Friday, October 12, 2012

More NAAG correspondence


From: RDShatt@aol.com
To: jmcpherson@NAAG.ORG
CC: tedfrank@gmail.com, KDarcy@theecoa.org, pat@ethics.org
Sent: 10/7/2012 11:34:57 A.M. Central Daylight Time
Subj: Re: Project to investigate diverse perspectives on entity vs. individual liab...

Dear Jim,
I would like to provide some update on this to NAAG.
First, I hope that NAAG is aware of the terrific work that Ted Frank is doing with his Center for Class Action Fairness. In the mission of state attorneys general to prevent corporate wrongdoing, I hope they will evaluate whether the class action lawsuits that Ted is battling against assist in that goal or whether they are counterproductive and wasteful of societal resources for trying to prevent corporate wrongdoing. To the extent state attorneys general conclude the latter is the case, I hope they will speak out for the benefit of the public and communicate their beliefs to their state lawmakers and judges.
I would also like to point out the seeming ongoing inability of ethics professionals and organizations to consider and evaluate the question of entity level liability versus individual officer and employee liability to deter corporate wrongdoing. See this blog entry .
I think this goes so far as to include their being strong proponents of the Federal Sentencing Guidelines for Organizations, but being disinterested in whether Sec. 8B2.1(b)(6) is being followed by corporations. (Sec. 8B2.1(b)(6) of the FSGO provides that an "organization 's compliance and ethics program shall be promoted and enforced consistently throughout the organization through (A) appropriate incentives to perform in accordance with the compliance and ethics program; and (B) appropriate disciplinary measures for engaging in criminal conduct and for failing to take reasonable steps to prevent or detect criminal conduct."). See the email to Dr. Harned at the Ethics Resource Center that is linked in the above blog entry.
As indicated in my Interim project report, corporate ethics and compliance are under the Board of Directors and senior level management, which almost certainly don't want any consideration of individual officer and employee liability and accountability, and that impairs corporate ethics and compliance in considering the same.
With corporate ethics and compliance being impaired, it is especially needed that parties such as state attorneys general take the matter up.
I hope you will find a way to pass this message on to NAAG members.
Thanks.
Rob Shattuck

From: RDShatt@aol.com
To: jmcpherson@NAAG.ORG
Sent: 9/28/2011 8:35:01 A.M. Central Daylight Time
Subj: Re: Project to investigate diverse perspectives on entity vs. individual liab...

Thanks for replying, Jim.
I know members of NAAG may have differing views on the subject, and that inhibits the Association. If you are willing to consider it, I would like to suggest that, in your newsletter or other form of periodic communication to members, you could include the following notification information for the members:
NAAG has been contacted about this project (http://robertshattuck.blogspot.com/2011/06/statement-of-project.html) to investigate the perspectives, views, analyses, and information that multiple interested parties (including state attorneys general) have concerning the subject of entity level liability versus officer and employee individual liability as a means to deter corporate wrongdoing.. Mr. Shattuck, the propounder of the project, understands that the members of the Association may have differing views about the subject, and the Association is thus not in a position to express views about the subject. The Association, however, wishes to notify its members of the existence of the project, particularly if individual members wish to dialogue about the subject. Please contact Mr. Shattuck by email at rdshatt@aol.com if you are interested.
Just a thought.
Thanks.
Rob
In a message dated 9/22/2011 9:33:19 A.M. Central Daylight Time, jmcpherson@NAAG.ORG writes:

Thank you for thinking of us but not at this time.
Jim
James E. McPherson
Executive Director
National Association of Attorneys General
2030 M Street, NW
Washington, DC 20036
Phone: 202-326-6260 begin_of_the_skype_highlighting            202-326-6260      end_of_the_skype_highlighting
Cell: 202-701-9115 begin_of_the_skype_highlighting            202-701-9115      end_of_the_skype_highlighting
From: RDShatt@aol.com [mailto:RDShatt@aol.com]
Sent: Thursday, September 22, 2011 8:04 AM
To: McPherson, James
Subject: Project to investigate diverse perspectives on entity vs. individual liability
Dear Jim,
I have initiated this project to investigate the perspectives, views, analyses, and information that multiple interested parties have concerning the subject of entity level liability versus officer and employee individual liability as a means to deter corporate wrongdoing.

Parties who have an interest or should have an interest in this topic include lawmakers, judges, regulators, state attorneys general, criminal prosecutors, corporate management, ethics and compliance officers, corporation lawyers, various academics, plaintiffs' lawyers, tort reform organizations, and consumer protection organizations.
I am sending this email to you to inquire whether the National Association of Attorneys General would care to participate in dialogue on the subject of my project.
Our prior email correspondence would suggest that my project is not something that NAAG would be willing to participate in, but I thought I would ask anyway.
Thanks.
Sincerely,
Rob Shattuck

No comments: