ATTACHMENT TO CERTIFICATE OF ADOPTION

Permanent Administrative Procedures: 1-9; 1-23; 1-27; Chapter 2 Introduction; 3-4;
 3-8(4), (5), and (7); 3-13(A); 3-19; 3-21; 3-24; 3-25; 3-28; 3-42; 3-45; 3-46; Chapter 5 Introduction; 5-6; 5-8; 5-21; 5-25; 6-4 main paragraph, (E), (G), and (I); 6-5; 8-78; 8-79; 
8-94; 8-95(C) and (D); 8-96(A), (C), and (D); 8-98; 8-99; and 10-3.  

Chapter 1  Organization, Responsibilities, Ethics, And Definitions

1-9	Appointing authority powers include, but are not limited to: hiring and evaluating performance; determining the amount and type of any non-base incentive within policies issued by the Director and the department’s written plan; defining a job; administering corrective/disciplinary action; determining work hours including meal periods and breaks, and safe conditions and tools of employment; identifying positions to be created or abolished; assigning employees to positions; determining work location; and accountability for any other responsibilities in rule.

1-23.	Official Personnel File.  Each employee’s official personnel file shall include the following and be retained 10 years after separation: a separate record of all employment actions; most current application information; corrective/disciplinary action information unless rescinded by the Board or further appeal or removed by the appointing authority; final annual performance evaluations for at least the past three years; grievance and other dispute information; letters of recommendation, reference, or commendation as requested; and, any other information desired by the appointing authority.  An employee shall be given a copy of any information placed in the personnel file, except for reference checks.   

1-27.	Advisor.  Individual who assists a party during a grievance or the performance management dispute resolution process by explaining the process, helping identify the issues, preparing documents, and attending meetings.  
 
Chapter 2	Jobs 

Authority for rules promulgated in this chapter is found in §§24-50-101(2)(d), 24-50-104(1)(b), 24-50-104(5)(c), 24-50-104(6)(a) and (b), 24-50-104(9)(b), 24-50-109.5, and 24-50-135(2), C.R.S.  Board rules are identified by cites beginning with "Board Rule".    

Chapter 3	Compensation

3-4.	When upward pay grade changes are implemented, the grade minimum and maximum shall be adjusted and no employee shall be paid outside of the new grade, except in disciplinary actions resulting in salary temporarily below the new minimum and continuation of saved pay above the new maximum. 

3-8.	Unless authorized by the Director, the rate resulting from multiple actions effective on the same date shall be computed in the following order.  The Director may withhold salary adjustments for any employee with a final overall rating of needs improvement, except as provided in 3-4.  

1.	System maintenance studies;
2.	Upward, downward, or lateral movements;
3.	Base pay changes for the Teacher I class;
4.	Changes in pay grade minimums and maximums to implement approved annual compensation changes to the pay structure;
Adjustments to the base pay of employees due to achievement pay in approved annual compensation changes, subject to the new grade maximum;
6.	Bring salaries to the new grade minimum as a result of compensation survey pay grade changes, except in disciplinary actions;
Non-base achievement payments.

3-13.	In the case of system maintenance studies and individual allocations of positions, the employee’s base pay shall remain the same, including saved pay.

A.	A department head has sole discretion to grant saved pay when employees exercise retention rights and the decision must be applied consistently throughout the retention area. If saved pay is granted, the employee’s name shall not be placed on a reemployment list.  

3-19.	Any permanent employee is eligible for achievement pay, except as provided below.  Prior to the payment of achievement pay, the Director shall specify and publish the percentage for any base and non-base achievement pay for performance levels according to available statewide funding.  The non-base achievement payment is calculated on base salary after any annual compensation adjustments.  Payments are effective on July 1.  The employee must be employed on July 1 to receive payment.  The employee’s current department as of July 1 is responsible for payment.  

A.	A department’s performance program may address payment of non-base achievement pay for employees hired into the state personnel system during the performance evaluation cycle and rated as exceptional.  In the absence of a specific provision in the program, the employee shall receive the full non-base achievement payment.  An employee who has been in the state personnel system for the entire performance evaluation cycle and the final overall rating is exceptional shall receive full non-base achievement pay by the current department even if employed in another department during the previous cycle.

B.	If the final overall rating is needs improvement, the employee is ineligible for any achievement pay. 

C.	Achievement pay shall not be denied because of a corrective or disciplinary action issued for an incident after the close of the previous performance cycle.  

D.	Base building achievement pay is permanent, shall not exceed the grade maximum, and is paid as regular salary.  

	1.	If the final overall rating is exceptional, any remaining portion of the base achievement pay that exceeds grade maximum shall be paid as a one-time, non-base lump sum in the July payroll.  The salary lid does not apply.

	2.	If the final overall rating is other than exceptional, but not needs improvement, any portion of the payment that would cause base pay to exceed the grade maximum shall not be paid.  If base pay is at grade maximum or in saved pay above the maximum, the employee is ineligible for a base building achievement pay.  

E.	Non-base achievement pay must be earned each year and shall be paid as a one-time lump sum in the July payroll.  The grade maximum and statutory lid do not apply to non-base payments.

3-21.	An appointing authority may grant an immediate non-base cash or non-cash incentive award in recognition of special accomplishments or contributions throughout the year or to augment achievement pay, e.g., on-the-spot cash awards, work-life programs, or administrative leave.  Other than augmenting achievement pay, incentives shall not be used to supplement or substitute for annual compensation adjustments or other base pay movements.  The statutory salary lid does not apply to these incentives.  Departments must develop and communicate, prior to use and on an ongoing basis, a plan outlining their incentive program.  Such plans shall be developed with the input of employees and managers.  Records on any aspect of this program must be provided to the Director when requested.  

3-24.	Employees in the medical pay plan shall be compensated based solely on performance as established in the required annual contract to be negotiated by July 1 of the contract year, or within 30 days of hire or movement within the medical pay plan for the remainder of the contract year.  Employees are not eligible for any pay adjustments, such as achievement pay.  Current performance contracts may be modified during the contract year but not compensation.  Change in compensation shall only occur at the end of a contract period, unless an employee moves to another position, and may increase, decrease, or remain unchanged from the previous year.  In the case of upward or downward movement in the medical pay plan, compensation must be no lower than the minimum or higher than the maximum rates of the new grade and a new contract must be negotiated for the remainder of the contract year.  

3-25.	Employees in the senior executive service shall be compensated based solely on performance as established in the annual contract, which must be negotiated by July 1 of the contract year, or within 30 days of hire or movement within the plan for the remainder of the contract year.  All contracts expire on June 30 and no employee shall remain in the senior executive service without a contract.  The salary shall not exceed the maximum allowed for the position in the management class by more than 25 percent.  Employees are not eligible for any pay adjustments, such as achievement pay.  Current performance contracts may be modified during the contract year but not compensation.  Compensation may only be changed at the end of a contract period, and may increase, decrease, or remain unchanged from the previous year.  Compensation may change if the employee moves to another position.  

3-28.	All full-time employees work a minimum of 40 hours during a standard workweek (168 consecutive hours in seven consecutive days).  Appointing authorities may adopt different work periods for law enforcement and health care employees as permitted by federal law.  Overtime is the time a non-exempt employee works in excess of the 40 hours during a standard workweek  or in excess of established work hours in adopted work periods for law enforcement and health care employees.  Such excess hours are paid at 1½ times the employee’s regular hourly base pay rate, including applicable premium pay.  Monetary payment must be made by the next regularly scheduled payday following the pay period in which it was worked.  .  

3-42.	FLSA requires that certain basic records be maintained for both exempt and non-exempt employees.  Each department is accountable for maintaining those records.  

3-45.	Call Back applies when an eligible employee is required to report to work before the start or after the end of a scheduled shift.  If there is no release from work between the call back hours and regular shift, it is considered a continuation of the shift and call back does not apply.  When call back applies, a minimum of two hours pay is guaranteed.  Eligible employees are those who are eligible for overtime, and any call back time is counted as work time.  Employees exempt from overtime are also eligible when approved by a department head.  

3-46.	On Call is additional pay beyond base pay for employees specifically assigned, in advance, to be accessible outside of normal work hours and where freedom of movement and use of personal time is significantly restricted.  Eligible classes and the rate are published in the annual compensation plan.  A department head may designate eligibility for individual positions in classes not published and maintain records of such on-call designations.  Only time while actually on call shall be paid at the special rate.  In call back situations, employees eligible for both on call and call back pay shall receive call back pay only.  

Chapter 5	Time Off

Authority for rules promulgated in this chapter is found in §§24-50-104 (1)(g) and (7), 25-50-109.5, 1-6-122, 1-7-102, 12-34-101.5, 13-71-119 and 134, 19-5-211, 24-11-101 and 112, 24-34-402.7, 24-50-401(1), and 24-50 Part 3, C.R.S.  Board rules are identified by cites beginning with "Board Rule".  

5-6.	A State of Colorado Medical Certificate form (or equivalent) completed by a health care provider must be provided within 15 calendar days, absent extenuating circumstances, for any health-related absence of more than three consecutive, full working days.  Certification may also be required for absences of fewer days at the discretion of the appointing authority to determine if family/medical leave applies or when a pattern of absences indicates possible abuse.  Certification may be required for the first leave request each fiscal year even though certification for the same condition previously was provided.  Additional medical certificates may be required every 30 days or the time period established in the original certificate, whichever is longer, unless circumstances change or new information is received.  Failure to provide the certificate will result in denial of leave and possible corrective/disciplinary action.

5-8.	The appointing authority has the right to request a second opinion on the original certificate.  An original certificate includes the first certificate each fiscal year even though certificates previously were provided.  The department must pay the expenses for the second opinion and chooses a health care provider who is not employed by, or on contract with, the state.  An appointing authority may require a third opinion which is final and binding, if the original and second opinions conflict.  Again, the department must pay the expenses but the health care provider is mutually agreed upon.  Second and third opinions are not permitted on additional certificates for recertification purposes. 

5-21.	Administrative leave must be granted for the following.  

C.	To serve as an election judge unless a supervisor determines that the employee’s attendance on election day is essential.  The employee cannot receive compensation other than the paid administrative leave for serving as an election judge and must provide evidence of service.5-25.	To be eligible, an employee must have one year of total state service as of the date leave will 	begin.  Such service is time on the payroll, regardless of employee type, and need not be 	consecutive time.  If currently a temporary, the employee must also have worked 1250 hours 	within the 12 months prior to the date leave will begin.  Time worked includes overtime hours and 	paid leave (excludes any type of unpaid leave).  If the employee has worked full time, up to 520 	hours per fiscal year will be granted.  			If part time, the amount of leave is prorated based on the 	regular appointment or schedule.  If a part-time employee works an irregular, variable schedule, the amount of leave is prorated based on the average number of hours worked in the 12 weeks prior to the beginning of the leave (rounded to the nearest 1/100 of a hour).  Any extension of leave beyond the amount entitled to is not FML and is subject to other provisions in these chapters.  Requiring an employee to use more FML than needed is not permitted. 

Chapter 6	Performance
 
6-4.	The Director shall establish guidelines governing the performance management system.  The performance management system does not apply to employees in the senior executive service or medical plan.  Departments must develop a performance management program that includes the dispute resolution process and is approved by the Director before implementation.  All employees shall be evaluated, in writing, at least annually based on the past year’s performance.  If the 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 30 days of the effective date of the move.  These guidelines shall be used in a timely manner by all appointing authorities and designated raters, including any person employed by the state who supervises an employee.  The department’s performance management component must include the following.  

E.	A planning meeting with the employee that shall occur by the date specified in the department’s performance management program.  

G.	Specify whether the performance evaluations are numerical, qualitative, or a combination that conforms to one of the performance rating levels.  The Director shall define the performance rating levels and publish these standard definitions in written directives.  A department’s performance management program and forms shall contain the standard definitions.  Departments may further define the levels in relation to mission and operational needs providing that such expansion falls within these required definitions.  Beginning with the performance cycle on April 1, 2007, for achievement pay payable on July 1, 2008, three rating levels will be used and departments shall make conforming changes to performance management programs and forms.  

I.	Develop an accountability component to ensure compliance with the performance management system and the department’s program.  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 plan or evaluation.  

Repealed.  

Repealed.  

6-5.	Designated raters shall be evaluated 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 achievement pay.  If the individual performance plan or evaluation is not completed within 30 days of the corrective action, the designated rater shall be disciplinarily suspended in increments of one workday following the pre-disciplinary meeting.  

Chapter 8	Dispute Resolution

8-78.	Disputes asserting claims or grounds within the Director’s jurisdiction as authorized by Colorado Constitution, statute, or these rules must be submitted to the Director at:  
Colorado State Personnel Director
Attn: Dispute Resolution Process
1313 Sherman, First Floor
denver, CO 80203

8-79.	Disputes must be in writing and copies provided concurrently to the affected department.  Use of the standard “Colorado State Personnel System Consolidated Appeal/Dispute Form” found on the Director’s web site is required.  For good cause shown, the Director may waive this requirement provided the person filing the appeal (“complainant”) sets forth such grounds at the time the appeal is submitted.  The dispute must clearly state the following in sufficient detail.  
8-94.	The performance management dispute resolution process is an open, impartial process that is not a grievance or appeal.  No party has an absolute right to legal representation, but may have an advisor present.  The parties are expected to represent and speak for themselves.  

8-95.	Only the following matters are disputable:  

C.	the application of an department’s performance management program to the individual employee’s plan and/or final overall evaluation; and,

D.	Repealed.  

8-96.	The following matters are not disputable:  

A.	the content of a department’s performance management program;

C.	the performance evaluations and achievement pay of other employees; and,  

D.	Repealed.  

8-98.	Dispute Resolution Process.  Only the issue(s) as originally presented in writing shall be considered throughout the dispute resolution process.  

B.	External Stage.  This stage is administered by the Director.  Only those original issues involving the application of the department’s performance management program to the individual performance plan or evaluation.  

8-99.	The scope of authority of those individuals making final decisions throughout the dispute resolution process is limited to reviewing the facts surrounding the current action, within the limits of the department’s performance management program.  These individuals shall not substitute their judgment for that of the rater, reviewer, or the department’s dispute resolution decision maker if an issue is being considered at the external stage.  Further, these individuals shall not render a decision that would alter a department’s performance management program.  

Chapter 10	Personal Services Agreements

10-3.	Evaluation of Potential Impact on Certified Employees.  

D.	A contract for personal services does not implicate the state personnel system if the department head determines that it is necessary to retain outside contractors to meet a labor demand that is for: