D4. Intellectual Property

Code 7.0

Intellectual property rights are to be respected; transfer of technology and know-how is to be done in a manner that protects intellectual property rights and customer and supplier information is to be safeguarded.

Elements to Demonstrate Compliance to RBA Code

1. Policy

Have an adequate and effective policy and program in place to review and protect:

• a. The information received from suppliers and customers as part of the contracting process.
• b. IP ownership and ensure protection of IP.

2. Procedures & Practices

Procedures & Practices are in place such that:

• a. IT guidelines about the distribution/dissemination of information to protect information from suppliers and customers and IP.
• b. Non-disclosure agreements (separate or part of the employment contract) for workers and management are in place.
• c. There is a procedure to identify and protect IP.
• d. There is a procedure to notify customers/suppliers if a violation should occur.
• e. There is a procedure to investigate unauthorized disclosures and loss of intellectual property (IP) information.

3. Controls & Monitoring

Controls & Monitoring should include:

• a. There are procedures in place to review intellectual property ownership and to ensure intellectual property rights are upheld and respected (their own and that of their customers).

4. Rating

• Major: No detailed and understandable policy and procedures implemented.
• Minor: Partial policy or procedures or implementation.

1.0.0 (2021-01-01)

Changed

• Initial historical baseline — Intellectual Property (RBA Code of Conduct 7.0, criterion D4): Earliest imported version, published as criterion D4 in VAP 7.0.0. Required an adequate and effective policy/program to protect information received from suppliers and customers and to protect IP ownership; IT guidelines on information distribution/dissemination; non-disclosure agreements for workers and management; and procedures to identify and protect IP, notify customers/suppliers of violations, and investigate unauthorized disclosures. No IP-related Priority/severe finding existed; the rating was Major ('No detailed and understandable policy and procedures implemented') / Minor ('Partial policy or procedures or implementation').