2016 Pro Bono Report

Legal Affairs

March 2017

2 3M Legal Affairs

Contents4 Commitment 5 Introductions

8 Justice 9 Pro Bono Attorney Makes New Law: An

Expungement Victory for Minnesota Petitioners11 3M Draws on Global Talent

to Represent Pro Bono Clients

13 Fairness 14 3M Pro Bono Volunteers

Step Up to Serve Minnesota Veterans14 3M Pro Bono Volunteers Help Abused Animals

16 Service17 An Inventor’s Journey from Idea

to Patented Reality: Pro Bono Patent to the Rescue20 3M Patent Prowess Pursues

PatentforTexasNon-Profit21 3M Pro Bono Volunteers: Stepping

into New Territory and New Areas of the Law22 3M Volunteers Support Families

with Special Education Needs

25 Leadership26 Stand Up and Be Counted: Developing

a Legal Identity Resource Kit27 3M Volunteers Work with Partners

to Build Toolkit for Public Service Leaders28 3M Mexico’s First Pro Bono

Event Supports Social Enterprises28 3M UK Organizes First Inter-Company

Pro Bono Collaboration30 3M China Hosts Workshop with Hogan Lovells

32 Acknowledgements

Commitment

33M Legal Affairs Commitment

4 3M Legal Affairs Commitment

53M Legal Affairs Commitment

“Equal access to justice: More than a moral imperative, it’s a bedrock of a well-functioning society. The only way to achieve access to justice is to ensure adequate legal representation and, for their part in that, I am grateful to the legal, compliance, and government affairs staff of 3M and our partners for their tremendous pro bono services this year.”

-Ivan Fong, 3M General Counsel

6 3M Legal Affairs A message from Maureen A. Harms

Adam BramwellAmy LieversAmy SandersAnn GallagherAvenee ThakrarBrett Strand, Vice-ChairCarolyn GarberCaryn WermagerCourtney DaCostaDaniela Falfan

Eleni SideridisIsabel GomesIvan Fong, Ex OfficioJean LownJessica Sebeck LugoJoseph Otterstetter, Ex OfficioLaura JohnsonLisa Fulton, Vice-Chair

Mariagrazia PeregoMaureen Harms, ChairMatthew MichaelMatthew StumpMeagan HertzogMelissa CairnsMichael LarsonNisha TanejaValentin Povarchuk

2016 Pro Bono Committee

2016 Pro Bono Partners

3Mgives

73M Legal Affairs A message from Maureen A. Harms

To 3M Legal Team and Community Partners–

“There can be no equal justice where the kind of trial a man gets depends on the amount of money he has.” -U.S. Supreme Court Justice Hugo Black

For our volunteers, pro bono work is about nothing less than getting to help reshape the future.

When they represent children in the foster care system, they are sometimes among the few adults who listen to, counsel and care about the child year after year. When our legal volunteers represent pro se applicants who have moved beyond their past crimes and turned their lives around, they are helping indi-viduals realize their potential. And when these same attorneys and paralegals help engage a global network of legal colleagues to gain safe shelterandrefugeestatusforsomeonefleeingmilitants, they may be quite literally saving lives.

Because of pro bono advocacy, all these people will go into the world and walk a path that may otherwise have been closed to them. The question, then, is no longer “Why engage in pro bono work?” but rather “How can we do more?”

“Doing more” around pro bono has been a steady drumbeat at 3M for almost 40 years. When then-3M General Counsel Chuck Dietz acceptedachallengetofindnewfundingforMinnesota’s legal aid providers, he was one of just a handful of leaders willing to add pro bono legal service to an already challenging corporate practice. Four years ago, Ivan Fong, our current general counsel, envisioned a pro bono program that, taken to the next level, could make a greater impact on the unmet legal needs in our community. He created the 3M Pro Bono Committee to inspire and sup-port voluntary, coordinated action throughout the organization.

Over the past four years, 3M Pro Bono has grown from 25 volunteers to more than 100 lawyers, paralegals, legal assistants and other legal,complianceandgovernmentaffairs

professionals. In 2016, 3M Pro Bono passed another major milestone when internation-al lawyers launched programs in three new countries.

Also last year, 3M pro bono volunteers assist-ed 377 clients compared with 264 in 2015. While assisting pro bono clients with unfamil-iar legal issues is a big challenge for in-house legalstaff,3Mvolunteers’resolveisevengreater. With support from our community partners and in-house pro bono program lead-ers, 3M’s program succeeds one hour, one volunteer and one project at a time.

Behind the statistics is the real story of pro bono. “The opposite of injustice is not justice but compassion,” writes Charlotte Joko Beck in “Nothing Special.” Many times, as important as our advocacy skills may be, our ability to extend an open ear to hear a client’s story and an open mind to help a client understand his or her rights and responsibilities is the real ser-vice.Ourtimeandourattentionofferdignity.And as we open our ears and our minds, our clients change us.

What is remarkable about every volunteer’s story,regardlessofthelegalarea,thediffi-culty of the case or the culture or economic status of the client, is that volunteers believe they receive more from their clients than they give. As one of my colleagues says, “I do this to help someone who needs advice, but in the end my pro bono client makes me a better lawyer – and a better person.”

Once we’ve been able to help a pro bono client there is no longer any question of why to engage in pro bono work.

We thank our clients, our legal aid and law firmpartnersandespecially3MCompanyforthe opportunity to serve our community.

Maureen A. HarmsPro Bono Committee ChairAssociate General Counsel

Justice

3M Legal Affairs8 Justice

Justice

93M Legal Affairs

How should the length of time a person has been free of convictions be measured under Minnesota’s new expungement statute? That wasthequestionretired3MLegalAffairscol-league, Dan Shapiro, helped the court answer in a case that created new law by interpreting the Minnesota expungement statute enacted in 2015.

As part of 3M’s partnership with the Volun-teer Lawyers Network (VLN), current and formermembersofLegalAffairs,suchasDan,regularly volunteer at the pro se expungement clinic held at the Ramsey County law library on the second and fourth Thursday of each month. At these clinics, volunteer lawyers and paralegals assist individuals in preparing their petitions for expungement (or court sealing) of past criminal records. The volunteer work most typically involves helping petitioners develop narratives explaining how they are negatively impacted by the public nature of their past records, and actions they have taken to rehabilitate themselves since their convic-tions occurred.

When Dan met with one individual at the clinic in June 2016, it was clear the facts presented a particularly compelling case for expungement. The petitioner had been convicted of unlaw-ful possession of a handgun back in 2000, a grossmisdemeanoroffensethat,ifoverfouryears old, is eligible for expungement under the new statute. However, the statute also requires a petitioner seeking expungement of a gross misdemeanor to demonstrate that he or she “has not been convicted of a new crime

for at least four years since discharge of the sentence for the crime.” Although the petition-er had been convicted of an additional gross misdemeanor two years after his initial con-viction, he did not have another single brush with the law after 2002. According to one interpretation of the statute, the petitioner’s 2002offensecouldbesubjecttoexpunge-mentbuthis2000offensewouldneverbesubject to expungement. Dan believed such a conclusion would be unfair and run counter to a key objective of the expungement statute. Because interpretation of this text from the statute in the end would determine whether the expungement petition was successful, Dan volunteered not only to prepare the ex-pungement petition, but also to represent the petitioner throughout the entire expungement process.

The case came before Judge John Guthmann inRamseyCountycourt.Initslitigationfilings,the Bureau of Criminal Apprehension argued that the four-year conviction-free period must take place immediately after the conviction at issue in the expungement petition. On behalf of the petitioner, Dan argued the provision in-stead means the requisite period of law-abid-ing behavior must be calculated looking back fromthedatethepetitionwasfiled,orelseex-pungements would simply be unattainable for manyrepeatoffendersdespitetheirrehabilita-tion. Tasked with interpreting the meaning of the text, the judge recognized there were “two equally plausible interpretations of the disput-ed language,” lamenting that the words of the statute“floatintimewithoutorientationasto

Pro Bono Attorney Makes New Law: An Expungement Victory for Minnesota Petitioners

Justice

when the requisite time period begins.”

After hearing the arguments from both sides and performing an intensive review of the statute’s legislative history, the judge deter-mined it could not have been the intent of the legislature to “forever foreclose the possibility ofanexpungementforthosewhoreoffendduring the waiting period regardless of how long they remain crime-free thereafter.” The judge, therefore, adopted the interpretation advocated by Dan, but went one step further by concluding the requisite waiting period be-gins tolling at any point since discharge from sentence – which may not necessarily corre-spond to the last four years looking back from thefilingdateofanexpungementpetition.Having interpreted the wording of the stat-ute, the judge concluded there was clear and convincing evidence in support of expunge-ment and that sealing the record would yield a benefittothepetitionerthatoutweighedanydisadvantages to the public. The judge noted in his opinion that the petitioner no longer posed any risk to individuals or society, that his criminal record was impeding his ability to secure public housing, and that he had taken active steps to serve as a positive member of societysincehisoffensesoccurredwelloveradecade earlier.

