ETHISPHERE
‘GOOD. SMART. BUSINESS. PROFIT:
Fujitsu Legal
Workshop
30 November 202
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Workshop Agenda and Materials
30 November Morning (9:30 - 12:00)
9:30 - 9:45 Welcome
9:45 - 10:15 Setting the stage on ethical CUILUPE...... ce cecseessessteesesstesseesscenecsscesseenesseenneenseeneenee 2
10:15 - 10:45 Project Holly overview and debrief
10:45 - 11:00 BREAK
11:00 - 12:00 Stakeholder impacts MINdSet........cceecceseesesseessessssessecsessessesssssessessesnesacsneeuesessneesesees 9
12:00 - 12:45 LUNCH
30 November Afternoon (12:45 - 5:45)
12:45 - 1:30 Professional Standards............ceeseesseesseesesseesseessesseessesssesssesseessessesseesseessessnesseesseesnes 19
1:30 - 2:20 Project Holly Case Study Liv. esessssessssecsecsseecseessneessecsnnecsessneeesaessnessne Handout
2:20 - 2:30 BREAK
2:30 - 3:20 Project Holly Case Study 2.0... eesssssssssssssssssssesessssnsseseecsecaecasessecaeeenseseeenseeaes Handout
3:20 - 3:30 BREAK
3:30 - 4:20 Project Holly Case Study 3.0... c.sssssssssssseesssesssessesusesasesseeaceeseesseeasesneesseenessee Handout
4:20 - 4:30 BREAK
4:30 - 5:30 Principles Development
5:30 - 5:45 Wrap-up
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Setting the Stage for Understanding Culture
NOTES:
Power of informal systems on behaviour.
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.
Ethical Propensities - The Human Factor
<10% have a “criminal tendency" or are -20% of people have a tendency
What we may call’bad apples” toward ethical behavioue and
truthfulness in all ircumstances
o20
ie) (UP
“The majority of people (around 70%) ar influenced by environment, norms, emotions, and other
lite cecumstances
Nourenegare coenarantersetomercerne.
spproecnto-conpearce prog armati't)-tne)
eTWISPHERE
Reality of Speaking Up
9 feel
Employees often fe
i inthe
willing to report their hand, but in
5 Q O ‘moment fail to do so
%
actually report
SPHERE
{2000 SMART BUSINESS PROFIT
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Impressions Govern Actions, Especially Around Retaliation Fears
Is the non-retaliation —_I reported the misconduct
policy enforced? I observed
Yes 73%
No 34%
How People Report - They Choose People. Are Yours Ready?
Hotline A
we £2 2
ver QRALLL
erSPHERE
Creating Psychological Safety
A psychologically safe environment is conducive to taking interpersonal risks or
engaging in acts of vulnerability
9
%, Giving and receiving feeioa
R, Giving and receiving feedback
Bo,
a king for ete
Adritting when a mistake war made
Questioning assumptions
NOTES:
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NOTES:
4 Stages of
Psychological Safety
( . a
cnvsenene
SPHERE
‘0000, SMART BUSINESS, PROF:
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Introduction to Psychological Safety
What is psychological safety?
In a culture built on psychological safety,
there is a shared belief that the environment
is conducive to taking interpersonal risks or
engaging in acts of vulnerability such as:
[e) Qy Giving and receiving feedback
iam)
Admitting when a mistake was made
Questioning assumptions
Asking for help
/ Ks
aD?
(2) Asking a question
A healthy culture, a psychologically safe culture,
exists where these actions of everyday
interpersonal vulnerability are rewarded as
opposed to punished. It is a culture that has a
learning mindset and embodies the reality that
things will go wrong but we will catch them and
learn from them.
The costs are real when employees hold back
their full participation. Psychologically safe
environments illicit a performance response and
encourage people to take action. Unsafe
environments that place a focus on assigning
blame, excluding those who raise concerns, and
encourage concealing failures, provoke a fear
response, creating distraction and diminishing
performance.
