Authority for rules promulgated in Chapter 6, Performance, is
found in the Colorado Constitution Art. XII §13 and §
24-50-104,
24-50-125, and
27-90-111, C.R.S. Board rules are
identified by cites beginning with "Board Rule".
General Principles
Board Rule 6-1. Employees represent the state so they are
required at all times to use their best efforts to perform assigned tasks
promptly and efficiently, and to be courteous and impartial in dealing with
those served. Employees may be rewarded based on their level of
performance.
Board Rule 6-2. A certified employee shall be subject to
corrective action before discipline unless the act is so flagrant or serious
that immediate discipline is proper. The nature and severity of discipline
depends upon the act committed. When appropriate, the appointing authority may
proceed immediately to disciplinary action, up to and including immediate
termination.
Performance Management
Board Rule 6-3. Appointing authorities and designated raters
are responsible for communicating the department's performance pay program and
the performance expectations and standards, including an individual written
performance plan, and for evaluating performance in a timely manner in
accordance with rule.
6-4. The Director shall establish requirements governing the
performance management system.
These requirements shall be applied by all appointing
authorities and designated raters, including any person employed by the state
who supervises an employee. The performance management system does not apply to
employees in the senior executive service or medical plan.
A. A department's performance management
program shall be approved by the Director before implementation.
B. The department's performance management
program must:
1. Include the department's
internal dispute resolution process and the Director's external dispute
resolution process as outlined in Chapter 8, Resolution of Appeals and
Disputes;
2. Include a training
plan for employees and raters detailing the department's performance management
program. Training is mandatory for all raters;
3. Include the statewide, uniform core
competencies defined by the Director;
a. The
department shall incorporate the statewide uniform core competencies into each
individual performance management plan and evaluation.
b. The statewide, uniform core competencies
cannot be disregarded in the final overall rating for each employee.
4. Include the development of
performance evaluation form(s) to be used for employees by the
raters;
5. Include the statewide
uniform performance cycle as defined by the Director;
6. Include a planning meeting with the
employee that shall occur by the date specified in the department's performance
management program;
a. The department should
allow for coaching and feedback throughout the performance cycle, but shall
include at least one (1) documented progress review.
7. Include performance rating levels and
standard definitions published in written directives by the Director;
a. The department shall specify whether the
performance evaluations are numerical, qualitative, or a combination that
correlate to one of the Director's defined performance rating levels.
b. A department's performance management
forms shall also contain the standard definitions.
c. Departments may further define the levels
in relation to mission and operational needs providing that such expansion
falls within these required definitions.
8. Not establish a quota for the number of
employees allowed to receive any of the performance ratings;
9. Include a description of the department's
review process to monitor the quality and consistency of performance ratings
within the department before final overall ratings are provided to employees;
and
10. Develop an accountability
component to ensure compliance with the department's performance management
program.
a. Such programs shall specify the
sanctions, including those required by these provisions and statute, to be
imposed for any rater employed by the state who fails to complete the
performance management plan or evaluation.
C. All employees shall be evaluated, in
writing, at least annually based on the past year's performance.
1. If an employee moves to a position under
another appointing authority or department during a performance cycle, an
interim overall evaluation shall be completed and delivered to the new
appointing authority or department within thirty (30) days of the effective
date of the move.
2. No evaluation
is required when an employee retires from employment in the state personnel
system.
D. Department
heads shall provide any required or requested information pertaining to
performance management to the Director by the specified deadline.
6-5. Designated raters shall be evaluated by their direct
supervisor on their performance management and evaluation of employees. Absent
extraordinary circumstances, failure to plan and evaluate in accordance with
the department's established timelines results in a corrective action and
ineligibility for merit pay. If the individual performance plan or evaluation
is not completed within thirty (30) days of the corrective action, the
designated rater shall be disciplinarily suspended in increments of one (1)
workday following the pre-disciplinary meeting.
A. A reviewer shall sign the rater's
evaluation of an employee. If the rater fails to complete an individual
performance plan or evaluation, the reviewer is responsible for completion. If
the reviewer fails to complete the plan or evaluation, the reviewer's
supervisor is responsible, on up the chain of command until the plan or
evaluation is completed as required. If a rating is not given, the overall
evaluation shall be satisfactory until a final rating is completed.
Board Rule 6-6. Performance Improvement.
A. Performance Improvement Plans.
1. When appropriate, the department may issue
a performance improvement plan to communicate performance concerns and
expectations.
2. A performance
improvement plan is not a corrective action.
3. A performance improvement plan shall
establish a reasonable amount of time for the employee to improve.
4. If performance has not improved within the
established amount of time in a performance improvement plan, the appointing
authority may take other action as appropriate.
B. Needs Improvement or Unacceptable
Performance Rating. Performance that needs improvement or is otherwise
unacceptable as documented in the annual evaluation shall result in a
performance improvement plan and/or a corrective action and a reasonable amount
of time to improve, unless the employee is already under performance
improvement, corrective or disciplinary action for the same performance matter.