Looking back at the experience, Dan sees strong parallels between this case and his prior work as a 3M lawyer. In particular, he creditsthecollaborativeeffortsofVLNstaffattorneys as key factors in his preparation of arguments to persuade the court not to rule in a way that defeated the remedial purpose of the expungement statute. Dan similarly attributes the success of his 32-year career at3MtoLegalAffairscolleagueswhoalwaysworked in a collegial and collaborative manner tofindsolutionstoissuesand,thereby,benefitthe Company. Dan also sees his volunteer work on expungement cases as a natural extensionofhistimewithLegalAffairsgiventhat, throughout his career, 3M management consistently supported pro bono initiatives and encouraged its employees to perform pro bono work. Dan feels fortunate that, after an immensely rewarding career at 3M, he can now spend much of his time assisting others through volunteer projects such as the Ramsey County expungement clinic.

And where is the individual who successfully petitioned for the expungement now? Thanks to the assistance of Dan and VLN, as well as the judge who worked diligently to interpret the text of the statute appropriately, his future is now looking a lot brighter.

Above (from left to right): Mychael Walter, Second Judicial District Court Clerk, Dan Shapiro, Retired 3M Legal Counsel, Yaima Couso, VLN Resource Attorney.

113M Legal Affairs

Partnering with Southern Minnesota Region-al Legal Services (SMRLS) to provide legal assistance to clients applying for citizenship is one of 3M’s most successful pro bono pro-grams. In 2016 3M volunteers assisted over 35 immigrants with naturalization. “It is a very proud day for our clients when they complete the oath ceremony,” said Michael Dai, 3M Assistant General Counsel and a long-time Pro Bono volunteer. “It is an equally proud day for volunteers,” added Michael Larson, 3M IP Litigation Paralegal and Pro Bono Veteran’s program leader.

Valentin Povarchuk, 3M Trade Compliance Counsel, understands the concerns of immi-grant clients on a very personal level both as a Pro Bono volunteer and as someone who completed the naturalization process himself. Valentin emigrated from the former Soviet Union to the United States as a 15 year old. At the age of 13 he knew he wanted to become a lawyer and because of his own experience and how fortunate he felt to be in the United States, he was compelled to work on pro bono cases. He worked on asylum cases when he began his legal career, and has provided pro bono counsel for over 10 years. In 2016 he accepted a leadership role in 3M’s Pro Bono Immigration Program.

3M Draws on Global Talent to Represent Pro Bono Clients

Justice

12 3M Legal Affairs

In 2016 Valentin began one of his more challenging cases when he responded to an urgent call for pro bono help from a client of the International Refugee Assistance Project (IRAP). The caller was a young Syrian college student in hiding in Lebanon who feared being captured and persecuted. The communica-tion barriers were extreme, but Valentin and a team of 3M volunteers from around the globe, including Jessica Sebeck Lugo (US) and Heidi Abbass (UAE), responded to the young man’s request for help to obtain refugee recogni-tion and resettlement. Before the recogni-tion process could be completed, the client disappeared. Valentin and his team feared for their client’s life. Several weeks later the client reached out from Germany and the global team reengaged, adding a lawyer from 3M Germany, Dr. Michael van der Sanden. Their collaboration reached a successful conclusion when they obtained a residency permit in Germany for their client.

“The work is very rewarding, but it also has a big emotional impact,” Valentin explained. “Not being able to communicate with a client on the run is very unsettling. However being able to do this kind of pro bono work, and being able to form a global legal team to rep-resent a client in need is one of the unique and rewarding things about working at 3M.”

Justice

Above (left to right): Michael Larson, 3M Paralegal, Gisela Soliz (from El Salvador), and Michael Dai, 3M Assistant General Counsel. Previous: Valentin Povarchuk, 3M Trade Compliance Counsel.

Fairness

3M Legal Affairs 13Fairness

14 3M Legal Affairs Fairness

3M Pro Bono Volunteers Step Up to Serve Minnesota Veterans

Severalmembersof3MLegalAffairs,in coordination with the 3M Military Support Network (MSN), volunteered at the annual MACV Twin Cities Stand Down event, held at Fort Snelling on August 1-3, 2016. 842 veterans attended the event and received various services including clothing, assis-tance with housing, jobs, education and free haircuts. 223 sought legal assistance. The original Stand Down for homeless veterans was modelled after the Stand Down concept used during the Vietnam War to provide a safe retreat for units returning from combat op-erations.StandDownaffordedbattle-wearysoldiers the opportunity to renew their spirit, health and overall sense of well-being. That purpose still stands today when MACV hosts a Stand Down to bring many services to one location and make them more accessible to

ALL veterans who otherwise may not seek outservicesortakeadvantageofbenefits due to them.

Since November 2014, professionals from 3MLegalAffairshavevolunteeredatmonthlypro-bono legal clinics held at the Minneapolis VA Hospital. The clinics average approximate-ly 100 veteran clients. In coordination with MACV attorneys, volunteers assist veterans with various legal issues, including, but not limited to client-tenant issues, child-support modification,criminalexpungement,wills,bankruptcy, and family law issues. Attorneys provide veteran-clients with legal advice and other legal professionals conduct preliminary intake interviews. In 2016, 968 veterans were assisted at these monthly clinics.

3M Pro Bono Volunteers Help Abused Animals

What type of animal cruelty exists in Minne-sota?Istherealotofhoarding?Dog-fighting?Basic neglect? What counties have the most animal cruelty convictions? What counties have the least? What are the typical penalties imposed? Which animals are more likely to be victims of abuse?

These types of questions are what inspired Animal Folks to launch the Databank Project aspartofitsefforttobuildamodernizedsystem of animal protection in Minnesota. The project, which launched in 2014, involves the review of over 617 animal cruelty convictions occurring between 2008 and 2013.

The data from each case is coded into a

spreadsheet that highlights the type of crime, sentence, types of animals involved, and whether other crimes (e.g. drugs, guns, domestic violence) were also part of the case. Once compiled, the data from each case will play a key role in implementing programs and training to help protect animals in Minnesota. The data will also be used by a licensed psy-chologist to analyze the mental health aspect of animal cruelty and its documented relation to crimes against humans. Progress and Initial Analysis Over 400 cases have been coded so far, and while the full analysis is not yet complete, the emergence of certain patterns has provided

3M Legal Affairs 15Fairness

Animal Folks with material for the training plans they’re developing for law enforcement officersandveterinarians.Asamplingofcaseswere used for a training session Animal Folks led at the 2016 MVMA conference for the vet-erinary industry, and several cases involving crimes against animals and humans are being used as they develop training for law enforce-ment.

3M volunteers have played an integral part in the success of the project. Animal Folks is incredibly thankful for the opportunity to work with 3M’s dedicated volunteers on this project.

Coding the cases was a huge undertaking, so Animal Folks was grateful when 3M Legal Affairsvolunteersofferedtohelp.Thecodingteam is led by Ann Kulprathipanja Gallagher

and Sandra Nowak of 3M Corporation, and Ann Olson and Arianna Pittman of Animal Folks.

Over one year ago, the team began holding monthly two-hour coding sessions on site at 3M, allowing everyone to interact and use their combined expertise to problem-solve as caseswerereviewed.Asignificantnumberofvolunteers have also committed to coding cas-es on their own time to expedite completion of the project, resulting in an estimated 250 hours spent on coding alone.

Service

16 3M Legal Affairs Service

Service

173M Legal Affairs

An Inventor’s Journey from Idea to Patented Reality: Pro Bono Patent to the Rescue

When Marty Ferkul created a new-to-the-world cargo handling system for his truck, he knew he was onto something good. His invention allows a person to single-hand-edly load and unload heavy cargo without any need to climb into the back of the truck or SUV. There was still a lot of heavy lifting needed in the patent process – and that step is a much bigger hurdle than many realize.

Afterhefiledtheinitialpaper-work, he realized he needed help. For new inventors like Marty, LegalCORPS Inven-tor Assistance Program can provide a boost. It assists inventors who don’t have the financialresourcestohireapatent attorney. And that’s how Marty found the help he needed.

Jean Lown is a 3M patent attorney who has been involved with the LegalCORPS Inventor Assistance Program for years. When she came across Marty’s applica-tion, she knew she and her 3M team could help. To be a viable candidate for a patent, shesaysithastobeinventiveandfirstinthe world. “There can’t be anything too

similar – it has to be novel and non-ob-vious. You need a convincing argument. That’s where the real challenge lies.”

That can take a lot of time and energy. Enter co-worker Brad Wright. He and Jean both started their careers with a Ph.D in chemistry and worked as 3M scientists. They each developed an interest in the le-

gal side of patent applica-tions and have found great satisfaction in this work and in volunteering to help others. For this project, Brad says he spent about 90 hours researching and filing,andhisco-workerPaul Stenger spend about 40 hours on the drawings. “I spent time on this pretty

much every weekend in May and June,” Brad says.

ThateffortwasnotlostonMarty.“Icouldn’taffordthecostoflawyersforthepatenting process,” says Marty. “I’m grate-ful for all the help given to me by the 3M team of Brad, Jean, Paul and their depart-ment. Without them, this patent wouldn’t have been possible.”

Service

Previous: Jean Lown, 3M Senior Intellectual Property Counsel, and Brad Wright, 3M Patent Agent. Above: Drawing of the Cargo Handling System.

