Intellectual Capital Statement 2009

Preface
Leif Edvinsson
Intellectual Capital Management (ICM) is a management tool, which allows organisations to tap into reservoirs of knowledge and expertise that they already possess but may not be exploiting effectively. This Intellectual Capital Statement, based on the theoretical framework of ICM, is intended to identify the Intellectual Property Departments strengths and weaknesses in the use of knowledge. It is also intended to indicate what knowledge our Department is applying most effectively to create value for stakeholders. With this Statement, our Department is able to share information with stakeholders, as well as the general public, about the knowledge capitals and other intangibles in our Department. The Statement includes: An introduction to our Department; An outline of our development strategies; An overview of the stakeholders values; An outline list of our Departments intellectual assets; and An assessment of potential risks and liabilities attaching to these assets, and respective mitigations. This Statement has been completed with professional assistance and advice from the Knowledge Management Resource Centre of The Hong Kong Polytechnic University. As with most intellectual capital statements, this Statement does not attempt to assess a potential monetary value for intellectual capital, nor to assess the operational effectiveness of the Department in using it. That is left for separate exercises, if necessary. The Department acknowledges with thanks the assistance and advice provided by Knowledge Management Resource Research Centre of The Hong Kong Polytechnic University, Professor Leif Edvinsson, Adjunct Professor at Lund University and Visiting Chair Professor of Intellectual Capital at The Hong Kong Polytechnic University.

Stephen Selby Director of Intellectual Property The Government of the Hong Kong SAR

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Content

Intellectual Property Department

Development Strategies of the Department

3 4 8 15 25 28 31
32 34 36 38 40 42 44

Understanding the Needs of Our Stakeholders

Creating Value for Stakeholders

Knowledge Transfer and Sharing

Risk Analysis and Risk Mitigation

The Way Forward

2008420093 Appendix I - List of Indicators for the Period between Apr 2008 to Mar 2009 Appendix II - A List of Databases, Electronic and Paper Records and IP Rights of the Department Appendix III - Structural Capital which Safeguards Good Governance Appendix IV - Anchor Persons System

 Intellectual Capital Statement 2009

Intellectual Property Department

To underline Hong Kongs commitment to intellectual property protection, the Government established the Intellectual Property Department (the Department) on 2 July 1990. The Department is responsible for: 1. Advising the Secretary for Commerce and Economic Development on policies and legislation to protect intellectual property in the Hong Kong SAR; 2. Operating the Hong Kong SARs Trade Marks, Patents, Registered Designs and Copyright Licensing Bodies Registries; 3. Promoting intellectual property (IP) protection through public education; and 4. Providing legal advice to Hong Kong government bureaux, departments and trading funds on non-litigious intellectual property matters. Intellectual property laws are domestic. However, various international conventions require member countries or economies to recognise rights of persons from the other member countries. The main international intellectual property conventions which have been applied to the Hong Kong SAR are: The Paris Convention for the Protection of Industrial Property; The Berne Convention for the Protection of Literacy and Artistic Works; The Universal Copyright Convention; The Geneva Convention for the Protection of Producers of Phonograms Against Unauthorised Duplication of Their Phonograms; The Patent Cooperation Treaty; The Convention establishing the World Intellectual Property Organisation; The WIPO Copyright Treaty; and The WIPO Performances and Phonograms Treaty. Hong Kong, China is a member of the World Trade Organisation (WTO) and Asia-Pacific Economic Cooperation (APEC) in its own right, and our intellectual property protection system meets the standards set out in the WTO Trade-Related Aspects of Intellectual Property Rights Agreement (the TRIPS Agreement).

199072 1. () 2. 3. 4. (WTO) (APEC) (TRIPS Agreement)

Mission Statement of the Department

To maintain the protection of intellectual property rights to the highest international standards, so that Hong Kong remains a place where creativity and talent can flourish. To provide high-quality and responsive patent, trademark and designs registration services to the public in Hong Kong. To promote awareness of intellectual property rights of the individual, and a respect for the rights of others.

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Development Strategies of the Department

Established by statute, the principal functions and objectives of the Department are specified in legislation. Beyond fulfilling statutory requirements, the Department strives to maintain the protection of intellectual property rights to the highest international standards, so that Hong Kong remains a place where creativity and talent can flourish. The Departments statutory services are those involving the administration of Hong Kongs intellectual property laws particularly in relation to providing efficient and quality registration services for registrable rights. As Hong Kong is advancing towards to a knowledge-based economy, the demand for intellectual property right registration is continuing to grow. To cope with this surging demand while optimising use of resources, the Department has developed strategic plans to upgrade its automated systems and electronic service delivery channels. Connected with these statutory requirements is the need to maintain an appropriate level of contact and co-operation with international organisations related to our statutory obligations, such as the World Intellectual Property Organization (WIPO), the Designated Patent Offices under the Patents Ordinance, WTO and APEC. The Department has clear directions in developing closer ties with these international organisations. In addition to our statutory services, the Department also offers policy and legislative support to CEDB, and undertakes public education and legal advisory services to other Government bureaux, departments and trading funds. The range of areas requiring policy/legislative support for CEDB currently include legal and policy research, advice on preparing drafting instructions for new legislation or rules, support in public consultation and assistance in explaining policies and draft legislation to the Legislative Council and the public. The Department has set a strategy in developing an effective knowledge management system to facilitate these areas of work. Public education currently needs to focus on winning over young people to the need for respect of intellectual property rights, with a special focus in those relating to copyright works on the Internet. Additional focus is also required on ensuring business community compliance with laws requiring the use of genuine software

A.P.A.T. A.P.A.T. is a 3-D role-playing game aims to educate the youth the knowledge about intellectual property

 Intellectual Capital Statement 2009

on office computers. The Department has developed strategies to refine the focus on young people and copyright works on the Internet.

() Intellectual Capital Management Consultancy Programme is a free on-site consultancy service targeted to all organisations based in Hong Kong, with a particular focus on small and medium enterprises.

() ( )

A particular challenge to be met is the growing demand from the commercial sector and small and medium enterprises (SMEs) in particular for advice on their intellectual property problems. Such a demand needs to be met without competing unfairly with the legal profession. The Department has launched an Intellectual Capital Management Consultancy Programme, a pilot scheme which assists SMEs in mitigating intellectual property-related risks without providing specific legal advice to clients. At the same time, Hong Kongs intellectual property professional services are a valuable knowledge resource which merit promotion in the Region. The Department is actively searching for opportunities to provide structured training programmes for IP Examiners, and to ensure that Hong Kongs expertise in IP protection (both in terms of the Government and private IP professionals) is more widely known. Using the terminology of intellectual capital management, the strategic developments of the Department could be categorised into Human, Structural and Relational Capital elements:

Strategic Developments in Human Capital

Develop a structured and systematic training and continuous learning programme for IP Examiners to further improve the quality of the registration services; and Deploy an integrated staff development programme and long-term staff personal development in the Department.

