Presented by: Oliver Yee

12 Steps to Avoiding Liability

California State University (CSU) 2013 Fitting the Pieces Together Conference

Presented by: Oliver Yee

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Avoiding Liability:

Part 1: Take preventative steps to avoid a lawsuit.

Part 2: Invest necessary time and resources to defend a lawsuit.

12 Steps to Avoiding Liability

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Step 1

Follow the Rules

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Step 1: Follow the Rules

What are the Rules?• Employer-Employee Relations Ordinance or

Resolutions• Memorandum of Understanding • Municipal Code• Personnel or Civil Service Rules• Laws/Statutes• Charter• Department Rules

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Audit Your Rules,

Policies, Etc.

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Your Failure to Follow

the Rules Will Become

Their Primary Exhibit

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Step 2

Train and Re-Train

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Step 2: Train & Re-Train

Establish a Training Procedure• Orient and Educate New Employees about

Rules and Regulations and Expectations• Re-Educate When Necessary• Have Everyone Attend Training Including

Managers• Rules Are Useless If Employers and

Employees Don’t Know What They Are

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Step 2: Train & Re-Train

Training is Important

• Provides a Defense in Lawsuits

• Maintains Consistency within the Agency

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Step 3

Surround Yourself With Competent People

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Step 3: Surround Yourself With Competent People

• Identify Intelligent, Dedicated and Loyal Employees

• Reduce Liability by Avoiding, Improving or Removing Poor Employees

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1. Invest Necessary Time to Hire the Best Employees By:– establishing job-related criteria

– experience-based questions

2. Prepare for Interviews

3. Conduct Thorough Background Investigations– Do reference checks

4. Don’t Let Personal Relationships Cloud Hiring Decisions

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Terminate During Probationary Period if in Doubt

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Step 4

Accountability for All!

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Step 4: Accountability for All

• Utilize Performance Evaluations to Honestly Assess Performance

• Advise Employees of Performance Expectations

• Be Honest and Accurate

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• Keep Accurate Records of Compliance With Rules

• Document Staff Meetings With Employees

• Document One on One Meetings

• Keep a Supervisor’s File

• Empower Your HR Department

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• Enforce Rules By Disciplining Employees Who Violate Them

• Supervisors and/or Managers Must Set Proper Examples and Be Subject to Discipline Too

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Step 5:

Be Honest, Consistent and Fair

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Step 5: Be Honest, Consistent and Fair

• Be Honest• Don’t Create False Expectations

–a.k.a. “No good deed goes unpunished”• Don’t Let Poor Performance Slide

• No Surprises

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• Be Consistent• Apply Rules Consistently• Timeliness is a Component of Consistency

– Do Performance Evaluations

– Do Not Miss Deadlines

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• Be Fair

• Update Job Descriptions to Reflect Actual Duties

• Revise Outdated Personnel Rules

• Deviation from Rules May Be Seen as Unfair or Discriminatory

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Step 6

Communicate

Communicate

Communicate

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Step 6: Communicate, Communicate, Communicate

• Communicate Daily

• Communicate Positive and Negative

• Communicate With Knowledge

• Communicate Clearly

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• Communicate Rules and Expectations

• Be Clear in Your Communications• Avoid “Passing in the Hallway”

Communications• Avoid “Stray” Remarks

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• Document Your Communications• Document/Record-Keeping of Staff

Meetings/Communications• Document Communications in

Supervisor’s File

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Listen

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• Keep Comments to External Parties Focused on Theme

• Be Careful re: Personnel and Labor Issues

• Know if You Are an Authorized Speaker

• Keep Your Principals Informed About What You Hear

Press / Public Comments:

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Step 7

Pick Your

Battles Wisely

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Step 7: Pick Your Battles Wisely

• Every Decision has Ramifications

• In Assessing Whether to “Fight” a Battle, Think About Broad and Long-Term Implications

• Don’t Sweat the Small Stuff

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• Evaluate Options and Weigh the Risks1. What are the Monetary Implications?2. What will the Affect be on Employees

and/or Employee’s Association?3. What will the Affect be on

Management?

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Disciplinary Action• Consider Likelihood of Success• Management Decisions Are Reversed

Usually Due to:– Inconsistent enforcement– Wrong rule applied– New rule; insufficient publicity– Unreasonable rule– Unreasonable penalty

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Step 8

Investigate Before It’s Too Late

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Step 8: Investigate Before It’s Too Late

1. Investigate Promptly

2. Follow Your Own Rules

3. Have a Complaint Procedure

4. An Investigation may be Required by Law

• Harassment

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Step 8: Investigate Before It’s Too Late

• Investigations on TrialPromptThoroughEffective

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Step 9

Due Process Matters

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Step 9: Due Process Matters

Essential Components (Skelly)

• Written Notice of Charges• Facts and Documents Upon

Which Charges are Based• Opportunity to Respond

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Step 9: Due Process Matters

• Understand Your Role in the Post-Disciplinary Due Process Hearing

• What is Your Role/Council/Board’s Role in Final Decision

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Step 10

Everything is “Discoverable”

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Step 10: Everything is “Discoverable”

Understand the Public Records Act and Brown Act

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Step 10: Everything is “Discoverable”

• Imagine Everything You Write Will Be Used as an Exhibit

• Nothing is Confidential

• This Includes E-mails and Text Messages Too! Be Careful What You Write!

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Step 11

Litigate to Win

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Step 11: Litigate to Win

• Cooperate With Attorney

• Importance of Defending Lawsuits

• Understand and Accept That Winning Lawsuits Costs Money and Requires Expenditure of Staff Time

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Step 11: Litigate to Win

KNOW HOW TO TESTIFYKNOW HOW TO TESTIFY

Prepare

Be Honest

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Step 12

Don’t Take It Personally

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Step 12: Don’t Take It Personally

• Individual Liability is Often Used By Plaintiff’s Counsel as a Scare Tactic and as Leverage in Settlement

• Individuals Can Be Subject to Punitive Damages

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Step 12: Don’t Take It Personally

Do NOT Retaliate

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Questions?

Oliver YeeAttorney | Los Angeles Office

310.981.2044 | [email protected]

www.lcwlegal.com/Oliver-Yee

Presented by: Oliver Yee

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Transcript of Presented by: Oliver Yee