18 3M Legal Affairs Service

193M Legal Affairs Service

20 3M Legal Affairs Service

3M Patent Prowess Pursues Patent for Texas Non-Profit

Intellectual Property Attorneys do not often have a chance to provide IP-related legal services to those in need on a pro bono basis. However, Gregg Rosenblatt, Theresa Collier, andDebbiMichels,inAustinLegalAffairs,were presented just such an opportunity in 2014 and have been providing patent applica-tion pro bono services ever since.

In early 2014, Amy Sanders received an e-mail from an organization called Texas CBAR (Community Building with Attorney Resources),anon-profitorganizationestab-lished to provide free legal assistance to Texas non-profitsworkingtoimprovethequalityof life in low-income neighborhoods. While most of Texas CBAR’s activities are directed to helping organizations with transactional, real estate, and employment needs, this e-mail was requesting help in the area of intellectual propertylaw.Specifically,JoyceR.Andersonhad come to Texas CBAR looking for help to patent an invention she had conceived – an ice chest that could be used as a source of potable water.

Gregg Rosenblatt graciously agreed to take the case, and, with help from former 3M-er Kris Storvick, drafted a patent application that describes and protects Ms. Anderson’s invention. The patent application was drafted inthewinterof2014andwasreadytofilebyApril 2014. With help from Debbi Michels, who created the formal drawings, and Theresa

Collier, who prepared the patent application filingdocuments,Ms.Andersoncametothe3M Austin Center to sign the necessary formal documentsandfilethepatentapplicationonApril 16, 2014.

The patent application (entitled Ice Chest Providing Recycled Potable Water) was pub-lished on October 22, 2015 as US Pub. No. 2015/0300720. However, the application has been subject to a lengthy review by the USPatentOffice.Overthepastyear,GreggRosenblatt has spent a considerable amount of time trying to see the application to fruition. He has conducted several interviews with the patent examiner examining the case and has filedseveralresponses.Alittleknownfactthat Gregg doesn’t advertise: because Ms. Andersondoesnothavethefinancialresourc-es to fund a protracted examination, Gregg has funded all continuation fees to date out of his own pocket. The patent application is still pendingattheUSPatentOffice.

Ms. Anderson continues to try to make her business dreams come true. She is currently engaging with Texas CBAR to help with the commercialization of her invention, and is trying to raise funds to make a prototype. 3MAustinLegalAffairshasnamedGregg the Austin Pro Bono MVP of 2016. 3M’s legal staffistrulyinspiredbythededicatedprobonoeffortsofGregg,TheresaandDebbi.

Previous, above: Greg Rosenblatt, 3M Senior IP Counsel. Previous, below (from left to right): Rachelle Chery, 3M Legal Assistant, Debbi Michels, 3M Patent Illustrator, Theresa Collier, 3M Patent Administrator.

213M Legal Affairs Service

3M Pro Bono Volunteers: Stepping into New Territory and New Areas of the Law

“It takes a village to help these kids. We all need to be part of the village”.

Robert Moshrefzadeh is a patent attorney for 3M, a runner, a soccer fan, and a devot-ed father. He is also an avid Children’s Law

Center volunteer, (one of many lawyers and paralegals who volunteer for CLC). He decid-ed to join the volunteer attorney group at CLC a year and a half ago and is currently repre-senting 5 kids; 4 of whom are sets of siblings. He loves visiting the kids and talking with them about helping them obtain what they want and states that at his initial meetings with kids he explains to them that: “I will talk on your behalf,youarethebossandyoucanfireme”.He meets with the kids on an individual basis, many times in parts of Minnesota and the Twin Cities that are unfamiliar neighborhoods, and meets with them many times over the course of their case. He is responsible for helping the kidsfigureoutwheretheywanttolive-ofthechoices they have- and if they want it to be a permanent living arrangement or if they want reunificationwithaparent.

In one of his more heartbreaking cases, the youngchildwantedreunificationwithaparentwho had previously abandoned him due to his physical handicap. Robert is not always able to disconnect from his cases, and these kids become part of him. He cares deeply for themandworkshardtomakeadifferenceintheir lives and help them obtain decent living arrangements where they feel safe and cared forandbetteroffthantheywerepriortohisrepresentation. CLC attorneys work in tandem with the guardian ad litem and the court in these cases.

RobertbelievesworkingwithCLCbenefitsthe awareness of 3M as a company and our partnership with the greater Twin Cities com-munity.

3M Volunteers Support Families with Special Education Needs

OnOctober26,2016,LegalAffairssponsoreda day of service which included four pro bono projects, including a new opportunity with the Special Education Project through the Minne-sota Disability Law Center (MDLC). Eight 3M volunteers were trained on how to handle spe-cial education cases. The Special Education Project connects volunteer attorneys, parale-gals,andsupportstaffwithfamiliesofchildren

with special educational needs. The volunteers represent these families to help ensure that children are receiving the education to which they are legally entitled, including appropriate crafting of and compliance with individual education plans. A couple of cases have been taken by a few of the newly trained volunteers.

