example: A U.S. patent doesn’t protect an invention in Europe without EU patent
registration.
5. Assignable:
○ IP rights can be transferred, sold, or licensed.
○ Example: An author might sell the rights to their book to a publisher for global
distribution.
6. Dynamic Nature:
○ IP rights evolve with technological advancements.
○ Example: The rise of digital media led to new protections for digital content, like
anti-piracy laws.
7. Subject Matter of IPR Protection:
○ IP protection is granted for specific subjects as outlined by law.
○ Example: Patents cover inventions, while copyrights cover creative works like
music and literature.
8. Coexistence of Rights:
○ Different types of IP can coexist for a single product.
○ Example: A patented invention may also have a copyrighted design and a
trademarked logo.
 9. Exhaustion of Rights:
○ Once an IP-protected product is sold, the original IP holder can’t control its
resale.
○ Example: A patented product, once sold, can be resold without additional
permission from the patent holder.

Unit 3.2: Confidentiality - Study Notes

3.2.1 About Confidentiality

● Definition: Confidentiality is the duty to keep sensitive information private and not
disclose it to unauthorized individuals if it could harm the organization, its relationships,
or individuals.
● Applicability: Certain professionals, particularly in fields like medicine and law, are
legally obligated to maintain confidentiality unless under specific legal circumstances.
● Legal Implications:
○ Civil Lawsuit: Breach of confidentiality can result in civil suits for damages.
○ Penalties: Consequences include monetary damages and injunctions to prevent
further disclosure.
○ Examples: A doctor revealing patient information without consent could face
penalties, including loss of medical license and fines.

3.2.2 Confidentiality in an Organization

● Definition: Confidentiality in the workplace involves protecting private information

related to an organization’s business, clients, and employees.
● Types of Confidential Information:
1. Customer Personal Information: Contact details, transaction history, etc.
2. Employee Information: Data on employees collected by management, such as
performance reviews and personal details.
3. Proprietary Information: Business strategies, trade secrets, financial data, and
client lists.
● Example: Proprietary business plans for new products must be kept confidential to
prevent competitors from gaining an advantage.

3.2.3 Importance of Confidentiality in an Organization

 ● Trust Building: Confidentiality fosters trust between employees, management, and
clients.
● Consequences of Breach:
○ Loss of Trust: Breaches can damage trust and employee loyalty.
○ Productivity Decline: Employees may feel insecure, reducing productivity.
○ Legal Repercussions: Could result in lawsuits, financial losses, and even
fraudulent use of leaked information.

3.2.4 Principles of Confidentiality

1. Justify the Purpose:

○ Every use or transfer of identifiable information must be necessary and approved,
with ongoing review by a designated guardian.
○ Example: An HR department must have a justified reason for sharing employee
details with a third-party vendor, such as payroll processing.
2. Use Identifiable Information Only When Necessary:
○ Only include identifiable information if essential to the work’s purpose.
○ Example: In medical research, identifying patient information should only be
used if it directly affects the research outcomes.
3. Minimize Identifiable Information:
○ Limit the information to only what is necessary for the task.
○ Example: A report for management may anonymize customer feedback,
including only necessary demographic data without personal identifiers.
4. Strict Need-to-Know Access:
○ Only individuals who need the information for specific purposes should have
access.
○ Example: Only HR and payroll staff should access employee salary data.
5. Awareness of Responsibilities:
○ Ensure everyone handling identifiable information understands their
confidentiality obligations.
○ Example: Regular training sessions for staff on handling confidential information
responsibly.
6. Legal Compliance:
○ Use of confidential information must be lawful, with designated personnel
ensuring adherence to legal requirements.
○ Example: A compliance officer ensures that patient data usage aligns with
healthcare privacy laws.

3.2.5 Employee Consequences for Breach of Confidentiality

1. Termination of Employment:
 ○ Immediate dismissal may occur if an employee maliciously or negligently
breaches confidentiality.
○ Example: An employee who discloses customer data to an unauthorized party
may be fired for violating company policy.
2. Civil Lawsuit Damages:
○ Employers may sue for damages if the breach results in business losses.
○ Example: If an employee leaks trade secrets, resulting in lost clients, they may
be required to compensate for the financial damage.
3. Criminal Charges:
○ In severe cases, criminal charges could be filed, particularly for theft of
proprietary data or intellectual property.
○ Example: An employee selling company secrets to a competitor could face
criminal prosecution.
4. Loss of Reputation:
○ Breaching confidentiality can damage an employee’s reputation within their
industry, affecting future job prospects.
○ Example: A lawyer breaching client confidentiality may struggle to regain trust
and find employment in the legal field.

3.2.6 Unintentional Breach of Confidentiality

● Common Causes:
○ Carelessness: Neglectful actions like leaving cabinets unlocked, unencrypted
files, or sharing details in public.
○ Legal Reporting: Disclosures required by law for specific cases (e.g., threats to
public safety).
● Examples of Unintentional Breaches:
○ Leaving Identifiers on Data Files: Failure to anonymize data in research could
expose respondents.
○ Unlocked Cabinets: Confidential files left unsecured in shared spaces.
○ Loyalty Card Requests: Publicly asking for sensitive information, like phone
numbers, at checkout counters.
○ Social Engineering: Attackers gaining confidential information through
manipulation or posing as legitimate employees.
○ Loss of Devices: Misplacing phones or laptops with unencrypted sensitive data
risks exposure.
● Preventive Measures:
○ Employee Guidelines: Provide protocols for handling data.
○ Secure Storage: Lock cabinets, encrypt files, and limit data access to authorized
personnel.
○ Awareness Training: Teach employees about common confidentiality risks and
prevention strategies.
Unit 3.3: Principles of Natural Justice - Study Notes

3.3.1 About Natural Justice

● Definition: Natural justice encompasses the principles ensuring fair and unbiased
decision-making. It includes:
1. Rule Against Bias: No one should be a judge in their own case (nemo iudex in
causa sua).
2. Right to a Fair Hearing: All parties have a right to be heard (audi alteram
partem).
● Core Requirements:
1. Adequate Notice: Those affected by a decision must be informed about key
issues, enabling meaningful participation.
2. Fair Hearing: Parties should have a reasonable opportunity to present their
views and respond to others.
3. No Bias: Decision-makers should be impartial, with no conflicts of interest.
● Application in Modern Contexts: Originally applicable in formal legal proceedings,
natural justice now influences administrative and procedural fairness in less formal
settings, such as government decisions affecting individuals.
● Alternative Terms: Procedural fairness, administrative fairness, substantial justice, and
fundamental justice.

3.3.2 Bias in Decision-Making

● Definition: Bias is any prejudice, whether conscious or unconscious, that may impact
impartial decision-making.
● Types of Bias:
1. Personal Bias: Stemming from personal relationships or hostility toward a party,
influencing impartiality.
■ Example: A judge hearing a case involving a family member or friend.
2. Pecuniary Bias: Financial interest in the case outcome, however small, which
could influence the decision.
■ Example: A government official ruling on a project they have a financial
stake in.
3. Subject Matter Bias: Bias arising when the decision-maker is personally
involved in the subject matter of the case.
■ Example: A licensing officer making decisions about a business they
previously owned.
4. Departmental Bias: Occurs when the same department that initiates a case also
decides its outcome.
■ Example: A regulatory body acting as both prosecutor and judge.
5. Preconceived Notion Bias: Bias based on pre-existing opinions or notions.
 ■Example: A judge with a publicly known stance on a contentious issue
hearing a related case.
● Impact of Bias: Bias can nullify decisions, as justice must be done and be seen to be
done (Coram non-judice).

3.3.3 Exceptions to Principles of Natural Justice

While fundamental, natural justice principles can be modified or excluded in specific situations:

1. Emergency Situations: When urgent action is required, such as demolishing a

dangerous building, notice and hearing may be bypassed.
2. Confidentiality: When confidentiality is essential, such as in matters of national security,
natural justice may be set aside.
3. Statutory Exclusion: Some legislative actions explicitly exclude natural justice
requirements.
4. Impracticability: In cases where applying natural justice is impractical, such as complex
administrative decisions, exceptions may apply.
5. Legislative Actions: Lawmakers may exempt certain statutes from natural justice.
6. Academic Evaluation: Academic authorities can make decisions about staff or students
without needing a formal hearing.
7. Contractual Arrangements: Certain employment or contractual arrangements may
exclude natural justice in termination decisions.
8. Inter-Disciplinary Actions: In some disciplinary actions, such as suspensions, natural
justice may not apply.
9. Government Policy Decisions: Developmental policy decisions are not subject to
natural justice.
10. No Infringement of Rights: If no specific right is conferred by law, natural justice is
inapplicable.
11. Interim Preventive Action: Temporary suspensions, being preventive rather than final,
may exclude natural justice.
12. Public Interest: If upholding public interest necessitates excluding natural justice, it may
be overridden.
13. Useless Formality Theory: When only one legal outcome is possible, observing natural
justice is considered unnecessary.

3.3.4 Types and Concepts of Justice

1. Distributive Justice (Economic Justice)

○ Concerned with fair distribution of resources and benefits.
○ Debate on Fair Share: Distribution criteria can include equity, equality, or need.
○ Example: Social welfare programs distributing resources based on need.
 2. Procedural Justice
○ Ensures decisions are made through fair processes, with unbiased application of
rules.
○ Example: Employee unions advocating for fair treatment in workplace policies
and processes.
3. Retributive Justice
○ Focuses on punishment for wrongdoing, aiming to restore balance and deter
future violations.
○ Example: Criminal justice penalties to punish offenders and prevent future crime.
4. Restorative Justice
○ Emphasizes healing and reconciliation for victims and offenders, seeking to
repair harm and reintegrate offenders.
○ Example: Community service or mediation programs that allow offenders to
make amends to their victims.

Unit 3.4: Working With Minors - Study Notes

3.4.1 Business and Engagement of Minors

● Key Consideration: Employing minors must prioritize the child’s well-being, education,
and development.
● ILO Conventions:
○ Minimum Age Convention (No. 138): Sets minimum age for work, generally at
15 years or at the age when compulsory schooling is completed.
○ Worst Forms of Child Labour Convention (No. 182): Calls for urgent abolition
of child labor in hazardous environments.
● ILO Declaration on Fundamental Principles: Calls for the elimination of child labor in
all member states, whether or not they have ratified specific conventions.
● Minimum Age Guidelines:
○ General Employment: Not less than 15 years (or 14 in developing countries for
“light work”).
○ Hazardous Work: Minimum age is 18 due to potential risks to health, safety, or
morals.
● Types of Work:
○ Hazardous Work: Any work likely to harm the child’s health or development.
○ Youth Employment: Acceptable if it meets age criteria and excludes hazardous
activities.
○ Light Work: Permissible from age 13 (or 12 in some countries) with proper
monitoring by authorities.
3.4.2 Using Minors Effectively in the Workplace

1. Application and Interview Process:

○ Selection Criteria: Look for academic achievements, extracurricular
involvement, and strong references.
○ Individual Attention: Group minors with peers and assess individually, as not all
minors have the same work ethic or motivation.
○ Thorough Interviews: Conduct comprehensive interviews, even for part-time
roles, to understand personality and fit within the company culture.
2. Understanding Adolescence:
○ Developmental Phase: Recognize that adolescence is a time of personal
growth, often manifesting in work habits and behavior.
○ Adaptable Training: Young workers typically learn quickly as they lack prior
workplace habits. They are often receptive to business systems and procedures,
with the ability to remember and execute tasks effectively.
3. Supervision and Guidance:
○ Close Supervision: Minors may require extra guidance, as they are often
unfamiliar with workplace norms.
○ Encourage Questions: Create an environment where minors feel comfortable
asking questions about tasks or issues.
○ Constructive Feedback: Provide feedback in a tactful, supportive way, as young
workers may take criticism personally.
4. Opportunities for Growth:
○ Skill Development: Give high-performing minors responsibilities beyond basic
tasks to help them grow.
○ Career Pathways: Top minor employees may transition into valued full-time staff
as they gain experience and maturity.
5. Legal Compliance and Documentation:
○ Child Labor Laws: Regularly check compliance with federal and state laws
governing minor employment.
○ Documentation: Ensure age verification is complete before hiring minors.
○ Awareness for Managers: Keep all managers informed of child labor laws and
the specific work restrictions for minors.
○ Scheduling Reviews: Frequently review minors' work schedules to avoid
unintentional labor law violations.

Unit 3.5: Organizational Complaint Procedure - Study Notes

3.5.1 Employee Grievances

 ● Definition: Employee grievances are complaints arising from dissatisfaction with
aspects of the job or management.
● Impact on Workplace:
○ Unresolved grievances can reduce morale, create inefficiency, and increase
absenteeism.
○ Proper grievance handling is crucial to maintaining productivity.

3.5.2 Identifying Employee Grievances

● Definition: Grievance is a result of a gap between employee expectations and reality,

which may or may not be justified.
● Methods to Identify Grievances:
1. Changed Behavior: Noticing shifts in employee behavior can be an indicator of
dissatisfaction. Regular observation and communication are key.
2. Suggestion Boxes: Allows employees to submit anonymous complaints,
reducing fear of retaliation.
3. Open-door Policy: Encourages open communication with senior management
for grievance redressal.
4. Opinion Surveys: Periodic surveys capture employee sentiments on workplace
satisfaction.
5. Effective Exit Interviews: Reveals reasons for leaving and potential issues
within the organization.

3.5.3 Common Causes of Employee Grievances

● Physical Work Conditions: Poor or unsafe work environments.

● Lack of Communication: Changes implemented without employee notice.
● Management Issues: Poor employee relations, favoritism, or lack of discipline.
● Wage and Benefits: Concerns about improper wage adjustments or dissatisfaction with
policies on promotions, demotions, transfers, etc.
● Safety and Welfare: Insufficient health, safety, and welfare measures.
● Policy Violations: Instances where policies are perceived as unfair or violated.

3.5.4 Redress Mechanism - Steps to Handle Employee Grievances

1. Create the System:

○ Documentation: Include the grievance procedure in the employee handbook.
○ Designated Grievance Handler: Usually someone from HR, ensuring
confidentiality and timely follow-ups.
 ○ Accessibility: Make the grievance submission process easy, with centralized
grievance boxes if applicable.
○ Confidentiality: Involve minimal people to maintain privacy.
2. Acknowledge the Grievance:
○ Active Listening: Let employees know their concerns are heard.
○ Show Willingness: Even if not resolved immediately, acknowledgment builds
trust.
3. Investigate the Grievance:
○ Validation: Review if the grievance is valid by gathering relevant information.
○ Inform Involved Parties: If others are implicated, give them a chance to present
their side.
4. Hold the Formal Meeting:
○ Gather All Parties: Allow the employee to present evidence and explain their
desired outcome.
○ Document Meeting Minutes: Keep official records for transparency.
5. Decision and Action:
○ Decision Phase: Based on gathered information, either accept, partially accept,
or reject the grievance.
○ Written Response: Notify the employee of the outcome and actions taken,
offering advice on future similar situations.
6. Appeal Process:
○ Right to Appeal: If dissatisfied, employees can appeal in writing, providing
reasons.
○ Impartiality: Appeals should be reviewed by a manager who wasn’t involved in
the initial grievance process.
○ Final Decision: If unresolved, options include mediation or escalation to an
employment tribunal.
7. Review the Outcome:
○ Objective Reflection: Evaluate if the resolution was effective and fair.
○ Positive Impact: Effective grievance resolution can enhance company culture
and foster accountability.
8. Address Root Causes:
○ Long-term Solutions: Identify the underlying cause of grievances and aim to
prevent recurrence.
○ Preventive Measures: Regularly update grievance policies to reflect changes in
company needs and employee feedback.