If needs improvement or unacceptable performance relates to a recurring
performance issue that has resulted in a prior corrective action or
disciplinary action, the appointing authority may take disciplinary action
concurrently with issuing the annual evaluation. The appointing authority may
proceed immediately to disciplinary action, up to and including immediate
termination, if the act is so flagrant or serious that immediate discipline is
proper.
Corrective and Disciplinary Actions
Board Rule 6-7. An employee may only be corrected or
disciplined once for a single incident but may be corrected or disciplined for
each additional act of the same nature. Corrective and disciplinary actions can
be issued concurrently.
Board Rule 6-8. Corrective Actions.
A. The purpose of a corrective action is to
correct performance issues or conduct. Corrective actions do not affect current
base pay, status, or tenure.
B.
Corrective actions shall be in writing and include the following:
1. The performance issues or conduct that
need improvement;
2. The
expectations the employee shall meet;
3. If appropriate, a reasonable amount of
time for the employee to improve the performance issues or conduct;
4. The consequences for failing to correct
the performance issues or conduct; and
5. A statement that the employee may grieve
the corrective action.
C.
A corrective action may also contain a statement that the corrective action
will be removed from the official personnel records after a specified period of
satisfactory compliance.
D. A
removed corrective action is not relevant in any subsequent personnel actions
as to prior unsatisfactory performance or conduct, but may be relevant for
other purposes such as proof of motive, opportunity, intent, knowledge, or
absence of mistake.
Board Rule 6-9. Notice of the Rule 6-10 Meeting.
A. The appointing authority shall provide
written notice to the employee about a Rule 6-10 meeting as follows:
1. The notice shall be provided at least
seven (7) days prior to the meeting;
2. The notice shall contain the date, time,
and location of the meeting;
3. The
notice shall inform the employee that the appointing authority is considering
taking disciplinary action;
4. The
notice shall inform the employee of the alleged performance issues or conduct
that may result in discipline;
5.
The notice shall inform the employee that the employee may present information
during the meeting; and
6. The
notice shall inform the employee that a representative may accompany the
employee to the meeting.
B. When reasonable attempts to hold the Rule
6-10 meeting fail, the appointing authority shall provide written notice to the
employee as follows:
1. The notice shall
provide the employee general information about the alleged performance issues
or conduct that prompted the appointing authority to consider taking
disciplinary action; and
2. The
notice shall inform the employee that the employee may respond in writing
within ten (10) days from delivery of the notice.
C. If reasonable attempts to meet fail and if
the employee does not respond to the notice sent pursuant to this rule, then
the appointing authority may make a disciplinary decision without information
from the employee.
D. Proof of
delivery of the notices under this Rule may be established by:
1. A dated return receipt from the United
States Postal Service;
2. A dated
return receipt from a commercial delivery service provider;
3. The employee's signature affixed to the
notice;
4. An affidavit attesting
hand-delivery; or
5. An affidavit
attesting that the sender transmitted the Notice of the Rule 6-10 Meeting to a
valid email address combined with a copy of the email.
Board Rule 6-10. Rule 6-10 Meeting.
A. The appointing authority is responsible
for deciding whether to take disciplinary action.
B. This Rule only applies to certified state
employees.
C. When considering
discipline, the appointing authority shall meet with the employee before making
a final decision, unless the employee had previously filed an official
complaint of improper conduct against the appointing authority. In the event
that an official complaint has been raised, the department must delegate in
writing the appointing authority to another person for the purposes of
presiding over the Rule 6-10 meeting and making any resulting
decision.
D. During the Rule 6-10
meeting, the appointing authority shall:
1.
Disclose the alleged performance issues or conduct that may result in
discipline;
2. Disclose the source
of the information about the alleged performance issues or conduct (unless
prohibited by law); and
3. Give the
employee an opportunity to respond to the alleged performance issues or
conduct.
E. During the
Rule 6-10 meeting, the appointing authority and employee are each allowed one
(1) representative of their own choice. The appointing authority and the
employee may agree in writing to allow more than one (1)
representative.
F. Statements
during the Rule 6-10 meeting are not privileged.
G. Both sides may record the Rule 6-10
meeting using an audio-recording device.
H. The employee shall be allowed at least
seven (7) days after the Rule 6-10 meeting to provide the appointing authority
any additional information relating to the subjects discussed during the
meeting.
I. In deciding whether to
take disciplinary action, the appointing authority shall consider all the
information discussed during the Rule 6-10 meeting and any additional
information provided by the employee.
J. If agreed upon by the appointing authority
and the employee, the Rule 6-10 meeting may be conducted using
video-conferencing technology. Both sides may record a Rule 6-10 meeting that
is conducted via video-conferencing.
Board Rule 6-11. Factors to Consider in Taking
Discipline.