An environment where it is safe to speak up can
drive innovation in addition to alerting an
organisation about problems or concerns. People
who may have solutions to problems, have ideas
for product improvements, have closest contact
with clients or are otherwise in a position to
offer insights or spot hazards, may choose to
remain quiet in environments in which speaking
up is a risky or dangerous activity, or in
environments where being silent is rewarded.
Every employee, but most importantly the direct manager, has an influence on an organisation’s culture.
Culture can be created by design or by default. One way that managers can transform culture, is to model
and reward acts of vulnerability, which creates an environment where people feel comfortable speaking
up.
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4 Stages of Psychological Safety*
Challenging Ability to offer opposing perspectives
without retaliation or jeopardising
standing
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 having’
a sense of connection and belonging
“Based on the work of Dr. Timothy Clark, Founder of LeaderFactor
&6
You can either lead the way or get in the way.
Dr. Timothy Clark
CEO and Founder of LeaderFactor 69
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NOTES:
Managers Matter
I Trustis Local: Meet Deskless Workers Where They Are
I Peart eos e987
PTHISPHERE
air
Opportunities to Reduce Risks and Forge Solutions
I 2024 to 2023:
Employees More Willing To Partner For Change, Rather Than Take it Public
eTWISPHERE
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{2000 SMART BUSINESS PROFIT
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Gen Z More Willing to Go Public
1 in 2 Gen Z Willing to Go Public to Push for Change at Work
eae ee ee eon
Four Levers to Influence Culture
@ \ WHO YOU HIRE e ‘WHO YOU PRAISE
c
P\ + What des itlook ket hire to + D0 yourecosnize employees for
= 2 fitwith values? ashing questions?
+ How is hiring happening across Do you reward employees for
‘your organization? reaching goals without considering
how they reached them?
WHO YOU FIRE
eee
© Wat ave the consequences Np. WHO YOU PROMOTE
for misconduct? + Is this person a role mode!
CTHSPHERE
NOTES:
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ISPHERE
GOOD. SMART. BUSINESS. PROFIT.
Stakeholder Impact
Map and Matrix
Use the Stakeholder Impact Map and
Matrix to better understand the risk and
opportunities created by any project or
product across a range of stakeholders.
For each stakeholder on the impact map,
complete the Stakeholder Impact Matrix.
Think about the positive and negative
impacts of the product or project on each
stakeholder group and then identify actions
to take to amplify positive impacts and
mitigate negative impacts. Remember that
the greatest risk or opportunity may not be
with the stakeholder closest to the product
or project.
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Stakeholder Impact Matrix
Project Name:
10
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Example: Stakeholder Impact Map ETHISPHERE
Internal Stakeholders (IS) External Stakeholders (ES)
Hospital System
Myself/my team
Administration (buyer)
Sales / Marketing ®— Health providers / staff
(end users)
Tech for
Healthcare,
Customer Service Patients
Patient network (family, friends,
Legal / Company my
employers, etc.]
Reputation
14
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Stakeholder Impact Matrix ETHISPHERE
Project Name: Tech platform for healthcare / patient records system
: a 5 Deadlines push other projects - Document new/improved Handoff pieces of non-priority
i ee Noy erteclt incet goat behind I processes for re-use - projects to second dev team
: Failure to bring in marketing : Ny ; ; 3 :
Sales / Marketing. ane ee Bat ey ane Loe arene: ap el ely
untapped market demand i eee quality of sales FeneO BENCHES qectrig:
Customer Service
Legal / Reputation
Hospital Admin (buyer)
Health providers (end users)
Patients
Patient network
12
SPHERE
‘0000, SMART BUSINESS, PROF:
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Breakout Exercise: Using the Stakeholder Map & Matrix
Select a project current underway or recently completed. As a group, complete the stakeholder
map and matrix for that project.
Project Name:_.
Project Description:
Identify Stakeholders
Internal Stakeholders (1S)
1S4
IS2
IS3
IS4
ISS
External Stakeholders (ES)
ES‘
ES2
ES3
ES 4
ESS.