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Strategic Developments in Structural Capital

Continuously improve electronic delivery of services to meet the growing demand for efficient electronic service in Hong Kong and overseas; Explore possibilities of implementing new and innovative delivery of services which are of extra value to our stakeholders; Improve the electronic platforms used by staff to provide IP registration services so as to meet their work needs and occupational safety; Develop and deploy an effective knowledge management and a sharing platform to cover major areas of the Departments work; and Develop a toolbox in intellectual capital management to help local enterprises to understand their enterprise knowledge, recognise the risks that are attached to it, and develop their own risk mitigation measures, so as to achieve a selfhelp prevention is better than cure approach to protecting enterprise intellectual property.

Latest publicity material on introducing the differences between company registration, business registration and trademark registration in Hong Kong.

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Strategic Developments in Relational Capital

Participate actively in international fora that may influence or affect our delivery of statutory services; Promote Hong Kong as a place which effectively protects the fruits of research, development and creative effort; Enhance the efficiency of the Departments interactions with international organisations and bodies, by using digital communications technology where possible and appropriate; Maintain a network of overseas experts in various fields of IP law and practice so as to ensure current knowledge of developments outside Hong Kong which impact on or assist in the improvement of the HKSARs IP regime; Enhance interaction with Members of the Legislative Council and their staff, to enhance their understanding of the Governments policies and legislative programmes, and proactively to take early account of Members individual views relating to IP protection in Hong Kong; Develop a strong network of interaction with Hong Kong SMEs (including those operating in neighbouring regions of the Mainland) so as to maintain an up-to-date knowledge of their problems and guide them towards solutions; and Promote the services of Hong Kongs IP legal and professional industries both in Hong Kong and in the Pearl River Delta so as to assist in building IP legal services as an important knowledge industry in the Region.

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Understanding the Needs of Our Stakeholders

1999 2004
Unlike many private sector enterprises, intellectual property owners throughout the world are stakeholders of the Department. Within Hong Kong itself, chambers of commerce, IP practitioners, solicitors and many other groups are close working partners of the Department. Other organisations, including organisations in Hong Kong, overseas and within the Mainland share the Departments work in promoting public awareness of intellectual property rights protection. The Department also represents the Hong Kong SAR in many international fora and organisations and publicises Hong Kongs efforts in intellectual property rights protection and the cultivation of creativity to a wider international audience. This promotes Hong Kongs international image as a desirable place to invest and do business. In order to keep track of the publics awareness of intellectual property rights, the Department has been conducting Surveys on Public Awareness of Intellectual Property Rights Protection since 1999. The Surveys reveal the current level of public awareness of IPR protection; benchmark the Departments work on public education and compare the changing patterns of public attitude towards intellectual property rights. At the same time, business peoples attitudes towards intellectual property rights are of interests to the Department. In order to provide input into Government's policies in establishing intellectual property as a vital driving force towards a knowledge-based economy, the Department has been conducting Surveys on Business Attitudes to Intellectual Property since 2004. The Survey on Business Attitudes to Intellectual Property and the Survey on Public Awareness of Intellectual Property Rights Protection both offer an evidence-based approach to study the latest trends on changes of attitude towards intellectual property rights among the general public and the business world. With this evidence, the Department is able to formulate appropriate public education and promotion activities, which could address changes of attitudes in the general public and the business world. Furthermore, both surveys reflect the effectiveness of the public education and promotion efforts of the Department and serve as key performance indicators.

10 1
1

Who our stakeholders are

From the work portfolio of the Department, ten major categories1 of stakeholders have been identified to conduct stakeholder interviews for the Statement.
1

This list is not intended to be exhaustive.

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Category
Policy Bureaux

Representatives from
Commerce and Economic Development Bureau Customs and Excise Department Asian Patent Attorneys Association Hong Kong Group Composers and Authors Society of Hong Kong Federation of Hong Kong Industries

Partners for Service Delivery Legal Profession & Practitioners

Rights-owners & Applicants Chamber of Commerce

IP Societies
Foreign IP Offices

Hong Kong Intellectual Property Society

IP Australia

Press & General Public The Legislative Council

Local Media The Legislative Council Each Operational Division of IPD

Internal Staff
1:

Table 1: A List of Stakeholders of the Department.

To ensure impartiality, consultants from The Hong Kong Polytechnic University conducted nine individual interviews with representatives from the respective stakeholder category. A consultant from The Hong Kong Polytechnic University and the Department jointly conducted interviews with the internal staff members.

Values of the External Stakeholders

According to the series of interviews with external stakeholders, registration of various intellectual property rights, promotion of IP awareness through public education and the advice on civil litigation and legislation on IP matters to the Government are reported to be the major functions of the Department. External stakeholders also see collaboration with Hong Kong Customs on IPR enforcement as an important work area of the Department.

 Intellectual Capital Statement 2009

In addition to these statutory functions, external stakeholders see the Department as a channel to reflect views and needs of local industries, chambers of commerce and associations. The Department also maintains good relationships and collaborates with the external stakeholders in promoting IPR awareness. The close relationship of the Department with the IP offices in the Mainland are valuable to external stakeholders, since the Department could act as a proxy in experience-sharing and exchanging opinions. Furthermore, the extensive network of contacts of the Department in the IP-community helps showcase the continuous efforts of IPR protection in Hong Kong, which is particularly beneficial to promoting Hong Kong as a place where creativity and talent can flourish, and maintain Hong Kongs reputation as a place for business.

Values that External Stakeholders Treasure

External stakeholders value the electronic service platform (the Online Search and e-Filing System), which is in line with the e-Government initiative. External stakeholders comments were that these systems are user-friendly, informative, efficient and of particular value to them. Interviewees thought that the professional team of the Department provides consistent and efficient services to external stakeholders. Enquiries are professionally handled and the Trade Mark Work Manual is readily available online. Extensive marketing knowledge and high sensitivity to the market also create value for our external stakeholders; the No Fakes Pledge Scheme is the most often cited successful example of the Departments promotion of intellectual property rights awareness through public education. The newly-launched Intellectual Capital Management Consultancy Programme is highly appreciated by external stakeholders for its innovative approach to assisting SMEs in managing their intangible assets. The Department has built a positive image in the international community, while external stakeholders particularly appreciate the professional knowledge and diplomatic and communication skills of the Department. External stakeholders also cite the close relationships with various local organisations, such as chambers of commerce; IP offices in the Mainland and international organisations, such as WIPO, WTO and APEC.

( )

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( )2

Challenges and Risks that External Stakeholder Have Identified

The most often cited challenge to the Department is the relatively high staff turnover rate. External stakeholders anticipate that the Department could face difficulty in retaining essential knowledge and experience within the Department. Some external stakeholders have concerns on the weak practical knowledge in highly specialised fields, such as engineering and chemistry in the context of handling patent applications2. External stakeholders suggest the Department collaborate with universities in developing structured and systematic training programmes related to IP examination. Interviewees recommended that the Department should keep up with the latest international practices and legislation in the area of information and communication technology, multimedia and digital entertainment. External stakeholders also suggested that the Department could play a proactive role in facilitating the growth of the creative industries.

What Internal Stakeholders Attach Value to

IPDs staff attach value to positioning the Department as a specialised legal profession government agency, with a comprehensive knowledge in local and international intellectual property laws, backed by a solid knowledge of international treaties, overseas legislation and other related laws such as contract law. Individual staff of the Department is committed to upholding the highest standards of IP protection and personal integrity. Established mechanisms are in place to safeguard corruption prevention, equality of rights, personal data protection, confidentiality of proprietary information and access of information by the public. Staff of the Department highly appreciate various arrangements on creating and maintaining a harmonious working environment, such as Work Smart but Casual Dress Code, Flexible Attendance, Options for Working Hours, various recognition awards and regular leisure activities and events. Staff of the Department are flexible and ready to face new challenges. They make good use of the learning opportunities provided by the Department, such as sponsored studies and other continuing education.

2 The Departent does not carry out substantive examination of patents.

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 Intellectual Capital Statement 2009

To advise the Secretary for Commerce and Economic Development on policies and legislation to protect intellectual property in the digitalised environment, staff of the Department attach great value to an exhaustive knowledge of IT and Internet operations. Furthermore, they value their networks of overseas contacts and are ready to present Hong Kongs policies at international events and occasions. To provide convenient and efficient patent, trademark and designs registration services to all rights-owners, staff of the Department attach value to the ability to make firm decisions based on evidence and communicate effectively and courteously with applicants. To provide legal advice to other government bureaux, departments and trading funds on non-litigious intellectual property matters, staff of the Department attach value to the ability to analyse questions and provide prompt, succinct and user-friendly practical legal advice. To perform the quasi-judicial function of resolving trade mark disputes, staff of the Department attach value to an excellent knowledge of trade mark hearing procedures and highlydeveloped skills in writing legal decisions, upholding the highest degree of impartiality and neutrality. To promote intellectual property protection through public education, staff of the Department attach value to event management and marketing skills, handling media enquiries in a professional manner. They value well-developed presentations skills, and an ability to explain IP in general and simple terms to the general public.

14 14 38%

How Much Value Internal Stakeholders Attach to Each Item

Suggested by frontline staff, and then further substantiated by senior officers, 14 intellectual capital elements have been identified within the Department. Each of these 14 intellectual capital elements is hence weighted by senior officers, according to the perceived importance of the respective element to creating value for the Departments internal and external stakeholders. The Department provides direct services to the public. Its workforce is the single most important capital element, which is reflected being the highest weighted one amongst the three and equal to 38% to the perceived total weightings.

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1: Diagram 1: Intellectual Capital (IC) of IPD Weighted According to Assessed Contribution towards Creating Value for Stakeholders

18% 16% (31%) 9% 19%

Under Human Capital, three intellectual capital elements have been identified: professional knowledge, personal competence and self-improvement. The strongest emphasis is put on the professional knowledge (18%), which is defined as knowledge having a direct link and high relevance to ones job. It can be acquired only through formal training and accumulates through years of experiences. The second most important element is personal competence (16%), which includes an array of qualities in personal effectiveness, such as interpersonal skills and personal integrity. Structural Capital and Relational Capital are weighted equally by internal stakeholders (31%). Under the umbrella of Structural Capital, five intellectual capital elements are identified: documented procedures, design of IT infrastructure, knowledge repositories, IP promotion resources and staff development programmes. Design of IT infrastructure receives most of the attention under the Structural Capital (9%), which is defined as the documented materials of the overall development and maintenance of the IT infrastructure currently utilised by the Department and its service users. Six intellectual capital elements are identified under Relational Capital, where the aggregated weighting for elements relating to the public reaches 19%, including relation with the general public, image/reputation and relation with external stakeholders. This corresponds to the missions of the

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Department, which is responsible for promoting IPR awareness through public education. Relations with the General Public refer to the bonding with all members of the public, while the relations with external stakeholders refer to the relationship with identified external parties. Image/reputation is the end-product of the effort of the Department in managing relationships with the public and the external stakeholders.

2009215 One of the IPR protection campaigns I Pledge Campaign (10th Anniversary Music Carnival on 15 February 2009)

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Creating Value for Stakeholders: the Intellectual Capital of the Department

The Department seeks to create value for stakeholders. Resting upon a solid organisational structure, with a clearly-defined Mission Statement and visionary strategies and development plans, the Department has been delivering high quality services to stakeholders with the ultimate goal of maintaining Hong Kong as a place where creativity and talent can flourish. The Intellectual Capital of the Department complements the organisational structure, which further supports overall performance of the Department to ensure service excellence. Most importantly, continuous accumulation of experience in delivering services to stakeholders further reinforces the Intellectual Capital of the Department. Years of experience in delivering seminars and talks on intellectual property rights protection in schools not only helps disseminate the message of protecting intellectual property rights, but also further strengthens the presentation and interpersonal skills of our staff members.

2: Diagram 2: IC Capital Flow in the Department

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 Intellectual Capital Statement 2009

Human Capital
Human capital refers to a spectrum of employees individual qualities and capabilities, supplemented by their effectiveness in working as a team towards the Departments goals. The Department accesses these invaluable individual qualities and capabilities through employment. Consequently, all human capital could potentially leave the Department. Therefore, it is crucial for all organisations to capture and internalise their human capital and hence minimise the impact of losing key staff members. Unlike the private sector, most of our staff are civil servants on permanent terms of employment in the Department. The risk of a brain-drain is much less than the risk of diminishing motivation, and hence it is the priority of the Department to constantly review and revise its staff development policies on motivating staff.

Human Capital 2008-09 Indicator Number in 2008-09

2009-10 Target in 2009-10

Professional Knowledge (18%)

29% 8.79

Law-related Degree Holders Average Years of Service

Personal Competence (16%)

0

Incidents Related to Personal Integrity Attending Chinese / English Courses

26

Self-Improvement (4%)
3 0 3

Job Rotation / Secondment Learning Foreign Languages Spending on Training per Head Sponsored Local Training Sponsored Overseas Training
2: Table 2: List of Indicators for Human Capital

HK$2,349 9

26

16

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29% 8.79

Professional Knowledge
As one of the specialised legal service departments inside the Government, professional knowledge of IP law and related laws is the most important human capital element of the Department. To deliver professional services in IPR registration, legal advisory work relating to IP, legal matters in copyright and quasi-judiciary functions, around 29% of the Departments workforce holds law-related degrees. Years of service in respective grades and their accumulated experience correlate positively to the service excellence of the Department. On average, staff members have 8.79 years of experience in their respective grades.

Personal Competence
Intellectual property is often of high commercial value. An impartial and fair registry offers certainty and peace of mind to all stakeholders. Personal integrity of our staff members is of paramount importance. Therefore there are established mechanisms to allow staff members to report any indebtedness, possible conflict of interests and other relevant issues. Thanks to these mechanisms, there has been no incident related to personal integrity in 2008-09. Effective language skills are essential in handling complex legal matters and communicating well with service users. Putonghua has become more important, as there are growing numbers of applications from the Mainland of China. As such, the Department has been encouraging colleagues to further polish their Chinese and English skills. In 2008-09, 26 training opportunities in Chinese and/or English language were provided.