Unit 3.6: Legal Aspects of Professional Ethics - Study Notes

3.6.1 Ethics and Professional Responsibility

 ● Definition: Professional ethics are principles guiding behavior within a business
environment, providing a standard for interacting with people and institutions.
● Difference from Personal Values:
○ Ethics are often codified as a set of rules for a professional group, while personal
values are unique to each individual.
● Universal Ethical Principles Across Professions:
○ Honesty: Being truthful in all professional dealings.
○ Trustworthiness: Maintaining reliability and integrity.
○ Loyalty: Commitment to employer or client.
○ Respect for Others: Treating colleagues and clients with dignity.
○ Adherence to Law: Following legal standards.
○ Doing Good and Avoiding Harm: Acting in the best interest of others.
○ Accountability: Taking responsibility for actions.

3.6.2 Relationships Among Law, Licensure, and Ethics

● Interconnected Realms: Law, licensure, malpractice, and ethics overlap but address
misconduct differently.
○ Ethical violations don’t always mean legal or licensure violations and vice versa.
○ Misunderstanding these distinctions can lead to improper judgments about
professional misconduct.

Categories of Misconduct

1. Non-Admirable Conduct:
○ Definition: Actions that may be undesirable but are not criminal, civilly
actionable, or necessarily unethical.
○ Example: Belonging to a discriminatory club or consistently belittling colleagues.
2. Civil Actionable Conduct:
○ Definition: Actions that provide the harmed party the right to sue for damages
but may not breach ethics or licensing laws.
○ Example: Failing to deliver a manuscript after receiving an advance.
3. Criminal Conduct:
○ Definition: Actions that are unlawful but not necessarily malpractice or a breach
of ethics.
○ Examples: Violating a custody court order, disturbing the peace, or minor tax
evasion.
4. Unethical Conduct:
○ Definition: Actions considered unethical but may not breach licensing laws or
constitute malpractice.
○ Example: Overcommitting to clients, leading to subpar service.
5. Violations of Licensing Statutes:
○ Definition: Actions that breach licensing laws but may not be unethical or
malpractice.
○ Example: Forgetting to submit mandatory reports to the licensing board.
6. Combined Violations (Ethics and Licensing):
○ Definition: Actions that are both unethical and violate licensing statutes.
○ Example: False advertising.
7. Unethical and Malpractice but Not Licensing Violation:
○ Definition: Rare cases where an action breaches ethical and malpractice
standards but does not infringe licensing laws.
○ Example: Mishandling client relationships without affecting licensure standards.
8. Ethical, Licensing, and Malpractice Violations:
○ Definition: Actions that breach ethical standards, violate licensing laws, and
constitute malpractice.
○ Example: Forming improper relationships with clients.
9. Malpractice and Licensing Violation but Not Unethical:
○ Definition: Actions that are malpractice and violate licensing rules but may not
be considered broadly unethical.
○ Example: A single misdiagnosis by an otherwise diligent practitioner leading to a
negligence finding.
10. Malpractice Only:
● Definition: Mistakes by a competent professional that result in malpractice without
breaching ethics or licensing laws.
● Example: A poor decision judged as “negligent” by a jury, though it doesn’t reflect the
practitioner’s overall ethics.