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Fujitsu Legal Workshop
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Facilitators & Agenda
Erica Salmon Byrne
Chief Strategy Officer and Executive Chair, Ethisphere
Emily Rickaby
Director, Shared Expertise & Strategic Projects, Ethisphere
Alistair Maughan
Compliance Officer for Legal Practice, Morrison Foerster
HUSINESS ETHICS
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Facilitators & Agenda
Morning (9:30 - 12:45) Afternoon (12:45 - 4:30)
* 9330 - 9:45 Welcome * 12:45 - 1:30 Professional Standards
* 9:45 - 10:15 Setting the stage on ethical * 1:30 - 2:20 Project Holly Case Study 1
culture - 2:20 - 2:30 BREAK
* 90s) 7 10:45 Project Holly overviewand ——,_9.30 — 3:20 Project Holly Case Study 2
* 3:20 - 3:30 BREAK
* 3:30 - 4:20 Project Holly Case Study 3
° 4:20 - 4:30 BREAK
° 4:30 - 5:30 Principles Development
¢ 5:30 - 5:45 Wrap-up
° 10:45 - 11:00 BREAK
¢ 11:00 - 12:00 Stakeholder impacts mindset
* 12:00 - 12:45 LUNCH
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Setting the Stage on Ethical Culture
BUSINESS ETHICS
ETHISPHERE ALLIANCE
Power of informal systems on behavior
INFORMAL SYSTEMS are stronger influencers
than FORMAL SYSTEMS when it comes to
encouraging conduct and developing culture.
Decision derailers such as PRESSURE, FEAR,
ASPIRATION, or perceived FAIRNESS can
lead a person to choose an action that is
misaligned with their espoused belief in
doing the right thing. Many ethics and
compliance programmes do not include
measures to combat these decision
derailers.
Formal Systems
Training
Codes & Policies
Structures
Processes
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Ethical Propensities - The Human Factor
~20% of people have a tendency
toward ethical behaviour and
truthfulness in all circumstances
020 C0000
<10% have a "criminal tendency" or are
what we may call "bad apples"
The majority of people (around 70%) are influenced by environment, norms, emotions, and other
life circumstances
A Human-Centric Approach to Compliance Program Maturity
https://ethisphere.widen.net/s/nzsx5m7csd/a-human-centric-
approach-to-compliance-program-maturity-final
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aoe one
Reality of Speaking Up
7 feel
mployees often '
2 3 Zo apewered to raise
ay: in the
willing to report d, but
38%
actually report
susiness ennics
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Impressions Govern Actions, Especially Around Retaliation Fears
Is the non-retaliation —_I reported the misconduct
policy enforced? I observed
Yes /3%
No 34%
I ALLIANCE”
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How People Report - They Choose People. Are Yours Ready?
Hotline iL
op — & &
wor DLQLLL
susiness ennics
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Creating Psychological Safety
A psychologically safe environment is conducive to taking interpersonal risks or
engaging in acts of vulnerability
Q OQ Giving and receiving feedback . .
aa (2) Asking a question
» 4,
fm Asking for help
Admitting when a mistake was made
ane
Qa ? a ;
st Questioning assumptions
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4 Stages of
Psychological Safety
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Challenging Ability to offer opposing perspectives
without retaliation or jeopardising
@ C standing
Heeeet °
Contributing
Opportunity to make a meaningful
contribution; an appropriate balance of
autonomy and support 'e &
Learning _ Engage in learning without fear of
embarrassment or ridicule; freedom to
make mistakes and experiment
Inclusion
Feeling included and accepted and havingI
a sense of connection and belonging
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10
Managers Matter
2023 Edebman Trust Barometer pu
Trust is Local: Meet Deskless Workers Where They Are
Percent of employees who say
GLOBALT
‘Among deskless workers Among desk workers ‘Among executives
Most trusted voice My direct boss or supervisor II My direct boss or supervisor The CEO
to tell me what's happening
Top source Personal communications All-company in-person,
{o find out what's happening from my manager emails all-company meetings
on Mess op ties My CEO experiences My manager has formal My CEO experiences
= ops lay my day-to-day work ‘support to voice my concems my day-to-day work
SINESS ETHICS
SPHERE .Y iwi’,
(hon ART aUSESS POT \ ALLIANCE i
Y itiiien tomy
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Opportunities to Reduce Risks and Forge Solutions
2023.Edebnan Trust Barometer
2021 to 2023:
Percent of employees who say
To produce or motivate
urgently necessary changes
within my organization,
I would be willing to...
GLOBALT I @—Q—G@ change, sept 2021 to Sept 2023 ‘Significant change
Work with my employer ine)
0
6 5 %o
Take it public ieo
Employees More Willing To Partner For Change, Rather Than Take It Public
A
47
pts
v
Loy "
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Gen Z More Willing to Go Public
2023 Edebman Trust Barometer en
1 in 2 Gen Z Willing to Go Public to Push for Change at Work
Percent of employees who say
GLOBAL T I @—Q—D change, sept 2021 0 Sept2023._C Significant change
Age 18-26 27-42 43-58 59+
To produce or motivate s
urgently necessary changes Work with my employer (nev) or
within my organization, fomcateacemeeeee
I would be willing to... Diecty communcatef sncr management
. Gen Z far more willing to take things public
Take it public tev than older generations
cares on se! 2
i ea ads 2
ea intemal documents I © a
J Seed
Four Levers to Influence Culture
¢, \) WHO YOU HIRE
r \ Le * What does it look like to hire to
—" a fit with values?
* How is hiring happening across
your organisation?
WHO YOU FIRE
° What are the consequences.
for misconduct?
susiness ennics
ETHISPHERE ATE
WHO YOU PRAISE
Do you recognise employees for
asking questions?
Do you reward employees for
reaching goals without considering
how they reached them?
WHO YOU PROMOTE
ya Is this person a role model
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Project Holly Debrief
BUSINESS ETHICS
ETHISPHERE ALLIANCE
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15-Minute Break
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Stakeholder Impact Mindset
BUSINESS ETHICS
ETHISPHERE ALLIANCE
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Stakeholder Impact Map and Matrix
e Risk and opportunity External Stakeholders (ES)
identification beyond the
customer brief or product 1s4 ES1
features and functionality
* Broaden the lens of individual
and team responsibilities
1s2 ES2
* Start by identifying those
closest to the project/product Activity
and move outward —_
Is3 ES3
1s4 ES4
susiness ennics
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Stakeholder Impact Map and Matrix
Project Name:
° Assess potential positive and
* Determine amplifiers and
mitigators
* Consider sharing with
stakeholders to get a better
perspective
* Can be used at the project
kickoff and along the way as
various milestones are
complete or features are
designed
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ALLIANCE”
Inthe
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Stakeholder Impact Map and Matrix
* Breakout activity
* Select a current bid or deal or one in development. As a group, complete the stakeholder map and
matrix for that project (30 minutes)
* Report back to the large group (20 minutes)
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Lunch Break
Resume at 12:45
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IHORRISON
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Professional Standards
and the SRA
foe)
FUJITSU
PRESENTED BY.
ALISTAIR MAUGHAN
30 NOVEMBER 2023,
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Contacts
ALISTAIR MAUGHAN
MoFo Compliance Officer for Legal Practice
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FOERSTER
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Solicitors Regulation Authority
Role of the SRA
Doing More with Less
= Moving from a book to a set of principles
= SRA wants to provide shorter, more user-friendly rules
Reach for the STaRs
= SRA Standards and Regulations 2019
= The SRA Principles
= Two Codes of Conduct
> SRA regulated entities
> Individuals
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SRA and the In-house Sector
The SRA is historically more focussed at law firms...
... but has been playing catch-up with the in-house sector
Why? March 2023 — In-house Solicitors Thematic Review
5 key findings:
= 34,500 in-house solicitors
an The need to maintain
= 6,000 organisations independence >)
' Using policies and controls to
= 8,000 more in-house lawyers than a decade ago x ge Tenebe HEE
Acting ethically and meeting
20% of all practising solicitors are in-house regulatory obligations — while
managing work pressure
Maintaining continuing
competence
Ethical leadership
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SRA Principles
7 SRA Principles... “ fundamental tenets of ethical behaviour that we expect all those that we
regulate to uphold”
You are required to act:
in a way that upholds the
constitutional principle of
in a way that upholds
public trust and confidence
in the solicitors profession
and in legal services by
authorised persons
the rule of law, and the with independence with honesty
proper administration of
justice
in a way that encourages
equality, diversity and
inclusion
in the best interest of each
client
with integrity
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A Solicitor’s Duty to the Court
“Those Principles which safeguard the public interest (such as the rule of law, and public confidence in a trustworthy
solicitors’ profession) take precedence over an individual client's interests”
“You should, where relevant, inform your client of the circumstances in which your duty to the Court and other professional
obligations will outweigh your duty to them”
For example:
= How does this fit with duty to act in
accordance with employer's wishes if those
wishes may trigger illegality or unethical
behaviour?
= Do not dilute by potentially lesser standards
in the employer organisation
The SRA expects in-house solicitors to ensure that employers’ instructions do not undermine adherence to the Principles
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SRA Code for Individuals
SRA Code of Conduct for Solicitors, RELs and RFLs
Designed to show that regulated solicitors put the law and ethics first
Dispute
resolution and
proceedings Service and Client money
before courts, competence and assets
tribunals and
inquiries
Maintaining
trust and acting
fairly
Business
requirements
(referrals and
introduction)
Where you are
providing
services to the
public
Conflicts, Cooperation
confidentiality and
and disclosure accountability
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Specific Regulatory Obligations
[i
4 The need for professional indemnity insurance?
2 Undertakings
3. Covering all skillsets demanded by the client
4 _ Practising certificates are a personal responsibility
5 Employer support for continuing competence
6 Climate Change
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Enforcement Strategy
» Understanding the SRA Enforcement Strategy
= NDAs / SLAPPs
= Serious breaches
— abuse of trust
— taking unfair advantage of clients or others
— misuse of client money
— sexual and violent misconduct
— dishonesty
— criminal behaviour
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What Don’t You Have To Do?
SRA considers that certain aspects are less / not applicable to the in-house sector
= SRA Codes of Conduct for Firms — private practice entities only
= SRAAccounts Rules mostly irrelevant
= Conflict: Brg rules?
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Other SRA Focus Areas
Behavioural fair treatment requirements - a new addition in SRA Code of Conduct 1.5
“You treat colleagues fairly and “If you are a manager, you
with respect. You do not bully challenge behaviour that does
or harass them or discriminate not meet this standard”
unfairly against them”
@
x AO
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Questions
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I'IORRISON
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® in V9 © f
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Project Holly Case Studies
BUSINESS ETHICS
ETHISPHERE ALLIANCE
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Project Holly- Deep Dive Breakout Work
° Explore three moments from the Holly timeline
¢ For each timeline moment
¢ Assign a scribe / reporter for group
¢ Read case study - (10 minutes)
* Consider and discuss the points on the slide (20 minutes)
¢ Large group readouts (20 minutes)
Disclaimer - these case studies are based on facts and events that occurred within FSL over the past 25 years. However, some of
the names of FSL employees have been anonymized and some of the events and roles have been modified or composited for the
purpose of this exercise to encourage discussions around key themes that have arisen during the course of Project Holly and the
Post Office Horizon IT Inquiry.
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Project Holly- Deep Dive Case Study 1
¢ Discussion points:
« Imagining yourself as a member of the L&C team at the time, how could this
situation have happened?
¢ What would you do if you were asked to include a contractual provision for
court support services and, as in this instance, the customer had a legitimate
need for admissible evidence?
* There is a continuous focus on efficiency and speed in our services, which
can include the use of templates or providing guardrails within which the
business can self-service or operate independently. How do we ensure that
never comes at the expense of discharging our professional duties?
snes es
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ALLIANCE”
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10-Minute Break
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Project Holly- Deep Dive Case Study 2
¢ Discussion points:
* Imagine you were in L&C at the time and were aware of these activities. How
would you react?
* Would you have challenged the Post Office team despite the contractual
obligation to provide court support services, and the strategic importance of
this customer?
¢ What causes of concern, if any, would members of the L&C team have been
able to identify at the time?
* How would this type of request now be handled and who from L&C would
be involved?
snes es
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Project Holly- Deep Dive Case Study 3
¢ Discussion points:
* To what extent is it L&C’s role to question and challenge assurances and information
provided by colleagues elsewhere in the business? Should L&C have challenged the
reliability of the information used to prosecute SPMs? Does this change after the media
coverage and start of the Group Litigation?
* The provision of evidence to the Post Office for use in its prosecutions was part of the
original contract and provided as a contractual service since the start of the contract, and
many different L&C members were involved during the 20-year period. How are matters
handed over? To what extent can, or should, you rely on the information you're given as
opposed to challenging and investigating yourself?
¢ If you are aware of matters that require L&C input, to what extent do you raise the need for
L&C input and assistance on business account led matters?
¢ If you are asked to support a matter for which you don’t feel you have sufficient experience,
what would you do?
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10-Minute Break
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Principles Development
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Workshop Wrap-Up
ETHISPHERE 3 roriie