Previous: Picture of Robert Moshrefzadeh, 3M Senior IP Counsel. Above (left to right): Carrie Garber, 3M Paralegal, Caryn Wermager, 3M Legal Specialist, Laura Johnson, 3M Senior Paralegal, Teri Crook, 3M Compliance Analyst, make up 3M’s Pro Bono Marketing Team. The team publicizes events like the Day of Service in their Quarterly Newsletter sharing volunteer stories and volunteer opportunities with the entire 3M Legal Team.

233M Legal Affairs

2016 Pro Bono Metrics

2016 Hours by Organization

2016 Hours by Region for Pro Bono International

Service

24 3M Legal Affairs

Total Pro Bono Volunteers with Hours

Service

Leadership

253M Legal Affairs

Total Pro Bono Volunteers with Hours

Leadership

Stand Up and Be Counted: Developing a Legal Identity Resource Kit

3M Australia’s legal team comprised of Eleni Sideridis, Tom Nguyen and Gerardo Roldan Macko and 3 volunteer lawyers from the Aus-tralianofficeofthelawfirmBakerMcKenzieare collaborating on a pro bono project for the Consortium for Street Children (CSC). CSC isaglobalnetworkofnot-for-profitorganisa-tions that promotes the rights and improves the lives of ‘street connected children’ and other vulnerable populations. The pro bono project involves developing a legal identity resource kit that includes information and procedures on the legal requirements of how street connected children can obtain legal identification,suchasbirthcertificate,toimprove their situation. The absence of formal identificationnotonlyrestrictsaperson’srights, but limits their access to essential services such as public education, health ser-vices, community services and justice within

society.Thelackofidentificationisnotonlya concern within developing countries , but also an issue in developed countries, such as Australia, where children are building their lives on the street without any parental or societal support. This project aims to facilitate the legal identity of these children and social inclusion. The Australian pro bono project deliverables will serve as a pilot for CSC to replicate globally and the legal research will be included in an online database to enable governments to become early adopters of a United Nations Treaty on Children in Street Situations which is scheduled for release in 2017. The Australian project began in Septem-ber 2016 and is expected to be completed by early 2017.

3M Volunteers Work With Partners to Build Toolkit for Public Service Leaders

Members of 3M’s Latin America legal team and lawyers from Baker & McKenzie together with the Cyrus R. Vance Center for Interna-tionalJusticearecreatingafirst-of-its-kindresource for public service leaders in Latin America. The Vance Center advances global justice by engaging lawyers across borders to support civil society and an ethically ac-tive legal profession. The Vance Center also provides legal representation to civil society organizations and international human rights bodies around the world by facilitating col-laborationbyleadinglawfirmsonaprobonobasis.

3M and Baker & McKenzie lawyers will work with the Vance Center to create a toolkit to assist public service leaders who want to formalize or further professionalize their organizations and improve their opportunities

to receive grants, donations and other kinds of funding and in kind services from around the world. No such “Toolkit” exists that is country specificorthatcontainsthekindofbestprac-tices an organization should follow to excel in its mission and attract support for sustainabili-ty. This makes the project very valuable.

As a pilot project, 3M has started with Chile and Mexico. Lawyers from Baker & McKenzie and 3M are completing a multijurisdictional survey covering the areas of corporate or-ganization and governance, employment, fundraising,IP,tax,insurance,etc.Thefinalproduct from each country will be combined into a single Toolkit where the end user can obtain information about several countries in one place. If the pilot is successful, the team hopes the project can be replicated in other countries.

Previous: Tom Nguyen, 3M Senior Legal Counsel, with Emily Van Vliet, Senior IP Counsel. Above: Eleni Sideridis, 3M Australia General Counsel, Avnee Thakrar, 3M UK Legal Counsel, and Mariagrazia Perego, 3M Italy Legal Counsel.

28 3M Legal Affairs

3M México’s First Pro Bono Event Supports Social Enterprises

OnFebruary19,20163MLegalAffairspart-nered with lawyers from Hogan Lovells, to host3MMéxico’sfirstprobonoeventatHoganLovellsOffice.

“3M has a long history of providing free legal servicestonon-profitgroupsorcharitableorganisations in the U.S.,” observed 3M Mex-ico Lawyer Daniela Falfan. She and the Legal Team at 3M Mexico are proud to be among thefirstinternationallocationstolaunchaprobono program.

The Twelve social enterprise organisations who participated in the workshop all had received assistance from Ashoka, a support network for social entrepreneurs. Ashoka’s mission is to support social entrepreneurs who are leading and collaborating with change-

makers. This means equipping more people – including young people - with the skillset and connections so that they can contribute ideas andeffectivelysolveproblemsatwhateverlevel needed.

3M and Hogan Lovells legal professionals answered many questions on privacy matters and felt the event was a success. “We believe the topics met the entrepreneurs’ interests and it was very rewarding to know that this event helped entrepreneurs and enhanced their knowledge on privacy law requirements,” said Daniela Falfan. Further workshops are sched-uled with focus on Corporate, Intellectual Property, Labor and other topics.

Leadership

3M UK Organizes First Inter-Company Pro Bono Collaboration

3MUK’sLegalDepartment,globallawfirmHogan Lovells and the Association of Corpo-rate Counsel (ACC) hosted a second work-shop to provide pro bono legal advice to seven social enterprises.

The pioneering event brought in-house law-yers from leading companies in the Thames Valleytogetherforthefirsttimetoparticipatein the pro bono event.

Taking part were some 15 lawyers from Hogan Lovells, 3M, Dell Corporation, Hewlett Pack-ard Enterprise and Philips Electronics UK with the event sponsored by the American Corpo-rate Counsel.

The Participating social enterprises were identifiedbyBethnalGreenVentures,anorganisation which supports early stage ventures through its accelerator programme. The enterprises selected use technology to tackle pressing social issues across a range of sectors including teaching, immigration and health.

The organizations received pro bono advice on a range of legal issues including capital fund raising, employee incentive schemes, product liability, terms and conditions, em-ployment, marketing and advertising, data protection and general commercial and contract law.

Avnee Thakrar, Senior Legal Counsel at 3M, hosted the event and led the organisation ofthe workshop on behalf of 3M and the other in-house legal teams. Avenee has led 3M UK’s Legal Pro Bono Programs for the past 3 years. She noted “As part of our wider Corporate Social Responsibility Programme, 3M lawyers are committed to providing pro bono services, globally.Ourworkbenefitsthecommunitiesinwhich we do business. We also want to inspire others to undertake such work. “We hope our endeavours will encourage others to use their legalknowledgeandexperiencetobenefitthose who may not otherwise have access to such skills.”

293M Legal Affairs Leadership

Sarah-Jane Dobson, an associate in Hogan Lovells’ global products liability team, led the organisation of the event on behalf of Hogan Lovells. She added, “Both the social enter-prises and the legal advisers who participated in the day have taken away something very valuable from the event- be it important legal advice that shapes the future of their business-es, strategic business contacts or a sense of

having contributed in some way to some of society’s biggest problems.”

Rod Freeman, Partner and Head of Hogan Lovells’ renowned global product liability practice, said, “We take our pro bono and social enterprise work very seriously at Hogan Lovells, and enjoy working with clients like 3M who do the same.”

30 3M Legal Affairs Statement from Pro Bono Committee

3M China Hosts Workshop with Hogan LovellsOnJune16,20163MChinaLegalAffairsDepartmenthelditsfirstprobonoworkshoptogetherwithHoganLovells(HL)ChinaOfficeat 3M Shanghai R&D Center. At the workshop, 8 members of the 3M China Legal Team and 6 lawyers from HL provided legal consulting advice to social enterprises relating to their business operations.

The participants from 3M China Legal includ-ed Yoyo Zhang, Mark Li, Maggie Wu, Zhen-zhen Li, Cindy Chen and Erica Wang of OGC, Karen Wang and Forrest Feng of OIPC. HL sentateamledbyPartnerLiangXuandfivelawyers: Julia Peng, Stephanie Sun, Fred Li-ang, Wensheng Ren and Viola Shen from their BeijingandShanghaioffices.

Thefivesocialenterpriseswereselectedfroma total of 14 social enterprises that submitted applications. Social work is booming in China, and there is increasing attention and care for underprivileged people. Social workers

helping these populations often lack legal and otherprofessionalsupport.3MandHL’sofferof pro bono advice served an important unmet need.

Thefivesocialenterprisesthatparticipatedinthe workshop were: 1. Shanghai Ju Shan Zhu Can Public

Welfare Development Center. Its Chi-nese name “Ju Shan Zhu Can” means “collection of kindness to support the disabled”.ItcreatedChina’sfirston-linecharitystoreinChinafiveyearsago,with the business model of taking unused clothes and other household items or unwanted inventory from enterprises and selling the items in an on-line store. The Center provides employment opportuni-ties to disabled people, and uses the sales revenues to run charity programs.

2. Netspring Social Enterprise This organi-zation collects used computers from com-panies to distribute to rural schools, by

313M Legal Affairs

way of such recycling to reduce e-waste and support poverty-stricken children.

3. Shanghai Laogang Town Beilan Environ-mental Protection Service Center. The name “Beilan” in Chinese means giving baby the blue sky. It focuses on environ-mental protection by way of recycling used clothes.

4. GeiLi Giving. The name “Geili” in Chinese means giving me your power. It collects donations, sells goods for charity and conducts other charity activities on the webchat public service platform.

5. Shanghai Yi Tu Wu Zhang Ai Art Studio. The name “Yi Tu Wu Zhang Hai” means no barrier to become artists. This studio was set up in 2010 to help children with autism to learn about art and practice their skills.

Tailor-made legal advice and solutionsAt the pro bono legal advisory workshop, the Pro Bono Team gave dedicated legal advice tothefivesocialenterprises.Eachenterprisewas paired with one or two 3M counsel and one or two HL lawyers. Lawyers learned about their initiatives and missions, barriers and challenges,andthenprovidedspecificsolu-tions from legal and risk control perspectives. Each enterprise received more than one hour dedicated advice in a private meeting room.

Some common questions raised by the en-terprises for legal advice related to how to protect company brands and business secrets, what terms are most important with respect to hiring part time and full time employees, risk spotting and legal issues associated with activities involving government or business partners, as well as China’s new law governing social enterprises.

As part of the workshop, representatives from the Social Enterprises received a tour of 3M’s

Innovation Center. A tour introduced 3M’s 46 core technology platforms and 3M’s innova-tive products. Everyone enjoyed seeing up close the breadth of 3M technology and prod-uct lines as well as their relevant applications in many industries. Some social enterprise guests were particularly attracted by the air qualityandwaterpurificationproducts,andthe potential applications to their environmen-tal protection endeavors.

The workshop was a success for the Social Enterprise insiders as well as the legal pro-fessionals. 3M lawyers, as well as HL law-yers, were very grateful for the opportunity to contribute to the social enterprises. 3M volunteers shared their observations about the event:

“I am so inspired by the dedicated social enterprise workers. In the course of delivering legal advice, I also learned a lot from them.”

“It’s a great day, we are doing something so meaningful and fulfilling.”

“I think highly of them – the social workers were so patient with underprivileged children to help them. We should feel lucky and be more patient with our own kids.”

“I would like to do more pro bono work for them!”

The 3M team believes their Pro Bono debut was a success. All of us felt the essence of “when we give, we can gain”. The team aims to contribute more and are about to organize their second pro bono activity in the second half of this year.

Previous: Erica Wang, 3M China General Counsel.

32 3M Legal Affairs Leadership

Adam BramwellAdrian PishkoAmy LieversAmy SandersAngela KearnsAnn AnayaAnn GallagherAvnee ThakrarBarbara DolvenBrett StrandCarlye LandinCarol PetersonCarolyn GarberCaryn WermagerCheryl KirckwoodCheryl RobischonChristine KleinCindy ChenCourtney DaCostaDan O’ConnorDaniel ShapiroDaniela Falfán David AshleyDavid ErnstDean HartsDeborah MonturiolDeidre RehfeldDiana HovlandEileen HunterEleni SideridisEmily Van VlietEric RuckerEric SilvermanErica Wang

George-Ann BirosGerardo Roldan MackoGregg RosenblattHéctor Romero Heidi AbbassIrene SunIsabel GomesIsabelle GirardIvan FongJean LownJessica Sebeck LugoJill HallJim BakerJoe OtterstetterJohn StoxenJon LandeJuanita StipeJulie GrindeKaren WangKari BrunnerKarla Chavez Kevin RhodesLance VietzkeLaura JohnsonLee BuzayLeigh GillettLisa FultonLucy WitheringtonLynda HarvinLynette DingMacarena Perez Maggie WuMariagrazia PeregoMark Li

Matt MichaelMatt StumpMaureen HarmsMeagan HertzogMelissa Cairns Michael DaiMichael LarsonMichael van der SandenMikeKauffmanNisha TanejaOlga BolmataPam StewartPam WennerPeter OlsonPhilip SooRobert McGarryRobert MoshrefzadehSandra NowakSandra PieperSarah RodemsStephanie JohnsonSusan BroinTeri CookTheresa CollierTom NguyenValentin PovarchukX. Christina HuangYen FlorczakYoyo Zhang Zhenzhen Li

2016 Volunteers

We are grateful for the dedication of our volunteers who make pro bono client representa-tion possible. Special thanks to the 3M Pro Bono Committee and especially Derek Huber, 3M Corporate Marketing-Sales, David Peterson, 3M Research Specialist, and 3M Legal Assistant Juanita Stipe for the creativity and commitment that made this annual report possible.