A. The decision to take
disciplinary action of a certified state employee shall be based upon:
1. The nature, extent, seriousness, and
effect of the performance issues or conduct;
2. Type and frequency of prior unsatisfactory
performance or conduct (including any prior performance improvement plans,
corrective actions or disciplinary actions);
3. The period of time since any prior
unsatisfactory performance or conduct;
4. Prior performance evaluations;
5. Mitigating circumstances; and
6. Information discussed during the Rule 6-10
meeting, including information presented by the employee.
B. In considering any disciplinary action of
an employee who has engaged in mistreatment, abuse, neglect, or exploitation
against a vulnerable person, the appointing authority shall give weight to the
safety of vulnerable persons over the interests of any other person. A
vulnerable person shall be as defined in §
27-90-111(2)(e),
C.R.S.
C. In considering any
disciplinary action of an employee for engaging in violent behavior or a threat
of violent behavior against another person while on duty, the appointing
authority shall give predominant weight to the safety of the other person over
the interests of the employee.
Board Rule 6-12. Disciplinary Actions.
A. Disciplinary actions are as follows: an
adjustment of base pay to a lower rate in the pay grade; base pay below the
grade minimum for a specified period not to exceed twelve (12) months;
demotion; dismissal; and suspension without pay, subject to FLSA provisions.
Administrative leave with pay during a period of investigation is not a
disciplinary action.
B. Reasons for
discipline include, but are not limited to, the following:
1. Failure to perform competently;
2. Willful misconduct;
3. Failure to comply with the Board Rules,
Director's Procedures, department's rules and policies, state universal
policies, or other departmental directives;
4. A violation of any law that negatively
impacts job performance;
5. False
statements or omissions of material facts during the application process for a
state position;
6. False statements
or omissions of material facts during the course of employment;
7. Violence or threats of violence;
a. "Violence" means any act of physical,
verbal, or psychological aggression. "Violence" includes destruction or abuse
of property by an individual.
b.
"Threat" may include a veiled, conditional or direct threat of violence in
verbal, written, electronic, or gestural form, resulting in intimidation,
harassment, harm, or endangerment to the safety of another person or
property.
8.
Mistreatment, abuse, neglect or exploitation of a person;
9. Conviction of a felony or any other
offense that involves moral turpitude; and
10. Conviction of a Department of Human
Services' employee of any of the offenses in §
27-90-111, C.R.S.
a. Conviction means a verdict of guilty or a
plea of guilty or a plea of nolo contendere for an offense in §
27-90-111, C.R.S. Conviction also
includes receipt of a deferred judgment and sentence or a deferred
adjudication, except that a person shall not be deemed to have been convicted
if the person successfully completes a deferred sentence or deferred
adjudication.
b. Employees charged
with an offense under §
27-90-111, C.R.S., shall notify
their appointing authority of such charge before returning to work. An employee
who is charged with a disqualifying offense under (9)(b) of §
27-90-111, C.R.S., shall be placed
on disciplinary suspension without compensation pending final disposition of
the criminal proceeding. An employee who is charged with a disqualifying
offense under (9)(c) of §
27-90-111, C.R.S., may be placed
on disciplinary suspension without compensation pending final disposition of
the criminal proceeding. If an employee who is suspended pursuant to this
provision is not convicted, and if an appointing authority has not issued
discipline that provides otherwise, then the employee is restored to the
position and granted back pay and benefits.
c. If an appellate court reverses a
conviction, or if an employee successfully completes a deferred sentence or a
deferred adjudication, then a disciplinary action based solely on that
conviction shall be reversed. In such an event, the employee is restored to the
position and granted back pay and benefits.
d. An appointing authority may issue a
disciplinary action based upon the conduct underlying a criminal charge
irrespective of the outcome of the criminal proceeding.
Board Rule 6-13. Outcome of Rule 6-10 Meeting.
A. If issuing discipline, the appointing
authority shall provide a written Disciplinary Letter to the employee that
includes the following:
1. The factual basis
and specific reasons for the discipline;
2. The discipline imposed;
3. The employee's right to appeal the
discipline to the Board, including the time frame for filing such an appeal and
the place for filing such an appeal; and
4. The Board's physical address, email
address, website, telephone and facsimile numbers.
B. The department shall provide the
Disciplinary Letter to the employee no later than five (5) days following the
effective date of the discipline.
C. Proof of delivery of the Disciplinary
Letter may be established by:
1. A dated
return receipt from the United States Postal Service;
2. A dated return receipt from a commercial
delivery service provider;
3. The
employee's signature affixed to the Disciplinary Letter;
4. An affidavit attesting hand-delivery;
or
5. An affidavit attesting that
the sender transmitted the Disciplinary Letter to a valid email address
combined with a copy of the email.
D. If not issuing discipline, the appointing
authority shall notify the employee in writing within five (5) days of the
decision to not take disciplinary action.
Board Rule 6-14. Corrective and disciplinary actions are
subject to Chapter 8, Resolution of
Appeals and Disputes.