( ) 2008-09 2008-09 26

2008-09

Self-Improvement
Continuous learning and selfimprovement are important in keeping the knowledge of our staff members fresh. Although jobrotation allows colleagues to gain broader knowledge on various fronts, the heavy workload often prohibits such arrangements. In 2008-09, the Department was able to arrange job-rotation for three colleagues within the Department. Colleagues are also encouraged to apply for sponsorship to attend the foreign language courses.

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2008-09 2,349 926

In 2008-09, the Department spent an average of HK$ 2,349 on each staff member for training. In addition, to broaden horizons, the Department also sponsored nine local trainings and 26 overseas trainings.

Structural Capital
Structural Capital is the basis for sustainable use of knowledge within the enterprise. In addition, it provides a system for spreading knowledge consistently between knowledge workers, thus helping to ensure a consistent standard of services to all users. The Department has been investing heavily to develop and strengthen the electronic work platform, so as to cope with the growing demand. During the course of development of the electronic work platform, great attention has been paid to the views of staff members as well as external users.

Structural Capital 2008-09 Indicator Number in 2008-09

2009-10 Target in 2009-10

Documented Procedures (6%)

3 55 52

Number of Documented Procedures Circulars & Memos in Effect Unauthorised Software Installed

Design of IT Infrastructure (9%)

58.96% 49.07% 43.40% 118

Trademark Applications Filed Electronically Patent Applications Filed Electronically Design Applications Filed Electronically Number of e-Filers Registered

Knowledge Repositories (7%)

3,733

Items in Library

IP Promotion Resources (3%)

2

Number of New APIs Produced Hit-Rate of Online IP Education Materials

220,400

Staff Development Programme (6%)

1

Staff Training Manual

3: Table 3: List of Indicators for Structural Capital

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2008-09 2009355 2008-09 52 200812 2009

Documented Procedures
Thanks to the electronic work platform, the Department is able to capture and hence document necessary operational procedures as its Structural Capital. Four Registries of the Department have documented procedures to assist IP Examiners in examining applications. With these documented procedures in place, the quality of service is maintained and external users of the system can contribute to having that their applications handled efficiently by having regard to the Departments internal procedures when they draft their applications. In 2008-09, the Department has three documented procedures, namely Trade Marks Registry Work Manual, training summary on patent examination and training summary on design examination. In addition to documented work procedures, the Department also implements other government -wide and departmental policies on administration. As of March 2009, there were 55 circulars and memoranda in effect in the Department, covering a broad range of topics and disciplines. Appendix III shows the main circulars and memoranda in effect. In particular, to comply with the Circular on Use of Unauthorised Computer Software in Government and Liability to Disciplinary Action, the Department is running automatic alert system to monitor any unauthorised computer software installation. In 2008-09, there were 52 reported unauthorised installations of genuine software. In December 2008, a new Software Asset Management system has been implemented to strengthen the surveillance, and the user privilege setting had been changed so that no computer software can be installed by individual users. To further ensure the implementation of circulars and memoranda in effect, the Department runs an Anchor Persons System, where officers are appointed to monitor different areas of work, such as staff complaints, gender equality, internship co-ordination, etc. A list of Anchor Persons for 2009 is available in Appendix IV.

Design of the IT Infrastructure

The design of the electronic work platform benefits all service users. With the introduction of e-Filing System and Online Search System, service users are able to complete most of the registration applications electronically and thus reduce consumption of paper. e-Commerce is only effective with active participation of e-Clients, therefore the number of e-Clients and their volume of applications are important indicators.

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20093 1182008-0960% 49%43%

By the end of March 2009, there were 118 e-Filers registered with the Department. In 2008-09, nearly 60% of new trade mark applications were filed electronically; while 49% of the patent applications and 43% of the design applications were filed electronically in the same period.

3,733

Knowledge Repositories
Knowledge, ranging from a record of a telephone contact to case studies, is vital for the development of the Department. Effective and efficient knowledge repositories help capture and then document the know-how and skills of the Department; more importantly, knowledge repositories are common fora for staff members to share and disseminate their knowledge. The Department is running several Knowledge Repositories; the Library of the Department has 3,733 books, publications and journals.

2008-09 2008-09 220,400

IP Promotion Resources
Prevention is better than cure, and hence the Department organises campaigns and activities to promote IPR protection among the public. The Department has released a large number of promotional materials. In 2008-09, two Announcement of Public Interest (API) video were produced to disseminate the message of IPR protection. A bank of IPR protection materials is now available online and in 2008-09 they were accessed 220,400 times. In addition to the promotional materials, the Department has organised I Pledge Campaign, No Fakes Pledge Scheme and many other campaigns. The No Fakes Pledge Scheme is a well-recognised brand in Hong Kong and South China.

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2008-09

Staff Development Programme

The Department has established various training programmes for colleagues. Newly recruited solicitors are attached to various teams before being assigned a position, while IP Examiners are under direct supervision before conducting examination independently. During 2008-09, the Department has one staff training manual for all newly recruited.

Relational Capital
Relational Capital is an important capital element of the Department, which has a strong focus on the relationship and collaboration level with stakeholders. As a government agency, good will, trust and public support are the important value of the Department. In addition to local stakeholders, the Department also outreaches to overseas governments and participates in international organisations.

2008 17.2% 91.4%

Relations with the General Public

The Department serves the public and values its relationship with the public. The Survey on Public Awareness of Intellectual Property Right Protection and the Survey on Business Attitudes to Intellectual Property are the major assessment tools used to gauge the relation with the general public. In the 2008 surveys, 17.2% of respondents from the public were aware of the Department and its functions; while 91.4% of respondents from the business sector were aware of the Department and its functions.

2008 92% 2008 71.1% 50.1% 80%

Image / Reputation
The Department is striving for excellence in providing effective and efficient services to the public. To understand the users experience and feedbacks to the current services, a User Satisfaction Survey is commissioned by the Department. From the 2008 User Satisfaction Report, 92% of respondents expressed satisfaction with both the e-Filing and Online Search Systems. From the Survey on Public Awareness of Intellectual Property Right Protection 2008, 71.1% of respondents considered the public education activities organised by the Department as effective, while 50.1% were aware of No Fakes Pledge Scheme; over 80% of respondents expressed that they have seen these materials.

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2009 HSBC4.8 (5)HKQAA-HSBC

The Department cares about the community. There are annual blood donation activity, visiting home for people with limited mental capability, DVD donation to charities, and others. In the Hong Kong Quality Assurance Agency-HSBC Corporate Social Responsibility Advocate Index, the Department has scored 4.8 points out of 5 points in 2009, and received the HKQAA-HSBC CSR Index Advocate Mark.

Relational Capital Indicator 2008-09 Number in 2008-09 2009-10 Target in 2009-10

Relations with the General Public (6%)

17.2% 91.4%

3 Awareness of IPD and its Functions in General Public 4 Awareness of IPD and its Functions in Business Sector
5

Image / Reputation (6%)

92% 92%

Satisfaction Rate with Online Search System 5 Satisfaction Rate with e-Filing System 3 Effective P&E Activities 3 Awareness of No Fakes Pledge Brand 3 Promotions of IPD recalled by the public

71.1% 50.1% 80.4%

Relation with External Stakeholders (7%) 13

Collaborations with Bureaux / Departments Collaborations with External Stakeholders

32

Relation with Internal Stakeholders (4%) 661

Number of Participants in Voluntary Events

Relations with Mainland, Foreign Governments and International Organisations (5%)

Collaborations with the Mainland Meetings with Foreign Governments Collaborations with Overseas IP Offices
4: Table 4: List of Indicators for Relational Capital

27

25 6

32008 From spontaneous response over the telephone from the Survey on Public Awareness of Intellectual Property Right Protection 2008 42008 From written response from questionnaire from Survey on Business Attitudes to Intellectual Property 2008 52008 From User Satisfaction Survey 2008

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2008-09 13 2008-09 32

Relations with External Stakeholders

It is important to have an integrated government effort in promoting IPR protection. The Department has been working closely with other government bureaux and departments in public education work. In 2008-09, the Department jointly organised 13 events with other bureaux and departments: Hong Kong Customs and Commerce and Economic Development Bureau. To have a better understanding on the needs of local stakeholders, the Department conducts regular meetings with stakeholders, including IP practitioners, the legal profession, rights-owners and chambers of commerce. In addition to facilitating the communication between stakeholders and the Department, these regular stakeholder meetings also foster trust. In addition to collaborating with government bureaux and departments, the Department has also jointly organised 32 seminars, conferences and workshops with other stakeholders, namely local chambers of commerce and trade associations.

2008-09661

Relations with Internal Stakeholders

The Department values its staff relations. There are formal and regular meetings to facilitate internal communication within the Department, including the Departmental Consultative Committee, Senior Officers Meetings and Directorate Meetings. Staff are encouraged to bring up issues of interests and voice out their concerns. After office hours, there are a number of programmes and voluntary events for staff members. In 2008-09, there were 661 participants in events such as the annual Christmas Party, Tai-chi classes and other interest groups.

2008-09 27

Relations with the Mainland Government, Overseas Governments and International Organisations
To maintain the protection of intellectual property rights to the highest international standards, the Department maintains contacts with the Mainland counterparts and overseas IP offices. In 2008-09, the Department had 27 collaboration projects with the Mainland Government, namely the Mainland, Hong Kong SAR and Macao SAR Intellectual Property Symposium 2008, No Fakes Pledge Scheme in Guangdong Province, Chinas Intellectual Property Strategy Forum and the Intellectual Property Experts Meeting of the Hong Kong / Guangdong Co-operation Joint Conference.

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2008-09, 25

The Department held 25 bilateral meetings with delegates and visitors from foreign governments in 2008-09. During these meetings, the Department introduced the intellectual property right protection efforts of Hong Kong and showcased them to the international community.

2008 Christmas Party 2008

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Knowledge Transfer and Sharing

Intellectual property is a highly specialised field of legal study, while the Department is one of the few agencies in Hong Kong offering services in IPR. There are few academic programmes specialised in IPR available locally, while the coverage on IPR in general legal study programme is limited. In this connection, it is crucial for the Department to transfer its knowledge to the community and encourage more lawyers and interested parties to join the IPR field.

Knowledge Transfer
Knowledge Transfer

Indicator

2008-09 Number in 2008-09 69 172 50,987,246 1 22 3

2009-10 Target in 2009-10

Speeches and Presentations Schools Visited Hit-Rate of the Departments Website External Teaching Assignments Interns and Solicitor Trainees Accredited CPD Courses
5: Table 5: List of Indicators for Knowledge Transfer

2008-09 69 2008-09 172

In order to disseminate the message of IPR protection to the wider public and promote respect for the rights of others, the Department has delivered 69 public speeches and presentations during 2008-09. Since the Department has targeted to outreach to more teenagers, 172 schools have been visited in 2008-09 where talks and presentations through drama to pupils were conducted. The Department understands that all documented procedures should be made available to the public to enhance understanding of application and examination procedures. As such, the Trade Marks Registry Work Manual is now uploaded

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 Intellectual Capital Statement 2009

2008-09 50,987,246 2008-09 2008-0922 2008-09 3

7: Photo 7: Interactive Drama Programme on Anti-Internet Piracy

onto the Internet, while application guidelines for designs, standard patent and shortterm patents are also available on the website of the Department. In 2008-09, the hit-rate of the website of the Department reached 50,987,246. Some colleagues in the Department serve as associate professors in various local and overseas academic institutes on an unpaid and voluntary basis. Through the external teaching assignments, law students are able to have a better understanding on the latest developments in the IP field, with an ultimate goal of attracting more young lawyers to join the IP field. There was one external teaching assignment provided by staff of the Department in 2008-09. To allow solicitor trainees and law students to gain first-hand experience in practising in the IP field, the Department received 22 interns and trainees during 2008-09. It is hoped that through this structured attachment to the Department, interns and trainees could develop interest and passion in the IP field. In addition to local universities, there are considerable numbers of interns from overseas / Mainland universities who come on attachment to the Department, namely Australia, Mainland China, the United Kingdom and the United States. Receiving overseas interns not only benefits students, but also helps develop the professional image of Hong Kong in the IP legal profession. Interns on attachment completed also valuable research assignments. The relational capital between the Department and this international network of ex-interns is also another important capital element. The Department organises a number of seminars which are recognised under the Continuing Professional Development (CPD) Scheme of the Law Society of Hong Kong. In 2008-09, there were three seminars accreditated by the Law Society of Hong Kong.

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 Intellectual Capital Statement 2009

Protecting Privileged Knowledge and Disclosing Information of Public Interest

As an open and transparent Government, it is important to disclose information that is of interests to the public. We also acknowledge the aspirations of the Creative Commons movement. On the other hand, it is crucial to protect sensitive information and knowledge for the public interests. What is sensitive in one context could be of public interest in another; hence the Department should pay due care while setting a policy on public access to information.

Knowledge Transfer Levels of Sharability Example(s)

Transferable

Online Database of Trade Mark Registry Promotional Materials Trade Mark Work Manual Trade Mark System Software Contact List of the Department

Acknowledgement Required Permission Required, No Fee Applied Permission Required with a Fee Applied Not Transferable

6: Table 6: Levels of Sharability of Information and Knowledge

() ( ) ( ) ( )

Some information and knowledge can be accessed by the public without any conditions, for instance the online database of the Trade Marks Registry; while others require acknowledgements when knowledge and information is transferred out of the Department, such as the re-distribution of the Departments promotional materials. Permission is required to transfer out some information and knowledge, such as re-distribution of the Trade Marks Registry Work Manual; while a fee is applied on top of a permission for other information and knowledge, for example commercial use of the Trade Mark System Software. Finally, there are information and knowledge that can never be shared with third parties, such as contact lists of the Department and private personal data. Appendix II enlists the databases, electronic and paper records and IP rights of the Department, and also indicate the sharability of each document. Appendix III lists out the documents which safeguard good governance of the Department.

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 Intellectual Capital Statement 2009

Risk Analysis and Risk Mitigation

As with all organisations, the Department faces risks and challenges every day. The risks associated with intellectual capital pose unique challenges to organisations, as intellectual capital is intangible in nature and is difficult to protect by physical means. Consequently, dedicated management procedures have to be taken to minimise these risks. Risks can rarely be eliminated, but can often be mitigated. The Department constantly assesses its risk factors, and introduces mitigation strategies to minimise them.

Risks Associated with the Intellectual Capital

Following a review of the intellectual capital elements and their weightings proposed by staff members, various major risks associated with each intellectual capital element are discussed below. Human Capital is the most dynamic intellectual capital of the Department. The major challenge the Department facing is the potential loss of essential staff members. Given generally stable employment conditions of service of civil servants who joined the Service before 2000, the turn-over rate of the Department is relatively low when compared with the private sector. With the introduction of the Civil Service Reform in 2000, new recruits to the Civil Service are appointed initially on probationary and agreement terms for up to seven years before being considered for non-pensionable permanent terms. Such a reform has increased the mobility of the Civil Service. For this reason, the turn-over rate of new recruits is higher, and comparable to the private sector. The current staff retention strategies might not be sufficient to retain key staff members, and hence important knowledge workers might be lost. Under the Structural Capital, the electronic work platform is valued among rights applicants. Many of them submit their applications through the electronic work platform. Registered rights-owners can manage and renew their registrations electronically. Internally, all applications are now handled through an electronic work-flow system. The automated system has greatly improved the efficiency and hence service delivery to all the applicants.

2000 2000

28

 Intellectual Capital Statement 2009

These electronic systems provide unparalleled level of convenience to all service users; but at the same time, they pose a risk to the Department and the service users. Any disruptions of the Internet connection or breakdown of the system would paralyse the operation of the Department. Internet security is another major threat to the Structural Capital of the Department. When information is processed through the electronic work platform, they are vulnerable to Internet security threats. This is of particularly concern to all the intellectual property rights owners, where novelty and uniqueness count towards the validity of patents or registered designs. Trust is the cornerstone of the Relational Capital, where every relationship requires trust to flourish. Trust is built through years of endeavour, but could be destroyed overnight. Any breach of trust is hence a major risk of the Department. A breach caused by data leakage, corruption or poor customer relations could have a serious impact on public confidence over the public deliverables of the Department.

Steps towards Risk Mitigation

Upon the implementation of the Civil Service Reform, it is anticipated that the turn-over rate of the new recruits will be similar to the private sector. This is particularly prominent to the Legal Officer Grade, where the private sector has been competing with the public sector for talent with attractive remuneration packages. To retain talent, the Department is working to create a supportive and facilitative working environment to all staff members. Options of Working Hours, Flexible Time and other staff management measures are in place to offer a more flexible working time pattern especially having regard to working men and women with young families or dependants. Different communication channels are now available to facilitate communication between senior officers and other staff members. The Department also organises various staff recognition awards, such as Most Devoted Staff and Most Popular Staff. Various interest groups and staff leisure activities are organised to build a sense of belonging to the Department amongst staff. Notwithstanding these staff management measures, the Department runs comprehensive and well-maintained knowledge repositories. However, these knowledge

29

 Intellectual Capital Statement 2009

( )12 (CMM L-5)

repositories are not integrated or consistent. The Department recognises a gap that needs to be addressed in revamping these knowledge repositories into a modern and user-friendly knowledge management system for internal and partial external use. By transferring Human Capital to Structural Capital, important knowledge and know-how can be documented in the knowledge management system, and hence maintained within the Department. To prepare for any potential disruption of services to the electronic service platform, the Department has formulated Contingency Arrangements in the Event of Emergency Situations to offer guidelines and directions if the worst happens. Under the Arrangements, the operations of the Department will immediately be moved to another physical location, where core functions of the Department can be maintained. It is anticipated that even in the event of serious disruption such as closure of the building due to fire, core services could be resumed at a fall-back location within 12 hours. The contractor of the Departments electronic service platform conforms to the strictest standards of the Level Five of the Capability Maturity Model (CMM Level 5), where the capability of process management in software development is ensured. Together with the Office of the Government Chief Information Officer, the Department has also documented and implemented the highest standard of Internet security measures against internal and external threats. Only impartiality and neutrality could provide confidence to all the rights owners and service users of the Department, and hence build a trusting relationship with them. The Department has documented and implemented an array of internal measures to ensure the impartiality and neutrality, such as guidelines in Conflict of Interest, Reporting of attempted bribes, Reporting of criminal offences, Allegations of corruption against civil servants. These guidelines are re-circulated twice a year to reinforce the implementation. The Department conducts surveys to monitor the general perception of the Department, as well as maintaining regular contact with various users and stakeholders, to collect publics opinions of the Department and seek continuous improvement.

30

 Intellectual Capital Statement 2009

The Way Forward

Preparation of this Statement has offered an opportunity to collect views and comments from various stakeholders and has allowed the Department to stock-take the knowledge that it controls. In terms of stakeholder values, it is striking that stakeholder interviews did not elicit a strong value attached to trust. In our view, trust (absence of corruption, impartiality, fairness, security and confidentially) should be regarded as a key value in the operation of a department responsible for deciding upon the valuable legal rights of stakeholders and handling matters with great potential commercial value. On the other hand, professional competence, judgment and efficiency were values readily identified by stakeholders. In taking forward our strategy for the future, we shall continue to act on the basis that trust is a factor of major importance to stakeholders, notwithstanding that those interviewed might have taken for granted that the Hong Kong SAR Government should subscribe to those values. To address the stakeholders values in regard to IPDs intellectual capital, the Department has identified the following priorities for improvement: 1. Develop a long-term staff development programme; 2. Renew the electronic service platform and service delivery to address the changing needs of service users; and 3. Strengthen support to local enterprises, particularly in the area of non-legal advisory service and raising awareness of how to use the IP system effectively. We believe that this first attempt at an Intellectual Capital Report will help our external stakeholders to appreciate what a large component of the output of government departments like the Department lies in elements that cannot readily be seen. At the same time, it should serve as a timely reminder to our internal stakeholders that the same invisible elements in our services play a vital role in stakeholder perceptions, and that we should redouble our efforts to maintain them and improve on them.

1. 2. 3.

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 Intellectual Capital Statement 2009

2008420093

( )

2008-09

20093

% % % 20093

20093

32

 Intellectual Capital Statement 2009

2008420093

% % 2008 2008

% % % % % 2008 2008 2008 2008 2008

33

 Intellectual Capital Statement 2009

Appendix I - List of Indicators for the Period between Apr 2008 to Mar 2009
Human Capital
Professional Knowledge Law-related Degree Holders % Average Years of Service Years Personal Competence Incident Related to Personal Integrity Number Number of Incidents Related to Personal Integrity Percentage of staff having professional qualifications in IP and its related law in the total strength (including Non-Civil Service Contract Staff but excluding interns and contractors staff) The average number of years of service in respective grades (including Legal Officer and IP Examiner Grades only)

Attending Chinese / English Number Number of attendance in Chinese and/or English-improvement courses Courses provided by the Department and/or CSTDI (both oral and writing courses) Self-Improvement Job Rotation / Secondment Number Learning Foreign Languages Number Spending on Training per Head $ Number of colleagues under secondment to other organisations / departments / bureaux or internal job rotation within the Department Number of attendance in language courses other than Chinese and English sponsored by the Department (payment claimed in 2008-09) Average amount spent on training per colleague Number of colleagues received sponsored local trainings (regardless of number of times) Number of colleagues received sponsored overseas trainings (regardless of number of times)

Sponsored Local Training Number Sponsored Overseas Training Number

Structural Capital
Documented Procedures Number of Documented Number Procedures Circular and Memo in Effect Number Unauthorised Software Installed Number Designs of IT Infrastructure Trademark Applications % Filed Electronically Patent Applications % Filed Electronically Design Applications % Field Electronically Number of e-Filers Registered Knowledge Repositories Items in Library Number IP Promotion Resources Number of New APIs Produced Number Number of Announcements of Public Interests (API) Videos Produced Number of Hit-rate of the Online IP Education Materials Number of books, publications, online materials and journals as of 31 March 2009 Number Percentage of Trademark Applications Filed through the e-filing and Interactive Service System Percentage of Standard Patent Applications Filed through the e-filing and Interactive Service System Percentage of Design Applications Filed through the e-Filing and Interactive Service System Number of e-Filers Registered with the Department as of 31 March 2009 Number of manuals in relation to procedures maintained by the Department Number of circulars and memoranda in effect in the Department as of March 2009 Number of reported incidents of unauthorised computer software programmes installed in the personal computers of the Department

Hit-Rate of Online IP Number Education Materials Staff Development Programme Staff Training Manual Number

Number of Staff Training Manuals for New Recruits Maintained by the Department

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 Intellectual Capital Statement 2009

Appendix I - List of Indicators for the Period between Apr 2008 to Mar 2009 (Contd)
Relational Capital
Public Relations Awareness of IPD and its % Functions in General Public Awareness of IPD and its % Functions in Business Sector Image / Reputation Satisfaction Rate with Online % Search System Satisfaction Rate with e-Filing % System Effective P&E Activities % Awareness of No Fakes Pledge % Brand Promotions of IPD recalled by % the Public Relation with External Stakeholders Collaborations with B/D Number Collaborations with External Number Stakeholders Relations with Internal Stakeholders Number of Participants in Number Voluntary Events Number of participants in voluntary events for colleagues Number of collaborations (activities, projects, etc.) with other government departments and bureaux Number of visits, seminars, conferences and workshops organised with external stakeholders (excluding government department and bureaux) Percentage of respondents gave satisfactory and excellent rating in the User Satisfaction Survey 2008 Percentage of respondents gave satisfactory and excellent rating in the User Satisfaction Survey 2008 Percentage of respondents considered P&E activities organised by IPD as effective as in the Survey on Public awareness of Intellectual Property Right Protection 2008 Percentage of respondents aware of No Fakes Pledge Scheme in the Survey on Public awareness of Intellectual Property Right Protection 2008 Percentage of respondents recalled the promotion of IPD in the Survey on Public awareness of Intellectual Property Right Protection 2008 Percentage of respondents aware of IPD and its functions in the Survey on Public awareness of Intellectual Property Right Protection 2008 Percentage of respondents aware of the duties of IPD in the Survey on Business Attitudes to Intellectual Property 2008

Relations with Mainland Government, Overseas Governments and International Organisations Collaborations with the Mainland Number Meeting with Foreign Number Governments Collaborations with IP Offices Number Speeches and Presentations School Visited Hit-rate of the Department Website Number Number Number Number of collaborations (activities, projects, etc.) with counterparts in the Mainland Number of meetings with foreign government representatives, delegations and consulates Number of collaborations (activities, projects, etc.) with overseas IP offices

Knowledge Transfer
Number of speeches and presentations given by colleagues to the public Number of Schools Visited Number of hit-rate recorded for the website of the Department Number of teaching assignments delivered by colleagues to academic institutes Number of interns and trainees received by the Department Number of courses under the Continuing Professional Development (CPD) Scheme of the Law Society of Hong Kong

External Teaching Assignments Number Interns and Solicitor Trainees Number

Accredited CPD Courses Number

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 Intellectual Capital Statement 2009

1 Lexus-Nexis 1 2 3 4 5

3 4 5 6 7 8 9

P P

P P P

P P

10 11

1 2 3 4 5

- - - - -

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 Intellectual Capital Statement 2009

12 1 2 3 4 5

13

14 15

16

P P P

17 18

19

20 21

1 2 3 4 5

- - - - -

37

 Intellectual Capital Statement 2009

Appendix II A List of Databases, Electronic and Paper Records and IP Rights of the Department
No 1 Sharability Name Explanation
Online Database of Trade Marks, Patents, Registered Designs Registries Traditional Government filing system recording a wide range of decision making processes and policy formulation. Physical library of books and magazines related to intellectual property. Subscriptions to digital LexusNexis Database of legal materials. Staff assessments and HRM resources. Manual of trademark search and examination practices and procedures. Guideline of Patent formality examination practices and procedures. Guideline of Design formality examination practices and procedures. Explanatory materials published on the Internet or in paper form explaining intellectual property laws and procedures to the public. Independently-commissioned telephone/mailed surveys, together with analysis and explanatory information. Centralized regulations on the management of the civil service. Promotes transparent and fair staff management.

Documentation 1
Searchable electronic databases

Online Database

`2

IPD Paper File System

Paper files lacking internal index or global index. Subject to security classifications.

IPD Library

Computer Indexed by title/ author.

P P P

Electronic reference subscriptions

Internet platform.

Staff records

Paper/electronic personnel files.

Trade Marks Registry Work Manual Training summary on patent examination Training summary on design examination Public Education Materials

Electronic manual, up-dated as and when necessary, available to all staff. Paper guideline available to Patent Registry Staff.

P P

Paper guideline available to Design Registry Staff.

Internet websites, paper publications. English, Chinese, some in Japanese and Korean.

10 Public and Business Surveys on IP Awareness and Attitudes 11 Civil Service Regulations

Published in English and Chinese.

Available to all IPD staff on the Intranet.

Key:

1 2 3 4 5

- - - - -

Transferable Acknowledgement required Permission required, no fee applied Permission required with a fee applied Not transferable

Note: Reproduction / distribution of these materials may be subject to different restrictions.

38

 Intellectual Capital Statement 2009

Appendix II A List of Databases, Electronic and Paper Records and IP Rights of the Department (Contd)
No Sharability Name Explanation
Centralized regulations on the management of public finances. Promotes transparent accounting and secure management of public moneys. Centralized regulations on procurement of goods and services and management of government stores. Promotes transparent and fair procurement. Interactive platform supporting all registry activities relating to registration of IP rights.

Documentation 1
Available to all IPD staff on the Intranet.

12 Financial and Accounting Regulations

13 Stores and Procurement Regulations

Available to all IPD staff on the Intranet.

14 Electronic Trademarks, Designs and Patents Registration Systems 15 Registrability / Opposition Hearing Decisions

Three independent software systems, with common electronic service features to support e-filing and electronic publication of Hong Kong Intellectual Property Journal. Registrability hearing decisions for applications which fail to meet the registration requirements of the Trade Marks Ordinance and opposition hearing decisions are available on the Internet. Searchable electronic correspondence available as legal reference for examiners. Partially searchable with archive.

Written decisions of trademark registrability or opposition cases.

16 Examiners Decisions 17 Intranet 18 Knowledge Management Databases 19 Client Databases

Copies of correspondence relating to examiners decisions on individual cases. Platform for internal correspondence. Collections of educational materials, public speeches, legal research documentation and legal advice. Databases of clients or participants in certain activities such as No Fakes Pledge Scheme, I Pledge Campaign, customer relations databases, SME lists. Rights in software and copyright works created by IPD on under contract on IPDs behalf. Contract for providing noncore services and IT services to IPD.

P P P

Available to certain staff working in particular areas.

Searchable electronic databases.

20 IP Rights in software and copyright works

Rights to software systems for the IP registries and rights in IP promotional materials. Provides for monitoring of provision of service by the outsourcing contractor and parties rights/obligations.

21 Service Contract with Outsourcing Contractor

Key: 1 2 3 4 5 - - - - - Transferable

Acknowledgement required Permission required, no fee applied Permission required with a fee applied Not transferable

Note: Reproduction / distribution of these materials may be subject to different restrictions.

39

 Intellectual Capital Statement 2009

1 1 2 3 4 5

8 2009 12

(USB) ,

P P P P

5 6 7

P P P

10
1 2 3 4 5 - - - - -

40

 Intellectual Capital Statement 2009

1 2 3 4 5

11 12 () 13 14 15 16

P P P P P P P

17

18

19

P P

20

1 2 3 4 5

- - - - -

41

 Intellectual Capital Statement 2009

Appendix III - Structural Capital which Safeguards Good Governance

No 1 Sharability Name Explanation
Procedures to ensure continuity of service following physical disruption to IPDs premises.

Documentation 1
IPD General Circular. Overseen by Departmental Secretary as security officer.

Contingency Arrangements in the Event of Emergency Situations

Guidelines on Handling of Personal Data in Trade Mark, Patent, Registered Design and Copyright Licensing Body Records and other areas of IPD's business Use of Unauthorized Computer Software in Government Liability to Disciplinary Action Guidelines on Providing Assistance to Officers in case of Need for Emergency Medical Treatment during Duty Visits or Training in Mainland China Taking Classified or Sensitive Documents out of the Office

Procedures to ensure compliance with Personal Data (Privacy) Ordinance. IPD General Circular.

Procedures aimed at ensuring compliance with copyright protection of computer software.

IPD General Circular overseen by IP Compliance Officer.

To provide additional security for IPD staff involved with activities on the Mainland.

IPD General Circular.

Procedures to maintain security of data removed from the office (USB Drives etc.) Emergency evacuation procedure to ensure safety of staff, clients and visitors. Procedures to ensure orderly arrival/departure of staff and manning of IPD during typhoon/rainstorms.

IPD General Circular.

Reference Guidelines on Evacuation in Emergency Situations Arrangements on the Hoisting and Lowering of Tropical Cyclone Warning Signal No. 8 or higher and Rainstorm Warnings Code of Conduct & Discipline (Revised in December 2009) Information Technology Security Policy, User Guidelines

IPD General Circular supported by regular drills.

IPD General Circular supported by division/team managers.

Sets out integrity standards for staff of IPD.

IPD General Circular supported by departmental integrity officer. IPD General Circular supported by departmental security officer. IPD General Circular supported by departmental security officer.

P P

Procedures to maintain a high level of digital data security.

10 Data Protection Against Risks of Using Peer-to-Peer Software

Key: 1 2 3 4 5 - - - - - Transferable

Procedures to maintain a high level of digital data security.

Acknowledgement required Permission required, no fee applied Permission required with a fee applied Not transferable

Note: Reproduction / distribution of these materials may be subject to different restrictions.

42

 Intellectual Capital Statement 2009

Appendix III - Structural Capital which Safeguards Good Governance (Contd)

No
e-mail

Sharability Name Explanation

Procedures to maintain data integrity.

Documentation 1
IPD General Circular.

11 Procedure for backup of

P P

12 Personal Data (Privacy) Ordinance Guidelines for users of EmploymentRelated Personal Data in the Civil Service

Procedures to ensure compliance with Personal Data (Privacy) Ordinance.

Government Circular.

13 Conflict of interest

Procedures to prevent conflicts of interest and declarations of interest by senior staff.

General Government Circular supported by departmental integrity officer. General Government Circular supported by departmental integrity officer. General Government Circular. General Government Circular supported by departmental integrity officer. Quarterly meeting attended by representative of CSB.

14 Reporting of attempted bribes

Procedures for prevention/ reporting of bribery.

P P P

15 Reporting of criminal offences

Procedures for reporting suspected criminal offences.

16 Allegations of corruption against civil servants

Procedures for prevention/ reporting of bribery.

17 Departmental Consultative Committee

Provides a forum for discussions of staff welfare and labour issues between all staff grades and management. Awards to staff for Most Devoted Staff, Most Popular Staff, long and meritorious service.

18 Staff recognition schemes

Managed by Departmental Administration Unit.

19 Staff motivation schemes

Staff outings. Annual staff retreats.

Recreational outings to increase staff solidarity. Annual retreat for teambuilding and training. Supported by detailed documentation on performance according to the KPIs set out in the contract.

20 Outsourcing contract management meeting

Oversees performance of the contractor and discusses issues relating to IT development in IPD.

Key:

1 2 3 4 5

- - - - -

Transferable Acknowledgement required Permission required, no fee applied Permission required with a fee applied Not transferable

Note: Reproduction / distribution of these materials may be subject to different restrictions.

43

 Intellectual Capital Statement 2009

Appendix IV - Anchor Persons System

Anchor Persons System
Articleship & Secondee Co-ordinator Chair/Member of Library Committee Staff Complaints Officer Copyright Administrator Gender Focal Point Integrity Officer Internship Co-ordinator IP Compliance Officer Legal Secretariat to Copyright Tribunal Personal Data (Privacy) Anchor Person Personal Data (Privacy) Officer Speaking Invitation Co-ordinator Structured Training Subject Supervisor for Interns Structured Training Subject Supervisor for Secondees Structured Training Subject Supervisor for Trainee Solicitors and Legal Officer New Recruits Web Master

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 Intellectual Capital Statement 2009

Abbreviations
APEC B/D CEDB CSB CSTDI KPI HC IC ICM IP IPD IPR P&E RC SAR SC SMEs WIPO WTO 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 Asia-Pacific Economic Cooperation Bureaux / Departments of the Government Commerce and Economic Development Bureau Civil Service Bureau Civil Service Training and Development Institute Key Performance Indicator Human Capital Intellectual Capital Intellectual Capital Management Intellectual Property Intellectual Property Department Intellectual Property Rights Publicity and Education Relational Capital Special Administrative Region Structural Capital Small and Medium Enterprises World Intellectual Property Organisation World Trade Organisation

45