13
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Identify Impacts, Amplifiers, & Mitigators
IS4
+ Impacts Amplifiers for +
- Impacts Mitigators for -
IS2
+ Impacts Amplifiers for +
- Impacts Mitigators for -
14
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Identify Impacts, Amplifiers, & Mitigators
IS3
+ Impacts Amplifiers for +
- Impacts Mitigators for -
IS4
+ Impacts Amplifiers for +
- Impacts Mitigators for -
15
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Identify Impacts, Amplifiers, & Mitigators
IS5
+ Impacts Amplifiers for +
- Impacts Mitigators for -
ES1
+ Impacts Amplifiers for +
~ Impacts Mitigators for -
16
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Identify Impacts, Amplifiers, & Mitigators
ES2
+ Impacts Amplifiers for +
- Impacts Mitigators for -
ES3
+ Impacts Amplifiers for +
~ Impacts Mitigators for -
17
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Identify Impacts, Amplifiers, & Mitigators
ES 4
+ Impacts Amplifiers for +
- Impacts Mitigators for -
ES
+ Impacts Amplifiers for +
~ Impacts Mitigators for -
18
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Professional Standards and the SRA
MORRISON
FOERSTER
Professional Standards
and the SRA
FUJITSU
Contacts
ALISTAIR MAUGHAN
MoFo Compliance Office or Legal Practice
(cour)
mignmson.
‘S8eneren
Solicitors Regulation Authority
Role of the SRA
Doing More with Less
* Moving from a book to a set of principles
+ SRAwants 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
19
SPHERE
‘0000, SMART BUSINESS, PROF:
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SRA and the In-house Sector
The SRAis 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
+ 34,500in-house solicitors
+ 6,000organisations {nlcorbpa «>
+ 8,000 more in-house lawyers than a decade ago = tt
fing way wai
+ 20%of al practising solicitors are in-house ore.)
re wore :
vag ota
Perec
‘SoenerER
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:
with independence
A Solicitor’s Duty to the Court
the public interest (such as the rule of iaw, and public confidence in a trustworthy
dividual client's interests
Those Principles which sai
solicitors profession) take precedent
mstances in which your duty to the id other professional
‘You should, where relevant, inform your client ofthe circu
obligations will outweigh your duty to them
For example:
How does this ftwtn duty to actin
Principle ‘accordance wih employers wishes ifthose
independence wishes may tigger Hegaly or unethical
Dehaviour?
Principle 6
ge equally Do not diute by potentaly lesser standards
in the employer organisation
20
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SRA Code for Individuals NOTES:
SRA Code of Conduct for Solicitors, RELs and RFLs
Designed to show that regulated solicitors put the law and ethics first
Dispute
Maintaining spc
trustand acting
fairly
Business conics. Where you are
I confidentiaity sefticea
I and disclosure public
requirements
(‘eterrals and
introduction)
eotkaren
Specific Regulatory Obligations
sional indemnity insurance?
1 The need for profe
2 Undertakings
3 Covering all skillsets demanded by the client
4 Practising certificates are a personal responsibility
5 Employer support for continuing competence
Climate Change
6
MORRISON.
‘Poensrer
Enforcement Strategy
= . all =f
* 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
21
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What Don’t You Have To Do? NOTES:
SRA considers that certain aspects are less / not applicable to the in-house sector
«SRA Codes of Conduct for Firms ~ private practice entities only
= SRA Accounts Rules mostly irrelevant
. WRONG
conte rcs
Other SRA Focus Areas
Behavioural fair treatment requirements - a new addition in SRA Code of Conduct 1.5,
“You treat colleagues fairly and
with respect. You do not bully
or harass them or discriminate
unfairly against them”
& Ae
“If you are a manager, you
challenge behaviour that does
not meet this standard”
WigRRISON
‘Pornstar
Questions
MORRISON
‘PoensreR
22
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Confidential and Legally Privileged
NOTES
FUJITSU-CONFIDENTIAL. © Fujitsu 2023
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Confidential and Legally Privileged
NOTES
FUJITSU-CONFIDENTIAL. © Fujitsu 2023
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Confidential and Legally Privileged
NOTES
FUJITSU-CONFIDENTIAL. © Fujitsu 2023
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Confidential and Legally Privileged
NOTES
FUJITSU-CONFIDENTIAL. © Fujitsu 2023