Evaluation and record-keeping

Section 3 · 20% of exam 15 min

Good records protect you in wage claims, discrimination complaints, unemployment claims, and audits by EDD, the IRS, and the Labor Commissioner. The exam loves retention periods and response deadlines because the numbers look alike: 21 days, 30 days, 72 hours, 3 years, 4 years, 5 years. This lesson also covers how to evaluate, discipline, and end employment the right way.

Performance evaluations

Formal performance reviews are a management practice rather than a form the state makes you file. Written evaluations are one of the best management tools a contractor has. They tell workers what is expected, show who is ready for a raise or promotion, and create a fair, dated record if you later need to discipline or let someone go.

  1. 1Write a job description with the duties, skills, and safety rules for the position.
  2. 2Set clear, measurable goals (for example, quality, production, attendance, and safety).
  3. 3Observe and write down facts as they happen: dates, what happened, and who saw it.
  4. 4Meet with the employee on a regular schedule, using the same standards for everyone in the same job.
  5. 5Have the employee sign to show they received the evaluation, and place it in the personnel file.

Judge the work, not the person. Comments about age, pregnancy, accent, religion, or any other protected characteristic can become evidence of discrimination under FEHA.

If an employee or applicant signs any document about getting or keeping the job, such as an evaluation, a policy acknowledgment, or an agreement, the employer must give them a copy on request (Labor Code §432).

Progressive discipline

Under Labor Code §2922, employment with no specified term may be ended at the will of either party on notice to the other. This is called 'at-will' employment. Even so, you may never fire someone for an illegal reason, such as discrimination or retaliation for using sick leave. Progressive discipline is a common management practice that gives the worker a fair chance to improve and gives you a clear record.

  1. 1Verbal warning: explain the problem and the expected fix; note the date in the file.
  2. 2Written warning: describe the facts, the rule broken, and what happens if it repeats; ask the employee to sign.
  3. 3Final warning or suspension: state clearly that the next violation may lead to termination.
  4. 4Termination: document the reason and prepare the final paycheck and required notices.

Exam trap

Serious misconduct, such as violence or a willful safety violation, can justify skipping steps. Apply your policy the same way to every worker so it cannot be used to show unequal treatment.

Employee access to records

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