Code of Colorado Regulations — Department of Personnel and Administration

101 Division of Finance and Procurement

1 CCR 101-1 State of Colorado Fiscal Rules {#sec-1-ccr-101-1 omnilex-key=us-co-regs-official--department-14--1 CCR 101-1}

Department of Personnel and Administration STATE OF COLORADO FISCAL RULES 1 CCR 101-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.]

These Fiscal Rules are effective as of July 1, 2026.

Purpose The purpose of these Fiscal Rules is to implement statutory provisions, set forth principles concerning internal controls, accounting policies, and financial reporting for the State of Colorado, and assist the State Controller in managing the finances and financial affairs of the State.

Statutory Authority Colorado Revised Statutes created the Office of the State Controller. Part 2, Title 24,

Article 30, C.R.S., lists the powers and duties of the State Controller and is incorporated as a reference into each of these Fiscal Rules. Section 24-30-202(13), C.R.S. provides the authority of State Controller to issue binding Fiscal Rules and is specifically incorporated into each of these State Fiscal Rules as statutory authority.

Definitions In addition to any definitions contained in each rule, the following general definitions shall apply to and are incorporated into each of these Fiscal Rules:

Chief Executive Officer – Executive Director, Commissioner, President, and/or any individual delegated to act on behalf of such individuals.

Chief Fiscal Officer – Top financial position in the State Agency or Institution of Higher Controller – The individual with the powers, duties, and functions created pursuant to §24-30-201, C.R.S. The Controller may delegate these powers, duties, and functions.

The term Controller as set forth in §6-1-1303(7) C.R.S Rule 2.02 does not apply to the Controller and delegates in §24-30-201, C.R.S.

Elective Officers – Governor, Lieutenant Governor, Attorney General, Secretary of State, and Treasurer.

Federal Funds – Awards, contracts and other resources provided to State Agencies that originate from the federal government.

Institution of Higher Education – A college or university in Colorado State government created by law, executive order, or any other authority that has not elected to be exempt from these Fiscal Rules under §24-30-202(13)(b), C.R.S.

Principal Departments – The State executive departments identified in §24-1-110, C.R.S., and the Office of the Governor.

Procurement Official - The individual of a purchasing agency with purchasing authority created pursuant to §24-102-202(3), C.R.S., or §24-102-302(2), C.R.S State – The State of Colorado.

State Agency – A department, division, section, unit, commission, board, bureau, or institution in Colorado state government created by law, executive order, or any other

authority, other than an Institution of Higher Education.

State Funds – Money that State Agencies have available to spend excluding money originating from the federal government. State funds include non-federal appropriated and non-appropriated funds as well as amounts received by, awarded to, or allocated to the State government from sources other than the federal government.

Applicability These Fiscal Rules are applicable to all State Agencies and Institutions of Higher Education (except those Institutions that have elected to be exempt from these Fiscal Rules under §24-30-202(13)(b), C.R.S.), to all employees of the state in the applicable State Agencies and Institutions of Higher Education, and to all funds in the executive branch of State government.

Pursuant to §24-2-102(4) C.R.S., an Elective Officer and each Elective Officer’s second-in-command, such as a deputy or chief of staff, may elect to exempt any solicitation or commitment voucher from either or both of §24-30-202 C.R.S., including the Fiscal Rules, and Title 24, Article 101 C.R.S. (Procurement Code) on a case-bycase basis. The Elective Officer, or designee, shall authorize the use of the exemption, which shall be documented prior to issuing the solicitation for exemptions from the Procurement Code or upon executing the Commitment Voucher, defined in Fiscal Rule 3- 1 (Commitment Vouchers), for exemptions from §24-30-202, C.R.S. The departments headed by Elective Officers are otherwise subject to §24-30-202 C.R.S., including these Fiscal Rules, and the Procurement Code, Title 24, Article 101, C.R.S., unless the Elective Officer chooses to exempt all solicitations and commitment vouchers by expressly documenting his or her intent.

Responsibility It is the responsibility of the Chief Executive Officer of each State Agency or Institution of Higher Education to ensure compliance with these Fiscal Rules.

Administrative Hardship A State Agency or Institution of Higher Education may submit a written request to the State Controller, with notification to the State Agency’s or Institution of Higher Education's Chief Executive Officer, for exemption and/or alternative policy if any of these Fiscal Rules create undue administrative or financial hardship. The State Controller may approve or deny such request.

Departmental Policies A State Agency or Institution of Higher Education may implement internal policies regarding these Fiscal Rules that may be more restrictive than these Rules. If a State Agency or Institution of Higher Education develops such policies, then employees at that State Agency or Institution of Higher Education shall comply with those policies in addition to complying with these Fiscal Rules.

Substance Over Form When reviewing any action for compliance with these Fiscal Rules, the individual reviewing that action shall review the substance of the action and not just the legal form of that action. These Fiscal Rules apply to the true intent of the transaction as opposed to its mere form.

Chapter 1: Accounting and Internal Controls

Rule 1- 1: Accounting Principles and Standards

Rule 1- 2: Internal Controls

Rule 1- 3: State Financial System

Rule 1- 4: Delegated Authority

Rule 1- 1: Accounting Principles and Standards 1. Authority §24-30-202(12), C.R.S. (Accrual System of Accounting)

2. Definitions 2.1. GAAP - Generally accepted accounting principles, as adopted by the Governmental Accounting Standards Board 3. Rule The accounting principles of the State shall be based on GAAP. In addition, all applicable statutory provisions shall be met.

When a conflict between statutory provisions and GAAP exists, GAAP takes precedence in financial reporting.

When it is necessary to report compliance of financial transactions with statutory requirements, supplemental schedules may be used. Preparation of separate statutory based reports may also be necessary.

Rule 1- 2: Internal Controls 1. Authority §24-17-102(1), C.R.S. (Internal Controls) §24-17-103, C.R.S. (Annual Internal Control Report) §18-4-401, C.R.S. (Theft) §18-8-407, C.R.S. (Embezzlement of Public Property) §§24-17-101 – 24-17-104, C.R.S. (State Department Financial Responsibility and Accountability Act)

2. Definitions 2.1. Commitment Voucher - See Fiscal Rule 3-1 (Commitment Vouchers) and State Contract, Grant Agreement, and Small Purchase Documentation. 2.2. Fraud – Misstatements Arising from Fraudulent Financial Reporting, Misstatements Arising from Intentional Misappropriation of Assets, and theft or embezzlement of public property. 2.3. Misstatements Arising from Fraudulent Financial Reporting – Intentional misstatements, or omissions of amounts or disclosures in financial statements, with the intent to deceive financial statement users. 2.4. Misstatements Arising from Intentional Misappropriation of Assets – The theft of an entity’s assets where the effect of the theft causes the basic financial statements not to be presented in conformity with GAAP, as defined in Fiscal Rule 1-1 (Accounting Principles and Standards). 2.5. Pre-audit – A review for compliance with applicable statutes, Fiscal Rules, and other regulations, and adherence to accepted business practices by a State Agency or Institution of Higher Education. 2.5.1. Pre-audit of a Commitment Voucher originating in the same State Agency or Institution of Higher Education includes an examination of budget, compliance, and documentation in order to verify and substantiate a transaction before the Commitment Voucher is recorded and paid. 2.5.2. Pre-audit of interagency transactions that require a Commitment Voucher: 2.5.2.1. For the billing State Agency or Institution of Higher Education, Pre-audit includes the same responsibilities as Pre-audit of a commitment voucher originating in the same State Agency or Institution of Higher Education. 2.5.2.2. For the paying State Agency or Institution of Higher Education, Pre-audit includes a review of the budget and compliance. The paying State Agency or Institution of Higher Education may rely on the billing agency to verify and substantiate the transaction. 2.5.3. Pre-audit of certified information 2.5.3.1. For the State Agency or Institution of Higher Education that prepares the certified information, Pre–audit includes an examination of the budget if applicable, compliance, documentation, and procedures to verify the accuracy of the information before the State Agency or Institution of Higher Education certifies the information. 2.5.3.2. The agency that receives the certified information, may rely on the Pre-audit conducted by the State Agency or Institution of Higher Education that prepares that information.

3. Rule 3.1. State Agencies and Institutions of Higher Education have the responsibility for the design and implementation of programs and controls to prevent, deter, and detect Fraud. 3.2. Any suspected Misstatements Arising from Fraudulent Financial Reporting shall be reported in writing to the State Controller as soon as it is discovered. 3.3. Any suspected theft or embezzlement of State funds, federal funds, or assets or sensitive State financial information shall immediately be reported to the Chief Executive Officer, or delegate, and the Chief Fiscal Officer of the State Agency or Institution of Higher Education where the theft or embezzlement may have occurred and appropriate action shall be taken by the State Agency or Institution of Higher Education. The Chief Fiscal Officer or controller of a Principal Department shall report in writing and in a timely manner the following to the State Controller: 3.3.1. A suspected theft or embezzlement of State funds, federal funds, or assets totaling $5,000 or more per incident; 3.3.2. All suspected theft of sensitive State financial information; and 3.3.3. The results of any investigation or follow-up including corrective measures implemented to prevent or reduce the likelihood of future occurrences. 3.4. When complying with §24-17-101, et seq., C.R.S., the form, content, and due date of the written statement shall be determined by the State 3.5. A State Agency or Institution of Higher Education shall complete a preaudit of all accounting documents and financial transactions prior to recording the documents on the State Financial System or on a State Agency or Institution of Higher Education Financial System., and prior to making payment. State Agencies and Institutions of Higher Education shall implement internal accounting and administrative controls that reasonably ensure that financial transactions are accurate, reliable, conform to the Fiscal Rules, and reflect the underlying realities of the accounting transaction (substance rather than form). A State Agency or Institution of Higher Education shall consider the factors of risk, cost, and business requirements when establishing these internal controls.

Rule 1-2: State Financial System 1. Authority §24-30-202(12), C.R.S. (Accrual System of Accounting) §2-3-107, C.R.S. (Authority to subpoena witnesses – access to records) §24-30-202(11), C.R.S. (State Controller Authority for Tracking Sources of Money Accruing to the State) §24-30-201(1)(f), C.R.S (Accounts and Control - Controller)

2. Definitions 2.1. CORA – Colorado Open Records Act, §24-72-200.1, et seq., C.R.S. 2.2. Electronic Interface – A standard specifying a set of functional characteristics, common physical interconnection characteristics, and signal characteristics for the exchange of data. 2.3. State Financial System – The official financial system for the State of Colorado, as prescribed by the State Controller, and used by the Office of the State Controller to prepare statewide reports including the Annual Comprehensive Financial Report, and also used by most State Agencies to record transactions and prepare reports for their organizations. 2.4. State Agency and Institution of Higher Education Financial Systems – Systems used by certain State Agencies and Institutions of Higher Education to record transactions, prepare reports, and prepare financial statements for their organizations.

3. Rule The State Controller is the official custodian of the database included within the State Financial System.

The State Controller, as official custodian of the State Financial System, shall approve access and resolve all disputes regarding access to the State Financial System and information contained in that system in compliance with CORA. 3.1. Use of the State Financial System and State Agency and Institutions of Higher Education Financial Systems 3.1.1. All State Agencies and Institutions of Higher Education shall either: 3.1.1.1. Use the State Financial System to record their financial transactions and financial information, develop their financial reports, and prepare their financial statements; or 3.1.1.2. Use a State Agency or Institution of Higher Education Financial System to record their financial transactions and financial information, develop their financial reports, and prepare their financial statements. 3.1.2. The State Controller shall approve State Agency and Institution of Higher Education Financial Systems in accordance with § 3.2 of 3.1.3. Redundancies in functionality between State Agency or Institution of Higher Education Financial Systems and the State Financial System shall be eliminated to prevent duplication in the development of financial systems, to improve the compatibility of financial systems, to facilitate inter-system communications and to timely access information, and to improve the efficiency of the collection, maintenance, and reporting of financial information throughout State government. 3.1.4. Internal Revenue Service Filing Requirements 3.1.4.1. State Agencies and Institutions of Higher Education exempt from using the State Financial System shall be responsible for Internal Revenue Service (IRS) filing requirements in accordance with the Internal Revenue Code, including obtaining a separate Taxpayer Identification Number (TIN) from the IRS. The XX- XXX4739 TIN is reserved for use by the Office of the State Controller when interacting with the IRS and not to be changed by State Agencies. 3.1.4.2. For State Agencies that utilize the State Financial System, IRS filing requirements are coordinated by the Office of the State Controller on behalf of State Agencies. State Agencies shall record contractor and payment transactions properly to ensure proper Federal reporting. 3.2. State Agencies and Institutions of Higher Education Financial Systems 3.2.1. All State Agencies and Institutions of Higher Education Financial Systems shall have the capability to interface with the State Financial System. 3.2.2. Approval of Financial Systems 3.2.2.1. If the State Controller and State Agency agree that the State Financial System can meet the State Agency’s needs, then the State Agency shall use the State Financial System unless the State Controller approves the procurement of another proposed system. 3.2.2.2. If the State Controller and State Agency agree that the State Financial System cannot meet the State Agency’s needs, then solicitations for such a financial system shall include a requirement that the financial system shall interface with the State Financial System. The State Controller shall approve the electronic interface of the proposed system with the State Financial System upon completion of testing of the interface, if testing confirms that the interface is fully operational. 3.2.3. If the present functionality of the State Financial System does not meet the needs of an Institution of Higher Education, the solicitations for a proposed financial system shall include a requirement that the proposed financial system shall interface with the State Financial System. The State Controller shall approve electronic interfaces of proposed systems used by Institutions of Higher Education with the State Financial System upon completion of testing of the interface. 3.2.4. State Agencies and Institutions of Higher Educations that use their system shall interface their data to the State Financial System as directed by the State Controller, if testing confirms that the interface is fully operational. 3.3. Access to State Network 3.3.1. Access to the State network shall only be granted in accordance with the policies issued by the Office of Information Security in the Governor’s Office of Information Technology. 3.4. Access to the State Financial System 3.4.1. State Financial System records contain both public and confidential information. Therefore, an employee who has access to the State Financial System shall only access information that is needed to do the employee’s job and shall not browse or otherwise access information contained in the State Financial System that exceeds the minimum necessary to do the employee’s job. Individuals with the authority to grant access to the State Financial System shall only grant access to create, modify or approve documents within the State Financial System to users as required by the user’s job duties. 3.4.1.1. Individuals with the authority to grant access to the State Financial System shall only grant access to non-State employees if such access is necessary to the work that the non-State employee is performing for the State or to comply with audit requirements. If access is granted to a non-State employee, then the individual granting such

authority shall ensure that the access granted is read-only, and limited to the specific purpose for which access was granted and only for the duration of the work that will be performed by the non-State employee. 3.4.2. If the State Controller receives a request from a State Agency or Institution of Higher Education for information belonging to another State Agency or Institution of Higher Education, the State Controller shall notify each State Agency or Institution of Higher Education whose information has been requested of the request for information and furnish such State Agency or Institution of Higher Education with a copy of the information provided. 3.4.3. If the State Controller receives a request from the Office of the Governor or the Legislative Branch for information belonging to State Agency or Institution of Higher Education, the State Controller shall notify each State Agency or Institution of Higher Education whose information has been requested of the request for information and furnish such State Agency or Institution of Higher Education with a copy of the information provided. 3.4.4. If the State Controller receives a request for information from a citizen or entity other than a State Agency or Institution of Higher Education under CORA, the State Controller shall furnish the information in a timely manner, as provided by statute, if the State Controller is the custodian of record for that information. The State Controller shall only respond to requests under CORA if the State Controller is the custodian of record for the information contained in that request. For all requests for which the State Controller is not the custodian of record, the State Controller shall refer the request to the State Agency or Institution of Higher Education who is the custodian of record for that information, if known. 3.4.5. The State Auditor has the authority to access the State Financial System, State Agency and Institutions of Higher Education Financial Systems, and the books, accounts, reports, vouchers, or other records or information of State Agencies and Institutions of Higher Education in accordance with §2-3-107, C.R.S. 3.5. State Financial System Security 3.5.1. The State Controller and the Governor’s Office of Information Technology are responsible for the overall security of the State Financial System. The State Controller may delegate security responsibility to State Agencies and Institutions of Higher Education for access to the State Financial System.

Rule 1-3: Delegated Authority 1. Authority §24-30-202(1), (2), (3), (4), and (5) C.R.S. (Authority for Delegation of Authority)

2. Definitions 2.1. Commitment Voucher – See Fiscal Rule 3-1 (Commitment Vouchers) and 3. Rule Any individual who has the direct authority to sign or approve Commitment Vouchers on behalf of a State Agency or Institution of Higher Education, may delegate that authority as described in this Fiscal Rule. The State Controller may delegate the authority granted in §24-30-202, C.R.S. to approve and sign Commitment Vouchers as described in this Fiscal Rule. 3.1. Executive Signature Authority Delegation 3.1.1. The Chief Executive Officer of a State Agency who has authority to sign State Contracts, as defined in Fiscal Rule 3-3 (State Contracts), and Grants, as defined in Fiscal Rule 3-4 (Grants), for the State Agency over which the individual has authority on behalf of the Governor or another Elective Officer may delegate that signature authority as described in the State Controller Contract, 3.1.2. The Chief Executive Officer of an Institution of Higher Education who has authority to sign State Contracts, as defined in Fiscal Rule 3- 3 (State Contracts), and Grants, as defined in Fiscal Rule 3-4, for the Institution of Higher Education over which the individual has

authority on behalf of the Governor may delegate that signature

authority as described in the State Controller Contract, Grant, and Purchase Order Policies. 3.2. State Controller Delegation 3.2.1. The State Controller may delegate authority as permitted under §§24-30-201 and 24-30-202, C.R.S., and these Fiscal Rules, by entering into a delegation agreement with the individual to whom the State Controller is delegating that authority. Delegated authority may include the following: 3.2.1.1. The authority to approve and sign Commitment Vouchers as the final State signatory, as required under §24-30-202, C.R.S., and as described in the State Controller Contract, 3.2.1.2. The authority for Pre-audit responsibilities under §24-30- 201(1)(h), C.R.S., 3.2.1.3. Internal controls and system security administration under §24-30-201(1)(f), C.R.S. 3.3. Chief Information Officer Signature Authority 3.3.1. The State’s Chief Information Officer, defined in §24-37.5-102(3), C.R.S., may delegate the authority to approve and sign Commitment Vouchers for Major Information Technology Projects, as required under §24-30-202(1), C.R.S., and as described in the

Chapter 2: Disbursement

Rule 2- 1: Propriety of Expenditures

Rule 2- 2: Receiving Reports

Rule 2- 3: Payment Terms

Rule 2- 4: Official Functions and Training Functions

Rule 2- 5: Miscellaneous Compensation and Other Benefits (Perquisites)

Rule 2- 6: Moving and Relocation

Rule 2- 7: State Commercial Cards

Rule 2- 1: Propriety of Expenditures 1. Authority §24-77-101, et seq., C.R.S. (Fiscal Year Spending Limits) §24-30-202(2), and (5)(a), C.R.S. (Propriety of Expenditures)

2. Definitions 2.1. Donation – Property, services, or money given without receiving consideration for the transfer. The term “Donation” does not include the State’s purchase of any good or service; Grants, as defined in Fiscal Rule 3- 4 (Grants), where the grantee is required to provide an accounting of funds and progress reports regarding the work performed; restitution or court judgments; services provided by individuals in their individual capacity; or payments to or on behalf of beneficiaries of State programs defined in State statute or regulations.

3. Rule All expenditures by State Agencies and Institutions of Higher Education shall meet the following standards of propriety: 3.1. Are for official State Business, as defined in Fiscal Rule 5-1 (Travel), purposes only; 3.2. Are reasonable and necessary under the circumstances; 3.3. Are authorized by the appropriation and required approvals have been received; 3.4. Prices or rates are fair and reasonable; 3.5. Amount is within the available unencumbered balance or is within the balance encumbered specifically for the expenditure; and 3.6. Comply with the Procurement Code, applicable statutes, executive orders, rules, and policies.

State Agencies and Institutions of Higher Education shall not make a Donation to any other entity or individual unless specifically permitted by statute.

All expenditures by State Agencies and Institutions of Higher Education recorded in a State fiscal year shall be for services performed or goods received by the last day of that fiscal year.

Rule 2- 2: Receiving Reports 1. Authority §24-30-202 (1), C.R.S. (State Controller Authority to Determine Payment Processes)

2. Rule Receiving reports, or other sufficient documentation, shall be prepared for all goods and services received, showing actual quantities, any unsatisfactory condition, and compliance with specifications, prior to processing a voucher for payment. This information shall be certified by the recipient of the goods or services.

3. Exceptions to Rule 3.1. A receiving report need not be prepared for personal service expenditures. 3.2. When an adequate system of internal accounting and administrative controls exists to provide sufficient verification that goods or services were received, a State Agency or Institution of Higher Education may choose not to require a signed receiving report.

Rule 2- 3: Payment Terms 1. Authority §24-30-202 (1), C.R.S. (State Controller Authority to Determine Payment Processes) §24-30-202.4 (3.5) C.R.S. (Vendor Offset)

2. Definitions 2.1. Common Policy Payment – A payment made by a State Agency to another State Agency with an internal service fund, such as the Governor’s Office of Information Technology, the Department of Personnel & Administration, or the Department of Law, for services provided by those State Agencies to multiple other State Agencies. The General Assembly provides spending authority to both the State Agency purchasing the services and the State Agency providing the services. 2.2. Delinquent Payable – A Payable is delinquent if a disbursement is not made within forty-five days after a liability arises, unless the time of payment has been otherwise provided in the Commitment Voucher. A Payable being disputed by a contractor or State Agency or Institution of Higher Education shall become delinquent if a disbursement is not made within forty-five days after resolution of the dispute. 2.3. Payable – A Payable is a liability incurred by the State. A liability shall arise upon receipt of supplies and services and a correct notice of the amount due. A liability shall not arise if a good faith dispute exists as to the State Agency’s or Institution of Higher Education's obligation to pay all or a portion of the liability. 2.4. Payment Terms – Contractual obligations between a State Agency or Institution of Higher Education and a contractor regarding timing, amount, and preconditions of payment, as evidenced in a Commitment Voucher or on an invoice.

3. Rule 3.1. Payment on Time 3.1.1. Payments shall be processed in a timely manner and made within the allowable discount period to ensure the State Agency or Institution of Higher Education takes advantage of purchase discounts, if economically beneficial to the State. All payment processing timelines shall begin upon the acceptance of a correct invoice by the State Agency or the Institution of Higher Education and the delivery of goods or completion of the services provided unless specifically stated otherwise in a Commitment Voucher. 3.2. Interest Payment on Delinquent Payables 3.2.1. State Agencies and Institutions of Higher Education shall process invoices and other notices of liability as efficiently as possible in order to ensure payment in accordance with contractual or invoice terms, and in the absence of such terms, as soon as possible, or in accordance with statutory provisions. A Delinquent Payable shall be assessed interest at the 1% per month or such other amount as may be required by §24-30-202(24), C.R.S. State Agencies and Institutions of Higher Education may pay other amounts as required by contract. All Commitment Vouchers shall provide for a reasonable time of payment considering the nature of the goods or services provided and review and approval required for payment. If no time for payment has been provided for in writing, interest on the unpaid balance shall be calculated beginning with the forty-fifth day after the liability for such payment arises under this Fiscal Rule. The liability arises when a State Agency or Institution of Higher Education has received and accepted a correct notice of the amount due. 3.3. Interagency Purchases and Payments 3.3.1. A State Agency or Institution of Higher Education shall make payment for purchases of goods and services from another State Agency or Institution of Higher Education within 30 days after receipt of a valid invoice. Where possible and practical payments shall be made by an interagency document in lieu of a state warrant. 3.4. Disputes Arising from Interagency Agreements See Fiscal Rule 3-5 Interagency Agreements, §7. 3.5. Vendor Intercepts 3.5.1. State Agencies and Institutions of Higher Education may direct the State Controller to withhold an amount, not to exceed the unpaid balance or debts owed to the State by a contractor prior to disbursement of payment in accordance with §24-30- 202.4(3.5)(a)(I), C.R.S. 3.5.2. For State Agencies that utilize the State Financial System, the State Financial System automatically withholds the unpaid balance of debts owed to the State, as identified by an intercepting State Agency prior to disbursement to a vendor as outlined in the statute.

Payment is then transmitted to the intercepting State Agency. State Agencies and Institutions of Higher Education that do not use the State Financial System shall be responsible for ensuring compliance with §24-30-202.4(3.5)(a)(I), C.R.S. by creating their own internal withholding procedures. 3.6. Unpaid Warrants and Payables 3.6.1. A State Agency or Institution of Higher Education that has an unpaid warrant or check shall perform due diligence to identify if the payable is valid. If valid, the State Agency or Institution of Higher Education shall reissue payment to a contractor or vendor. A check or warrant that is presumed abandoned under §38-13-201, C.R.S., shall be transferred to the unclaimed property trust fund as described in §38-13-603, C.R.S. 3.6.2. For State Agencies that utilize the State Financial System, transfer of unpaid warrants or checks to the unclaimed property trust fund and completion of reporting requirements is coordinated by the Office of the State Controller after State Agencies complete their due diligence. State Agencies and Institutions of Higher Education that do not use the State Financial System shall be responsible for ensuring compliance with the statute by creating their own internal procedures.

Rule 2- 4: Official Functions and Training Functions 1. Authority §24-30-202 (1), C.R.S. (State Controller Authority to Determine Processes for Payment of Liabilities)

2. Definitions 2.1. Official Function – A meeting, conference, meal, training, or other function that is hosted by the Chief Executive Officer, or representative, of a State Agency or Institution of Higher Education, attended by guests and/or State employees, held for official State Business, as defined in Fiscal Rule 5-1 (Travel), purposes and includes an expenditure of funds.

3. Rule 3.1. Official Functions that include purchases of food and beverages have the potential of being perceived to be for personal benefit and an abuse of public funds. Attendance shall include only those individuals directly related to the purpose of the function. Purchases of food and beverages should be kept to a minimum and shall be approved by the Chief Executive Officer or by a representative of the State Agency or Institution of Higher Education who has been delegated authority by the Chief Executive Officer. All expenditures associated with an Official Function must meet the requirements in Fiscal Rule 2-1 (Propriety of Expenditures). 3.2. Permissible and prohibited Official Functions are further defined in the State Controller Fiscal Policies. 3.3. For all purchases of food, beverages, and other allowable expenditures, State Agencies and Institutions of Higher Education shall maintain documentation that includes the following: 3.3.1. Description of Official Function; 3.3.2. Justification for food and beverages; 3.3.3. Attendees; and 3.3.4. Chief Executive Officer or delegate approval.

Rule 2- 5: Miscellaneous Compensation and Other Benefits (Perquisites)

1. Authority §24-2-103, C.R.S. (Compensation for Exempt State Officers and Employees) §24-30-202(22), C.R.S. (State Controller Authority for Allowing Perquisites)

2. Definitions 2.1. Fringe Benefits – Any benefit described in §24-50-104(1)(g), C.R.S., including, without limitation, insurance, retirement and leaves of absence with or without pay. 2.2. Metropolitan Area – A region including a city and the densely populated surrounding areas that are socially and economically integrated with it.

See State Controller Travel Policies. 2.3. Perquisite – Any payment, benefit or privilege provided by the State to a State employee other than the following, which are not considered Perquisites: 2.3.1. Salary; 2.3.2. Fringe benefits; 2.3.3. Incentives and awards; 2.3.4. Travel and non-travel related reimbursements; 2.3.5. State sponsored job related training; 2.3.6. Temporary housing provided to employees who are working at a work location that is not in the same Metropolitan Area as the employee’s normal work location; 2.3.7. Permanent housing on State property, provided for the benefit of the State, where the employee is required to stay as a condition of employment; 2.3.8. The provision of faculty housing or student apartments by Institutions of Higher Education; 2.3.9. Housing or a housing allowance provided to the Chief Executive Officer of an Institution of Higher Education as part of that individual’s employment contract consistent with policies developed by the Commission on Higher Education and approved by the State Controller; 2.3.10. Uniforms that are required to be worn by State employees and the necessary maintenance of these uniforms, so long as the uniform is worn as a condition of employment, is not suitable for everyday wear, is distinctive to a particular group, and serves as a means of identification; and 2.3.11. Employee discounts offered to all State employees.

3. Rule A State employee shall not have the authority to grant any Perquisites, nor shall any State employee receive any Perquisite except as provided by State statute or this Fiscal Rule. Monetary allowances shall not be given to State employees in lieu of Fringe Benefits, except as provided by State statute or approved by the State Controller. Where State statutes provide allowances for maintenance and ordinary expenses incurred in the performance of duty, it is the responsibility of the Chief Executive Officer of the State Agency or Institution of Higher Education to establish specific expenses that are covered by the allowance so that the same expenses are not also directly reimbursed. A State Agency or Institution of Higher Education may provide any payment, benefit, or privilege to a State employee, that is not considered a Perquisite, in its sole discretion. If a State Agency or Institution of Higher Education provides a Perquisite allowed under this Fiscal Rule, then it shall equitably determine which State employees are eligible to receive such Perquisites. 3.1. Allowed Perquisites 3.1.1. Clean Air Transit Perquisite for State Employees – A State Agency or Institution of Higher Education may offer a clean air transit Perquisite to its employees on an equal basis to all permanent fulltime employees within the geographic area served by the mass transit provider and, if deemed appropriate by such State Agency or Institution of Higher Education, also may be offered on an equal

basis to all of its part-time employees within the same geographic area. 3.1.1.1. Clean air transit perquisites for State employees may include mass-transit passes, such as the Regional Transportation District EcoPass, provided to State employees at a reduced or no cost; the provision of electric vehicle charging stations for use by State employees at a reduced or no cost; or any other Perquisite intended to reduce the effects of State employee transit on air quality as may be determined by the State Controller in the State Controller Policies. 3.1.2. Events Sponsored by State Agencies and Institutions of Higher Education – A reasonable discount may be offered by a State Agency or Institution of Higher Education to State Officials, defined in Fiscal Rule 5-1 (Travel) and State employees to improve attendance or participation in State sponsored events. Examples include discounts on admission to athletic games and cultural, educational, recreational, or other events. 3.1.3. Meals – Meals prepared at State dining facilities are primarily for the benefit of the students, patients, or inmates housed at these facilities. However, a State Agency or Institution of Higher Education may provide meals to State employees working at these facilities. 3.1.4. Instructional Courses and Job Related Training – A State Agency or Institution of Higher Education may provide job related and career enhancement courses to State employees that are not sponsored by the State or may provide tuition reimbursement for such courses and training. A State Agency or Institution of Higher Education may only offer or provide tuition reimbursement for courses and training that will benefit the State and enhance the employee's performance. Such instructional courses and job related training may include, without limitation, continuing education courses for licensed professionals, regardless of whether such license is a mandatory requirement of the employee’s position; courses provided by private entities to enhance job-related skills; and courses provided by public or private colleges and universities, including State Institutions of Higher Education. 3.1.5. State Housing Provided to State Employees – A State Agency or Institution of Higher Education may provide housing for a State employee where State-owned facilities are available and it is in the best interest of the State. If the employee will pay any rent or otherwise be charged for the housing, then the State Agency or Institution of Higher Education shall execute a rental agreement with the State employee. If the rented unit does not have separate utility meters, the State Agency or Institution of Higher Education shall also include in the rental agreement payment for the estimated utility costs. 3.1.5.1. A State employee may be provided housing as a condition of employment for reasons that may include the employee is required to live in the State facility, the State employee is required to be available twenty-four hours a day to perform the assigned duties, the State employee is required to live in close proximity to the State facility in order to provide protection or discourage trespassers from entering the property, or the State employee’s work location is in a remote area that is difficult to reach and has no housing available other than State furnished housing. 3.1.6. De Minimis Employee Appreciation Items – A State Agency or Institution of Higher Education may provide non-cash awards, items of clothing, meals and other items intended to show employee appreciation, so long as those items are de minimis. The State Controller may issue policies regarding the frequency with which such items may be provided and the value of those items that are considered de minimis. Cash awards or cash equivalents, for example gift cards, in any amount are not de minimis and are taxable to the employee. 3.1.7. Bookstore Discounts – An Institution of Higher Education may provide equitable discounts for its faculty members and employees for purchases at its bookstores. 3.1.8. Commuter Use of State Owned Vehicles – A State Agency or Institution of Higher Education may provide a State owned vehicle to an employee to use for commuting purposes when the State Agency or Institution of Higher Education determines that the employee requires the use of the State owned vehicle for work purposes and also allowing the employee to use the State owned vehicle for commuting is the most efficient use of State fleet resources, as described in Fiscal Rule 9-6 (Miscellaneous Compensation).

4. Payments for Perquisites 4.1. A State Agency or Institution of Higher Education that provides any Perquisite to a State employee may choose to either provide that Perquisite without cost to the employee or may charge the employee for that Perquisite. For each Perquisite offered by a State Agency or Institution of Higher Education for which an employee is charged, the Chief Executive Officer of that State Agency or Institution of Higher Education shall annually determine the amount that the agency will charge its employees. All such charges shall be equitable for all employees to whom the Perquisite is offered. 4.2. If a State Agency or Institution of Higher Education will charge a State employee for any Perquisite, then the State Agency or Institution of Higher Education shall make a payroll deduction from that employee’s pay in the amount of the charges for such Perquisites received by that employee.

5. Taxability of Perquisites State Agencies and Institutions of Higher Education shall report all payments for Perquisites in accordance with the Internal Revenue Code and its implementing regulations. State Agencies and Institutions of Higher Education shall report all taxable Perquisites received by State employees in accordance with the Internal Revenue Code and its implementing regulations, and State Controller Fiscal Policies.

Rule 2- 6: Moving and Relocation 1. Authority §24-50-134, C.R.S. (Moving and Relocation Expenses) §24-9-104, C.R.S. (Mileage Allowances)

Internal Revenue Service Publication 521 (Moving Expenses)

2. Definitions 2.1. Incidental Expenses – See Fiscal Rule 5-1 (Travel). 2.2. Moving Expenses – Reasonable expenses of moving a State employee’s Household Goods and Personal Effects to the State employee’s new home and reasonable costs of traveling to an employee’s new residence. 2.3. Household Goods and Personal Effects – This includes household and personal effects such as furniture, clothing, musical instruments, household appliances, foods, and other items that are usual and necessary for the maintenance of a household. 2.4. Lodging – See Fiscal Rule 5-1 (Travel). 2.5. Relocation Expenses – Relocation expenses are equal to the total per diem for the destination location in the latest per diem rates published by the U.S. General Services Administration. The total per diem includes the lodging per diem rate plus the meals and Incidental Expense (M&IE) rate. 2.6. Transportation – See Fiscal Rule 5-1 (Travel).

3. Rule When an employee in the State personnel system, other than an Elective Officer, qualifies for moving, such State employee shall be allowed moving expenses as set forth in §3.1. In addition, such State employee shall be allowed relocation expenses up to a maximum of thirty days for necessary expenses incurred while relocating to a permanent residence. The State Agency or Institution of Higher Education shall not reimburse or pay moving expenses for a State employee when the move is made solely for personal reasons. Moving expenses shall be authorized by the Chief Executive Officer, or a delegate, of a State Agency or Institution of Higher Education if the move of residence is occasioned by a change in assignment, a promotion, or for another reason related to the State employee's duties. This rule does not apply to new hires. 3.1. Employee Qualification for Moving Expenses A State employee must meet all of the following conditions to qualify for moving expenses under this Fiscal Rule: 3.1.1. An appointing authority requires the State employee to change the employee’s primary place of residence because of a change in assignment or a promotion or for any other reason related to the employee’s duties. See §24-50-134, C.R.S.; and The State employee’s move is closely related to the start of work, both in time (move occurs within one year from the date the employee first reported to work at the new location) and in place (the distance from employee’s new home to the new job location is less than the distance from the employee’s former home to the new job location). 3.2. Moving Expenses 3.2.1. Moving of Household Goods and Personal Effects – Overall 3.2.1.1. The State employee shall obtain at least two competitive bids and submit those bids when the employee seeks reimbursement. State payment shall be made at the rate proposed in the lowest responsible bid. 3.2.1.2. The amount of moving expenses shall be reasonable and necessary under the circumstances. 3.2.2. Moving of Household Goods and Personal Effects – Commercial Mover 3.2.2.1. Moving expenses include packing, insurance, Transportation, and storage not to exceed thirty days, unpacking, and installation at the new location of the State employee's Household Goods and Personal Effects.

Moving expenses also include charges by commercial vendors for towing of mobile homes. 3.2.2.2. Upon approval by the State Controller or an individual with a delegation from the State Controller, the State employee may arrange for the commercial mover to bill the State Agency or Institution of Higher Education directly. 3.2.3. Moving of Household Goods and Personal Effects – Employee Moves Household Goods and Personal Effects 3.2.3.1. A State employee may move Household Goods and Personal Effects by rental trailer or truck, or portable moving container, in lieu of using a commercial mover, and shall be reimbursed for the actual cost of using that trailer, truck, or portable moving container, so long as such costs are reasonable. 3.2.3.2. If the State employee uses the State employee’s vehicle to move, the State employee shall be entitled to the standard State mileage rate for moving, not travel. 3.3. Relocation Expenses 3.3.1. A State employee shall receive the per diem allowance up to a maximum of thirty days for necessary expenses incurred while locating permanent residence at the new location. The thirty days shall not extend beyond ninety consecutive days. The per diem shall consist of the Lodging, meals, and Incidental Expenses rate for the destination location published by the U.S. General Services Administration. The employee shall pay for these expenses and submit a reimbursement request. The employee may exclude interruptions caused by sick leave, vacation, other authorized leave of absence, or ordered travel. The maximum amount paid for the per diem allowance shall not exceed the daily rate multiplied by thirty days. 3.3.2. A State employee shall receive reimbursement for mileage to and from the present location and the destination location up to a maximum of thirty days. The mileage shall be reimbursed at the prevailing mileage rate in accordance with §24-9-104, C.R.S.

(Mileage Allowances).

Sales Tax for Moving and Relocation Expenses - A State employee shall receive reimbursement for sales taxes paid for Moving and Relocation Expenses. State agencies shall report such amounts as taxable income.

Rule 2- 7: State Commercial Cards 1. Authority §24-102-207, C.R.S. (Statewide Procurement Card)

2. Definitions 2.1. Commercial Card Program – All card (Procurement, Travel, One Card) accounts and services provided to the State and participating entities by a bank. 2.2. Commercial Cards – State issued payment cards including Procurement Cards, Travel Cards, and One Cards. 2.3. Procurement Card – Commercial Card used for small purchases of general merchandise and services as governed by State statutes, the Procurement Rules, and these Fiscal Rules. A Procurement Card is a corporate liability card. 2.4. Travel Card – Commercial Card used for travel related purchases as governed by State statutes, State travel rules, and these Fiscal Rules. A Travel Card may be centrally billed (corporate liability) or individually billed (individual or joint and several liability). 2.5. One Card – Commercial Card combining the functionality of both the Procurement Card and the Travel Card. A One Card is a corporate liability card.

3. Rule All State Agencies and participating Institutions of Higher Education eligible for the State Commercial Card Programs shall enter into an agreement with the applicable State Commercial Card Program to participate. State Agencies and Institutions of Higher Education may not enroll in other credit or debit card program agreements (including store credit or other extension of credit). 3.1. Personal Services – Commercial Cards may be used to pay for services as well as goods. Under present Internal Revenue Service guidelines, it is the responsibility of the banking institution to fulfill 1099 reporting requirements. 3.2. Purchases in Excess of $15,000 – If authorized by the Chief Fiscal Officer of the State Agency or Institution of Higher Education, Commercial Cards may be used to pay invoices in excess of $15,000. Commercial Cards are a method of payment. Use of the Commercial Card is not a substitute for a Commitment Voucher or Encumbrance, as required by and defined in Fiscal Rule 3-1 (Commitment Vouchers). 3.3. Audit Responsibility – Use of the Commercial Card does not eliminate the need for an audit, which shall be completed within 60 days of the date the disbursement is made to the bank. The State Agency or Institution of Higher Education is responsible for reconciling the disbursements made to the bank with the total of validated individual charges for the State Agency or Institution of Higher Education. The dispute mechanism in the card agreement shall be used when charges from the bank are challenged. 3.4. Annual Commercial Card Reporting 3.4.1. State Agencies and participating Institutions of Higher Education shall review all Commercial Card payments and submit a report annually to the Office of the State Controller by November 1 of each year. The report shall include all incidents of State Commercial Card misuse that are recurring, significant, or in excess of $500.

State Agencies and participating Institutions of Higher Education shall submit a report even if the Agency Institution has no instances of misuse. 3.4.2. The report shall include results of any investigation or follow-up including corrective measures implemented to prevent or reduce the likelihood of future occurrences. Misuse include actions such as the purchase of goods/services or travel related transactions for personal use, splitting a purchase to circumvent single purchase dollar limits or cardholder credit limits, travel related transactions on the Procurement Card, purchasing related transactions on the Travel Card, or any other unauthorized transactions disallowed by State Agency or Institution of Higher Education policy. Incidents of suspected Commercial Card theft or embezzlement after investigation shall be reported according to Fiscal Rule 1-2 (Internal Controls). 3.5. Monitoring and Training – Administrators of Commercial Card Programs shall ensure compliance with card agreements, monitor proper usage of the card, and provide direction to State Agencies and Institutions of Higher Education on proper use of the card. 3.6. Cardholders – State Agencies and Institutions of Higher Education shall only issue a Commercial Card to permanent State employees and shall not issue a State Commercial Card to contractors, temporary State employees, or non-State employees.

Chapter 3: Commitment Vouchers

Rule 3- 1: Commitment Vouchers

Rule 3- 2: Purchase Orders

Rule 3- 3: State Contracts

Rule 3- 4: Grants

Rule 3- 5: Interagency Agreements

Rule 3- 1: Commitment Vouchers 1. Authority §24-30-202 (1-4), and (5)(a), C.R.S. (State Controller Authority) §24-30-1401, et seq., C.R.S. (Professional Services) §24-91-103, C.R.S. (Public entity - Contracts - Partial Payments) §24-101-101, et seq., C.R.S. (Procurement Code) §24-102-206, C.R.S. (Contract Performance Outside the United States or Colorado) §38-26-106, C.R.S. (Contractor Executes Bond - Applicability) §38-26-107, C.R.S. (Final Settlement and Notice - Withholding Funds)

2. Definitions All references to “contract” or “agreement” refer to legally binding documents between the State and another party or documents describing the agreement between State Agencies and Institutions of Higher Education. The terms “contract”, and “agreement” are used interchangeably in the following definitions to reflect their common usage in the State and include any amendments and modifications thereto. 2.1. Advance Payment – A payment made for goods or services prior to the receipt and acceptance of the goods or the completion and acceptance of the services as well as a payment made in advance of performance for any contractual or grant obligation. 2.2. Advice of Employment – A document that includes an offer of employment. 2.3. Chief Information Officer – See §24-35.7-102(3), C.R.S. 2.4. Chief Procurement Officer. See §24-101-301(6), C.R.S. 2.5. Contract – Any Commitment Voucher that constitutes a State Contract or Purchase Order under this Fiscal Rule, where the principal purpose is to acquire supplies, services, or construction or to dispose of supplies for the direct benefit of the State. 2.6. Commercial Cards – See Fiscal Rule 2-7 (State Commercial Cards). 2.7. Commitment Voucher – A document that authorizes the purchase of goods or services, encumbers the funds, and provides for disbursement of funds, in a form approved by the State Controller. Examples include: Purchase Order, State Contract, Grant Agreement, and Small Purchase Documentation. See §4 of Fiscal Rule 3-1 (Commitment Vouchers). 2.8. Disaster Emergency – Emergency declared in an executive order issued by the Governor of the State of Colorado pursuant to Article IV, of the Colorado Constitution and the relevant portions of the Colorado Disaster Emergency Act §24-33.5-701, et seq. C.R.S. A declaration of a disaster emergency does not create an Emergency Procurement defined in §2.9 of 2.9. Emergency Procurement – A procurement authorized by the Department of Personnel & Administration’s Executive Director, the Chief Procurement Officer, the Procurement Official defined in§24-101-301(30), of a Principal Department, or a designee of any of them when there exists a threat to public health, welfare, or safety under emergency conditions. See §24- 103-206, C.R.S. Emergency conditions create an immediate and serious need for supplies, services, or construction that cannot be met through normal procurement methods and lack of which would seriously threaten: 2.9.1. The functions of State government and its programs; 2.9.2. The preservation or protections of property; or 2.9.3. The health or safety of any person or persons. See Procurement

Rule R-24-103-206-1 Definition of Emergency Conditions. 2.10. Encumbrance – An amount reserved on the State Financial System or an approved State Agency or Institution of Higher Education financial system to reflect a formal obligation of the State. 2.11. Financing – The receipt of a loan or issuance of bonds or certificates of participation. 2.12. GAAP – See Fiscal Rule 1-1 (Accounting Principles and Standards). 2.13. Grant – See Fiscal Rule 3-4 (Grants). 2.14. Interagency Agreement – See Fiscal Rule 3-5 (Interagency Agreements). 2.15. Major Information Technology Project – See §24-37.5-102(19), C.R.S. 2.16. Party – An individual or entity who is not a State Agency or Institution of Higher Education. If appropriate in the context, the term “Party” may also refer to multiple individuals or entities who are not State Agencies or Institutions of Higher Education. 2.17. Personal Services Commitment Voucher – A Commitment Voucher between a State Agency or Institution of Higher Education and a Party, where the Party provides labor, time, or effort for the direct benefit of the State. An individual or entity performing services under a Personal Services Commitment Voucher is an independent contractor and not an employee of the State. 2.18. Procurement Official – The head of the procurement function for an Institution of Higher Education or a State Agency who has received delegation from the State’s Chief Procurement Officer. 2.19. Purchase – The act of incurring an obligation on behalf of the State in order to acquire goods or services from another entity. 2.20. Purchase Order or PO – See Fiscal Rule 3-2 (Purchase Orders). 2.21. Small Dollar Grant Award – See Fiscal Rule 3-4 (Grants). 2.22. Small Purchase Documentation – Documentation of a purchase, which does not require a Purchase Order, Grant Agreement, Interagency Agreement or State Contract under §4 of this Fiscal Rule, but does require, without limitation, an invoice, billing statement, itemized receipt, court order, travel authorization, approved Vendor Agreement, or any other document appropriate to the transaction and approved by the State 2.23. State Contract – See Fiscal Rule 3-3 (State Contracts). 2.24. State Personnel Director – The Executive Director of the Department of Personnel & Administration. 2.25. Statutory Violation – Liabilities incurred or payments made on the State’s behalf without prior approval of a Purchase Order, Grant Agreement, Small Dollar Grant Award, or State Contract by the State Controller or a proper delegate, when required under this Fiscal Rule, or without the prior approval of a State Contract by the State’s Chief Information Officer or a proper delegate for a Major Information Technology Project. An Unauthorized Purchase does not necessarily constitute a Statutory Violation under these Fiscal Rules. 2.26. Unauthorized Purchase – A purchase that has occurred or a purchase commitment that has been issued to a vendor to obtain goods, services, or construction and (i) the issuing State Agency has not followed the Procurement Code and Rules, or (ii) a purchase or commitment to purchase is made by a person(s) who is not so authorized. An Unauthorized Purchase is subject to ratification in accordance with the Procurement Code and the Procurement Rules. See Procurement Rule 24-109-404-01. 2.27. Vendor Agreement – Any form of agreement provided by a contractor or vendor, including an online or “click-through” agreement, containing contractual provisions relating to the goods and/or services to be provided by such contractor or vendor.

3. Rule 3.1. A State Agency or Institution of Higher Education shall not disburse funds unless the disbursement is supported by a Commitment Voucher and complies with Fiscal Rule 2-1 (Propriety of Expenditures). Prior to entering into Commitment Vouchers for proposed expenditures, State Agencies and Institutions of Higher Education shall ensure the following: 3.1.1. The purchase satisfies all appropriate procurement requirements; 3.1.2. The Commitment Voucher used meets the requirements for that type of Commitment Voucher, as defined by Fiscal Rules; and 3.1.3. The purchase complies with applicable statutes, executive orders, rules, and policies. 3.2. In addition to the requirements in §3.1 of this Fiscal Rule, State Agencies and Institutions of Higher Education shall ensure the following for all Commitment Vouchers, other than Small Purchase Documentation: 3.2.1. The Commitment Voucher adequately defines all parties involved in the transaction, the respective performance obligations of the parties, the maximum amount payable and pricing, the required performance date, the timing of payments, and the entity responsible for payments; 3.2.2. The Commitment Voucher terms and conditions represent a commercially reasonable allocation of risks between the parties and any risks to the State are outweighed by the benefits to the State; 3.2.3. The expenditure is encumbered prior to or concurrently with the execution of the Commitment Voucher. 3.2.3.1. The Encumbrance of funds is not required for the following: 3.2.3.1.1. Agreements related to the issuance of Financing where the payment for that work will be paid out of the proceeds of the Financing and the State is not obligated to pay if the Financing is never received by the State; 3.2.3.1.2. Agreements where the total amount of payments are calculated as a portion of revenues received, and the State is not obligated to pay until after the revenues are actually collected; and 3.2.3.1.3. Any of the items specified in §5.5 of this Fiscal 3.2.3.2. Regardless of the total term of a Commitment Voucher, a State Agency or Institution of Higher Education shall only encumber funds for the current State fiscal year of the Commitment Voucher, unless the Agency or Institution of Higher Education has continuous spending authority for the Commitment Voucher.

4. Commitment Vouchers 4.1. Purchase Orders – When State Agencies and Institutions of Higher Education are required to use a PO as the Commitment Voucher under this Fiscal Rule, the State Agency or Institution of Higher Education shall use the PO in accordance with Fiscal Rule 3-2 (Purchase Orders) and shall comply with all requirements of that Rule. 4.2. State Contracts – When State Agencies and Institutions of Higher Education are required to use a State Contract as the Commitment Voucher under this Fiscal Rule, the State Agency or Institution of Higher Education shall use the State Contract in accordance with Fiscal Rule 3-3 (State Contracts) and shall comply with all requirements of that Rule. 4.3. Grants – When State Agencies and Institutions of Higher Education are required to use a Grant Agreement or Small Dollar Grant Award as the Commitment Voucher under this Fiscal Rule, the State Agency or Institution of Higher Education shall use the Grant Agreement or Small Dollar Grant Award in accordance with Fiscal Rule 3-4 (Grants) and shall comply with all requirements of that Rule. 4.4. Interagency Agreements – When State Agencies and Institutions of Higher Education are required to use an Interagency Agreement under this Fiscal

Rule, the State Agency or Institution of Higher Education shall use the Interagency Agreement in accordance with Fiscal Rule 3-5 (Interagency Agreements) and shall comply with all requirements of that Rule. 4.5. Small Purchase Documentation – When State Agencies and Institutions of Higher Education use Small Purchase Documentation as the Commitment Voucher under this Fiscal Rule, the State Agency or Institution of Higher Education shall ensure that the Small Purchase Documentation describes the following: 4.5.1. The goods or services being purchased and the reason for the disbursement of funds if the description of the goods or services doesn’t otherwise clearly specify the reason; 4.5.2. The total amount due for the goods delivered or services provided and sufficient detail or itemization to ensure that the proper amount will be paid and the prices are fair and reasonable; and 4.5.3. Sufficient detail to determine if the delivery of goods or provision of services was successfully completed and accepted. 4.6. Separate Small Purchase Documentation is not required for purchases made by Travelers, defined in Fiscal Rule 5-1 (Travel), that do not require a receipt under Fiscal Rule 5-1(Travel), as the travel authorization constitutes the Small Purchase Documentation for those purchases. As the Commercial Card is only a method of payment, purchases made with a Commercial Card require Small Purchase Documentation and also may require another form of Commitment Voucher.

5. Dollar Limits and Requirements 5.1. The following table describes the required Commitment Voucher for the different types of agreements. 5.1.1. Goods. $15,000 and less Small Purchase Documentation, PO, or State Contract More than $15,000 PO or State Contract 5.1.2. Services. $15,000 and less Small Purchase Documentation, PO, or State Contract More than $15,000 and not more than $350,000 PO or State Contract More than $350,000 State Contract 5.1.3. Grants. $15,000 and less Small Purchase Documentation, Small Dollar Grant Award, or Grant Agreement More than $15,000 and not more than $350,000 Small Dollar Grant Award or Grant Agreement More than $350,000 Grant Agreement 5.1.4. Capital Construction / Controlled Maintenance $150,000 and less Construction PO (See Fiscal

Rule 4-1) $350,000 applies to price agreements and other sourcing methods.

More than $150,000 Construction Contract 5.1.5. Professional Services under §24-30-1401, et seq., C.R.S., including architectural, engineering, land surveying, industrial hygienist, and landscape architect services.

Dollar Limit Required Document for Any dollar amount State Contract 5.1.6. Real Property lease or license of land, buildings, or a portion thereof for term of more than 30 days Dollar Limit Required Document for Any dollar amount State Contract 5.1.7. Agreements Between State Agencies and/or Institutions of Higher Education Any dollar amount Encumbrance required for amounts more than $350,000 Use Interagency Agreement in accordance with Fiscal Rule 3-5 5.2. Dollar Limits – The dollar limits shown in the table in §5.1 of this Fiscal

Rule apply to the total term of the Commitment Voucher. If a single Commitment Voucher will be used for a purchase that will span multiple fiscal years, then the total of all fiscal years included in that Commitment Voucher is the amount to which the dollar limit will apply. State Agencies and Institutions of Higher Education shall use a single Commitment Voucher for purchases in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding single purchases. 5.3. Dollar Limits and Price Agreements – The dollar limits apply to orders of goods or services using price agreements. For orders more than $350,000, a State Agency or Institution of Higher Education shall assess the level of risk to determine the appropriate review required under State Controller policies. Using a price agreement does not remove the requirement for these purchases to be reviewed when the amount is more than $350,000. Personal services contracts are required for purchase of services over $350,000. 5.4. Protecting the State’s Interests – State Contracts shall be used in situations in addition to those described in this Section if other Commitment Vouchers do not adequately protect the State’s interests.

Refer questions regarding the proper form of Commitment Voucher to the Office of the State Controller. 5.5. Disbursements Exempt from Purchase Order or State Contract – A Purchase Order or State Contract is not required for the following types of disbursements regardless of the amount of funds disbursed: 5.5.1. Access to internet-based, on-demand training classes and webinars; 5.5.2. Advices of Employments; 5.5.3. Calculated payments required under a program within a State Agency or Institution of Higher Education (e.g., formula distributions, other distributions required by regulatory or statutory formulas); 5.5.4. Copier rental agreements when the payment is based on a defined rate per copy; 5.5.5. Conference registrations; 5.5.6. Conference facilities at hotels or other venues that include, but need not be limited to, meeting rooms, audio visual equipment, catering, and guest accommodation rooms; 5.5.7. Financial aid or tuition assistance programs that is paid directly to a beneficiary; 5.5.8. Membership and license dues and fees, and participation assessments, that do not include services or examinations; 5.5.9. Insurance premiums; 5.5.10. Services needed by the Department of Law, or by another State Agency or Institution of Higher Education, with the approval of the Department of Law, to seek outside counsel, to support civil or criminal proceedings, civil or criminal enforcement, or legal services (e.g. attorneys, expert consultants, expert witnesses, mediators, and arbitrators); 5.5.11. Court orders related to criminal proceedings, civil enforcement, or legal services; 5.5.12. Intra-agency or intra-institution purchases; 5.5.13. Moving expenses reimbursed to State employees ; 5.5.14. Payroll and related disbursements to employees (withholding, authorized benefits, etc.), including reimbursements or payment for Travel as described in Fiscal Rule 5-1 (Travel); 5.5.15. Postal and other delivery charges, including messenger fees, post office boxes and postage meters; 5.5.16. State program payments to or on behalf of individuals qualified for the program’s benefits; 5.5.17. Subscriptions for journals, informational publications, informational and research databases or similar materials (print or electronic), which do not include additional services (such as training or configuration); 5.5.18. Utility hook ups, relocations, and line extensions performed by a utility company; 5.5.19. Water; energy (regulated electric and natural gas, and steam); local, long-distance, wireless, satellite, and telephone communication or data services, including pagers, cell phones and other wireless/communication devices; septic pumping services; regular, non-hazardous trash collection services; and bulk fuel (coal, heating oil, gasoline, propane), which are routinely purchased by a State Agency or Institution of Higher Education; and 5.5.20. Other disbursements approved in writing by the State 5.6. Exemption from Purchase Order and State Contract Only. The exemptions listed in §5.4 of this Fiscal Rule are exemptions from the requirement to have a Purchase Order or State Contract only and does not create any exemption from any other statutory requirement, such as the requirements of the Procurement Code and the Procurement Rules.

6. Prohibited Terms and Limitations 6.1. Indemnification by the State Prohibited – Unless specifically authorized by statute, a State Agency or Institution of Higher Education shall not indemnify and/or hold harmless another Party (no matter how it is phrased) against any liability incurred as a result of the acts or omissions of such State Agency or Institution of Higher Education. Article V, §33 of the Colorado Constitution prohibits disbursement by the State Treasurer except upon appropriations made by law or as otherwise authorized by law. Except as authorized by law, any term or provision of any Commitment Voucher or any other agreement that requires the State to indemnify or hold harmless another Party is void as described in §24-106- 109, C.R.S. 6.2. Binding Arbitration Prohibited – A State Agency or Institution of Higher Education shall not be bound by the results of arbitration or any other extrajudicial dispute resolution process in which the final resolution is not determined by the State. Any term or provision of any Commitment Voucher or any other agreement that requires the State to agree to binding arbitration or any other binding extrajudicial resolution process in which the final resolution is not determined by the State is void as described in §24-106-109, C.R.S. 6.3. Limitations of Liability – A State Agency or Institution of Higher Education may not limit another Party’s liability for claims or damages arising out of bodily injury, death, or damage to tangible property of the State. Any term or provision of any Commitment Voucher or any other agreement that limits the liability of a Party for bodily injury, death or damage to tangible property of the State is void as described in §24-106-109, C.R.S. Other liability may be limited if the State Agency or Institution of Higher Education determines in writing that the benefits outweigh the risks, the limitation of liability does not apply to any insurance required under the Commitment Voucher, if any, and the Office of the State Controller has approved the limitation. 6.4. Choice of Law Outside of Colorado – A State Agency or Institution of Higher Education may not agree to be bound by the laws of another state.

As described in §24-106-109, C.R.S., all agreements except those with another government shall be governed by Colorado law. State Agencies and Institutions of Higher Education may agree to be silent on choice of law in agreements with another governmental entity, but cannot agree to their law as controlling. State Agencies and participating Institutions of Higher Education may agree to federal law in agreements with federal agencies. 6.5. Inclusion of Void Terms – A State Agency or Institution of Higher Education should not include a term or provision that would be void under this §6 or under §24-106-109, C.R.S., in any Commitment Voucher or a Vendor Agreement entered into by a State Agency or Institution of Higher Education with another Party. If another Party requires the inclusion of a void provision, the State Agency or Institution of Higher Education shall inform the Party that those terms or provisions will be void if they are included. If the Party is unwilling or unable to remove those terms or provisions after being notified but is unwilling to accept the Commitment Voucher, Small Purchase Documentation, or Vendor Agreement without the inclusion, the State Agency or Institution of Higher Education may enter into the Commitment Voucher or Vendor Agreement that includes the void provision if the State Controller, Chief Procurement Officer, authorized Procurement Official or delegate, or authorized State Controller delegate approves the inclusion of the void term or provision.

7. Commitment Voucher Approvals The State Controller, or an authorized delegate of the State Controller, shall approve all Purchase Orders, State Contracts, Grant Agreements, and Small Dollar Grant Awards. A State Agency or Institution of Higher Education, at its discretion, may require such additional internal approvals as it deems proper.

The State Agency or Institution of Higher Education shall obtain all required approvals and signatures and retain documentation thereof in its files for the period specified in the State Controller Contract, Grant, and Purchase Order Policies. Unless a State Agency or Institution of Higher Education is exempt by statute or has delegated approval authority, prior approval of the Commitment Voucher by one or more of the Central Approvers, defined in Fiscal Rule 3-3 (State Contracts), is required as follows: 7.1. Commitment Vouchers for Capital Construction and Controlled Maintenance, defined in §24-30-1301, C.R.S., require the approval of the State Architect or a delegate of the State Architect, unless otherwise exempt by statute or waived by the State Architect. See §24-30- 1303(1)(d), C.R.S. 7.2. Commitment Vouchers for services normally provided by the Division of Central Services require the approval of the Director of the Division of Central Services, Department of Personnel & Administration, or a delegate of the Director of the Division of Central Services, for all State Agencies located within Adams, Arapahoe, Boulder, Douglas, Pueblo, El Paso, and Jefferson counties, the City and County of Broomfield, and the City and County of Denver, and any other area in the State where a Division of Central Services offers services. Institutions of Higher Education are exempt from this requirement. See §24-30-1104(1), C.R.S. 7.3. Contingency-Based, defined in Fiscal Rule 3-3 (State Contracts), Commitment Vouchers require the approval of the Office of State Planning and Budgeting. See §24-17-204, C.R.S. 7.4. Financial Information Commitment Vouchers used by a State Agency or Institution of Higher Education to record financial transactions and information, develop financial reports, or prepare financial statements require the approval of the State Controller. See §24-30-202(2), C.R.S. 7.5. Information technology Commitment Vouchers require approval by the Governor’s Office of Information Technology as described in the State 7.6. Legal services Commitment Vouchers require the approval of the State Attorney General or a delegate of the State Attorney General. See §24-31- 101, C.R.S. 7.7. Personal services Commitment Vouchers require the approval of the State Personnel Director or a delegate of the State Personnel Director. See §24- 50-501, et seq., C.R.S. This approval is not required for personal services Commitment Vouchers for services that are: 7.7.1. Exempt from the State classified personnel system under Article XII, §13 of the State Constitution, including without limitation, attorneys at law serving as assistant attorneys general; faculty members and certain administrators at Institutions of Higher Education, exempt under §24-50-135, C.R.S., and members, officers, and employees of the judicial and legislative branches of the State, unless specifically provided by the Constitution, and the offices of the Governor and Lieutenant Governor whose functions and duties are confined to such offices.; or 7.7.2. Non-recurring services lasting nine months or less, where the need for such services is not expected to recur on a regular basis.

Temporary services that do not meet these criteria require approval from the State Personnel Director or a delegate of the State Personnel Director. 7.8. Real property State Contracts, including leases where the State Agency or Institution of Higher Education is the tenant, easements, and rights-of-way agreements, require the approval of the State Architect or the Director of Real Estate Programs within the Office of the State Architect, Department of Personnel & Administration, or a delegate of either position, unless otherwise exempted by statute. See §24-30-1303, C.R.S. Real property administered by the State Board of Land Commissioners, Division of Parks and Wildlife in the Department of Natural Resources, and the Department of Transportation, are exempt from this requirement. See§24- 30-1301(15)(b), C.R.S. 7.9. Utility cost-savings Commitment Vouchers require the approval of the State Personnel Director or a delegate of the State Personnel Director.

See §24-30-2003(1)(b), C.R.S. 7.10. Commitment Vouchers related to the Business Enterprise Program require the approval of the Business Enterprise Program within the Department of Labor and Employment. See §8-84-201, et seq., C.R.S.

8. Statutory Violations A Statutory Violation occurs when liabilities are incurred or payments are made on the State’s behalf without prior approval of a State Purchase Order, Small Dollar Grant Award, Grant Agreement, or State Contract, when required under 8.1. Personal Liability – Under §24-30-202(3), C.R.S., any person(s) who incurs, orders or votes for an obligation or makes a payment which creates a Statutory Violation shall be personally liable for such obligation, unless the contractor payment subject to the Statutory Violation is approved by the State Controller and the State Controller permits the State Agency or Institution of Higher Education to make payment to the contractor without recovering the amount of that payment from the person(s) who incurred, ordered or voted for an obligation or made a payment which created the Statutory Violation. 8.2. Payment Prohibition 8.2.1. A State Agency or Institution of Higher Education shall not make payments to a contractor that is subject to a Statutory Violation, unless and until the contractor payment subject to the violation has been approved by the State Controller. 8.2.2. Agencies may pay bills for Commercial Card statements to the bank to ensure timely payment without determining whether these payments are subject to a Statutory Violation. Agencies shall reconcile Commercial Card statements and request ratification by the State Controller for any Statutory Violations included in these statements. 8.3. Commitment Voucher Modification Provision – A State Agency or Institution of Higher Education shall not modify any requirements related to the work contained in a Commitment Voucher if that Commitment Voucher is subject to an unapproved Statutory Violation. 8.4. Approval Allowing Contractor Payment – The State Controller or an authorized delegate of the State Controller, in that individual’s sole discretion, may retroactively approve a Commitment Voucher supporting the expenditure or obligation creating a Statutory Violation, and allow payment to the contractor if the State Controller or delegate finds all of the 8.4.1. The prices or rates are fair and reasonable; 8.4.2. The amount of the expenditure is authorized by the appropriation and allotment to which it will be charged and is within the unencumbered balance available within that allotment; 8.4.3. The State Agency or Institution of Higher Education provides a written explanation in accordance with the State Controller Contract, Grant, and Purchase Order Policies; and 8.4.4. The contractor did not act in bad faith or in a fraudulent manner. 8.5. Ratification of Statutory Violation Removal of Personal Liability – As part of any approval allowing contractor payment, the State Controller or an authorized delegate of the State Controller, in that individual’s sole discretion, may permit the State Agency or Institution of Higher Education to make payment to the contractor without recovering the amount of that payment from the person(s) who incurred, ordered, or voted for an obligation or made a payment which created the Statutory Violation if that individual finds all of the following: 8.5.1. The violation does not show a willful disregard of law, rules, policies or regulations on the part of the person(s) who incurred, ordered, or voted for an obligation, or who made a payment which created the Statutory Violation; 8.5.2. The violation happened accidentally or was unavoidable through no fault of the person(s) who incurred, ordered, or voted for an obligation, or who made a payment which created the Statutory Violation; and 8.5.3. The State Agency or Institution of Higher Education has requested permission to make the payment without recovering the amount of the payment from the person(s) who incurred, ordered, or voted for an obligation or who made a payment that created the Statutory Violation. 8.6. Fiscal Rule Violation Ratification – If the State Controller or an authorized delegate of the State Controller approves a retroactive Commitment Voucher supporting the expenditure or obligation creating a Statutory Violation, then that approval shall also constitute a ratification of the violation of this Fiscal Rule. 8.7. Federal Awards and Pre-award costs – If a federal award includes a prohibition on pre-award costs, the State Controller cannot ratify preaward costs as part of a statutory violation.

9. Advance Payments 9.1. General Prohibition – Commitment Vouchers shall not provide for Advance Payment for goods supplied and/or services performed or for any other contractual or grant obligation, except as permitted in §§9.4 through 9.6 of 9.2. Accounting for Advance Payments – Regardless of when a payment is made, State Agencies and Institutions of Higher Education shall account for those payments in accordance with GAAP and any Grant, defined in Fiscal Rule 3-4 (Grants), requirements applicable to those payments. 9.3. Waiver Process – The State Controller or an authorized delegate of the State Controller, in that individual’s sole discretion, may grant the request of a State Agency or Institution of Higher Education for a waiver, allowing an Advance Payment not listed in the exceptions in §§9.4 through 9.6. The waiver request shall include evidence that advance payment is an established industry standard and/or provides a benefit to the State at least equal to the cost and risk of the Advance Payment. 9.4. Exceptions – Prior Approval of State Controller Not Required – Advance Payments where the payment is made no more than one year in advance of the substantial receipt and acceptance of the goods or completion and acceptance of the services to which the payment applies are permitted without prior approval of the State Controller or a delegate of the State Controller for the following, unless the State Controller or delegate determines that the circumstances around the payment require prior approval to minimize risk to the State: 9.4.1. Advertising services and related goods; 9.4.2. Charter Transportation; 9.4.3. Construction permits; 9.4.4. Catering for events at both State and non-State facilities; 9.4.5. Deposits for conference facilities at hotels or other venues that include, but need not be limited to, meeting rooms, audio visual equipment, catering, and guest accommodation rooms; 9.4.6. Emergency Procurements approved by a Procurement Official; 9.4.7. ExpressToll passes issued by the E-470 Public Highway Authority; 9.4.8. Federal grants that are formula-based distributions where eligibility and amounts that subgrantees receive are determined at the federal level and the State acts as a fiscal agent and manages the pass-through of the funds in compliance with federal requirements; 9.4.9. Information technology (IT) service agreements (including internet access, systems and database access); 9.4.10. Insurance premiums; 9.4.11. Interagency Agreements; 9.4.12. Janitorial services; 9.4.13. Licenses, including licenses for software; 9.4.14. Maintenance of office equipment or information technology (IT) (software and hardware), and other maintenance agreements; 9.4.15. Membership dues and fees, and participation assessments, that do not include services or examinations; 9.4.16. Personal property leases or rentals; 9.4.17. Postal and other delivery charges, including messenger fees, post office boxes and postage meters; 9.4.18. Purchase of State agricultural products by a charitable food organization using State grant money; 9.4.19. Purchases made with a Commercial Card through an online retailer. See Fiscal Rule 2-7 (State Commercial Cards); 9.4.20. Professional services provided by entertainers and speakers; 9.4.21. Participation in conferences and trade shows as an exhibitor or presenter, including booth rental at those conferences or events; 9.4.22. Real property leases, where the State is a tenant, and perpetual easements, if the entire interest is purchased and all attendant rights are transferred upon payment; 9.4.23. Real property leases, where the State pays lease payments on behalf of tenants eligible under a State program, where lease payments must be received on or before the first day of the lease period; 9.4.24. Security alarm and safety systems and monitoring; 9.4.25. Services needed by the Department of Law, or by another State Agency or Institution of Higher Education, with the approval of the Department of Law, to seek outside counsel, to support criminal or civil proceedings, civil or criminal enforcement, or legal services (e.g. attorneys, expert consultants, expert witnesses, mediators, and arbitrators); 9.4.26. Sponsored projects – See Fiscal Rule 3-3 (State Contracts); 9.4.27. State grants and awards that are appropriated in statute for a specific purpose and advance payment to awardees is specified in statute or deemed necessary to implement the program requirements. 9.4.28. Subscriptions for journals, informational publications, informational and research databases or similar materials (print or electronic), which do not include additional services (such as training and configuration); 9.4.29. Telecommunications services, such as prepaid local, longdistance, wireless, satellite, and telephone communication or data services, including pagers, cell phones and other wireless/communication devices; 9.4.30. Travel expenses such as hotels, motels, airfare etc. paid in accordance with Fiscal Rule 5-1 (Travel); 9.4.31. Tuition, registration, and fees charged for trainings, classes, conferences, and seminars; 9.4.32. Utility hook-ups, relocations, and line extensions performed by a utility company; 9.4.33. Utility services including trash and recycling collection, heat, water, and sewer; and 9.4.34. Water rights purchases, temporary water leases, or water storage payments; and 9.4.35. Earnest money paid when purchasing real property; and 9.4.36. Fee-for-Service contracts pursuant to C.R.S. 23-18-303.5(2)

C.R.S. 23-18-303.5(3), C.R.S. 23-18-303.5(4), and various limited purposes as authorized under Title 23, Article 18, Section 308.

Funds shall be advanced to state institutions of higher education in equal monthly installments; and 9.4.37. Student Financial Aid authorized under Title 23, Article 3.3 falling within Need Based Grants, Work Study, and Specialty Program line item appropriations in the Long Bill. Funds shall be advanced to align with the Fall, Spring and Summer tuition due dates in support of the academic calendar; and 9.4.38. College Opportunity Stipends authorized under C.R.S. 23- 18-201. Funds shall be advanced to CollegeAssist to align with Fall, Spring, and Summer tuition due dates in support of the academic calendar. 9.5. Exceptions – Prior Approval of State Controller Not Required – Multiple Years. Advance Payments, where the payment may be made any time in advance of the receipt of the goods or completion of the service to which the payment applies, are permitted without prior approval of the State Controller for the following: 9.5.1. Federal contracts where the State Agency or Institution of Higher Education is paying the Federal government and the Federal agency requires Advance Payments under the Anti-Deficiency Act, 31 U.S.C. §1341, or other Federal rule or regulation; and 9.5.2. In-kind payments, where the State Agency or Institution of Higher Education has access to variable quantities of the good or commodity to be used for payment. Advance Payment is permitted if the State Controller delegate for the State Agency or Institution of Higher Education determines, and documents in the contract file, that it is in the best interest of the State Agency or Institution of Higher Education to be able to prepay in years where the State Agency or Institution of Higher Education has access to high quantities to offset years where lower quantities are available (e.g. when a State Agency or Institution of Higher Education is required to pay in water, it may need to prepay in “wet” years in order to offset drought years). 9.5.3. Exceptions – Prior Approval of State Controller Not Required – Payments up to $15,000. Advance Payments of up to $15,000, may be made any time in advance of the receipt and acceptance of goods or the completion and acceptance of services, if the State Controller delegate for the State Agency or Institution of Higher Education determines, and documents in the Contract file, that the Advance Payment provides a benefit to the State at least equal to the cost and risk of the Advance Payment. Advance Payments shall not be split in order to stay below the $15,000 maximum. In no instance shall more than $15,000 be advanced under a single Commitment Voucher without State Controller approval.

10. Requirements for Personal Services Commitment Vouchers 10.1. Designation of Contract Manager – In accordance with §24-106-107, C.R.S., State Agencies and Institutions of Higher Education shall designate at least one person with subject matter expertise as a contract manager to be responsible for day-to-day management of the Personal Services Commitment Voucher, including performance monitoring as required by §24-106-107(3), C.R.S. State Agencies and Institutions of Higher Education shall comply with all State Controller training requirements for designated contract managers. 10.2. Monitoring – Each State Agency and Institution of Higher Education shall monitor its Personal Services Commitment Vouchers to ensure that the work is performed in accordance with the performance measures and standards of the Personal Services Commitment Voucher and that the contractor was paid in accordance with the payment schedule in the Personal Services Commitment Voucher. State Agencies and Institutions of Higher Education shall follow the State Controller Contract, Grant, and Purchase Order Policies and the accountability standards in §24-106- 107(2)(b), C.R.S. 10.3. Contract Management System – In accordance with §24-106-103(3)(d), C.R.S., State Agencies and Institutions of Higher Education subject to §24-106-103, C.R.S., shall include all Personal Services Commitment Vouchers over $100,000.00 in the State’s centralized contract management system, maintained by the Department of Personnel & Administration, within 30 days following their execution, regardless of the type of Commitment Voucher used. 10.4. Personal Services Provided By Retirees – State Agencies and Institutions of Higher Education that purchase services from an independent contractor who is also a retired State employee, or from any entity owned or operated by a retired State employee or an affiliated party, shall make employer contributions to Public Employees' Retirement Association (PERA) in accordance with per §24-51-1101(2), C.R.S. For State Agencies that utilize the State Financial System, full disclosure of the relationship with the retired State employee working as independent contractor, or entity owned or operated by a retired State employee or an affiliated party, shall be provided to the Office of the State Controller to allow coordination of employer contribution payments to PERA on behalf of State Agencies.

Agencies and Institutions of Higher Education that do not use the State Financial System shall be responsible for ensuring that the proper contribution payments are made to PERA. 10.5. Personal Services Commitment Voucher Terms – In addition to the elements otherwise required for each type of Commitment Voucher, each Personal Services Commitment Voucher over $100,000 shall include all of the following terms, as required by §24-106-107, C.R.S.: 10.5.1. Performance measures and standards developed specifically for the Commitment Voucher by the administering State Agency or Institution of Higher Education; 10.5.2. Accountability standards requiring regular contractor reports on achievement of the specified performance measures and standards; 10.5.3. Payment provisions allowing the State Agency or Institution of Higher Education to withhold payment until successful completion of all or specified parts of the Commitment Voucher and requiring prompt payment upon successful completion; 10.5.4. Monitoring requirements specifying how the State Agency or Institution of Higher Education will evaluate the contractor’s performance, including progress reports, site visits, inspections, and reviews of performance data; and 10.5.5. Processes for resolving disputes between the State Agency or Institution of Higher Education and the contractor.

11. Disbursements for Emergency Procurements:

Disbursements for Emergency Procurements that would require a State Contract or Purchase Order under non-emergency conditions shall be made upon presentation of valid and accepted invoices, receipts, or other statements describing goods or services purchased and the amount to be paid. Goods and services necessary to respond to an Emergency may be procured immediately, without issuing a Commitment Voucher or obtaining a written waiver from the Office of the State Controller, where all of the following conditions are met: 11.1. The nature of the situation requires an immediate response and there is insufficient time to issue a Commitment Voucher; 11.2. The Emergency Procurement is exempted from or is authorized in accordance with the Procurement Code and the Procurement Rules; 11.3. The expenditure is approved by a State Controller delegate; 11.4. If any future performance obligations are necessary to resolve the Emergency, a Commitment Voucher is executed as soon as possible to define those future performance obligations, as required by Fiscal Rules; 11.5. The State Agency or Institution of Higher Education shall notify the State Controller’s Office in writing, as soon as possible, of the circumstances, the goods and services purchased, and the dollar amount of the commitment. Failure to provide notice in a timely manner, as determined by the State Controller’s Office, will constitute a Statutory Violation.

12. Vendor Agreements 12.1. Prohibited Use – A Vendor Agreement shall not be used in lieu of a State Purchase Order or State Contract, where one is required, absent the prior written approval of the State Controller or an approved delegate. A Vendor Agreement shall not be used where a State Purchase Order or State Contract is not required, except as provided in §12.2 or in the State 12.2. Permitted Use – The Chief Fiscal Officer or Procurement Official of a State Agency or Institution of Higher Education, or a delegate of either individual, may authorize the use of Vendor Agreements up to $15,000, if a State Contract or Purchase Order is not required. 12.3. Conditions of Use – All of the conditions set forth in the State Controller Contract, Grant, and Purchase Order Policies related to Vendor Agreements shall be met whenever a Vendor Agreement is used.

13. Independent Contractor Relationship State Agencies and Institutions of Higher Education shall ensure that all Commitment Vouchers create only an independent contractor relationship and do not create an employer-employee relationship. State Agencies and Institutions of Higher Education shall not engage in any practices that would result in the creation of an employer-employee relationship.

Rule 3- 2: Purchase Orders 1. Authority §24-102-206, C.R.S. (Contract Performance Outside United States or Colorado)

2. Definitions 2.1. Chief Procurement Officer - See §24-101-301(6), C.R.S. 2.2. Purchase Order – A unilaterally executed Commitment Voucher, the form of which has been approved by the State Controller, issued by a State Agency or Institution of Higher Education to purchase goods, services, or construction for the direct benefit of the State, as described in this Fiscal 3. Rule Each State Agency or Institution of Higher Education shall use a Purchase Order as described in this Rule when Fiscal Rule 3-1 (Commitment Vouchers) requires the use of a Purchase Order as the Commitment Voucher.

3. Content of Purchase Orders 4.1. Standard Provisions – All Purchase Orders issued by State Agencies and Institutions of Higher Education shall include all of the following: 4.1.1. Identification of the parties; 4.1.2. A description of all goods to be delivered and/or services to be performed; 4.1.3. Payment Terms, as defined in Fiscal Rule 2-3 (Payment Terms), including the maximum dollar amount; 4.1.4. Dates that define the term of the Purchase Order; and 4.1.5. Any other content required under the State Controller Contract, 5. Approved Purchase Order Forms 5.1. All Purchase Orders shall be in a form approved by the State Controller.

The State Controller has approved the following Purchase Order forms and may approve additional forms in the State Controller’s sole discretion. 5.1.1. Model Purchase Orders – State Agencies and Institutions of Higher Education shall use the model Purchase Order forms as described in the State Controller Contract, Grant, and Purchase Order 5.1.2. Purchase Order Modifications – All modifications to a Purchase Order shall be made by a formal written change order approved by the State Controller or a delegate, unless an alternative modification tool has been approved by the State Controller. A Purchase Order for services or one that has already been accepted by performance cannot be modified or extended (revived) after its term has expired. 5.1.2.1. If unaccepted goods are delivered after the expiration of a Purchase Order, the State Agency of Institution of Higher Education may accept those goods or services after ratification by the State Controller or designee of a Statutory Violation as described in Fiscal Rule 3-1 (Commitment Vouchers), §8. 5.1.3. Other Purchase Order Forms – State Agencies and Institutions of Higher Education may use any other Purchase Order form that is approved by the State Controller from time-to-time.

6. State Controller Review and Approval 6.1. Performance of State Controller Functions 6.1.1. Delegation to State Agencies and Institutions of Higher Education – The State Controller has delegated the authority to approve Purchase Orders to the State’s Chief Procurement Officer, as defined in §24-101-301(6), C.R.S., with special approval to sub delegate that authority. The State Controller may also delegate the

authority to approve Purchase Orders to any other individual through a delegation agreement in accordance with Fiscal Rule 1-4 (Delegated Authority). 6.2. Process for Review, Approval, and Signature 6.2.1. Review of Purchase Orders – All Purchase Orders shall be reviewed by the State’s Chief Procurement Officer, a Procurement Official or another individual with either a delegation from the State Controller or a sub-delegation from the Chief Procurement Officer or a Procurement Official to review Purchase Orders to determine if the Purchase Order complies with Fiscal Rule 3-1 (Commitment Vouchers), §3 and all procurement laws and regulations. 6.2.2. Approval of Purchase Orders – All Purchase Orders shall be approved by the State’s Chief Procurement Officer, a Procurement Official, or another individual with either a delegation from the State Controller or a sub-delegation from the Chief Procurement Officer or a Procurement Official to approve Purchase Orders, prior to any Purchase Order becoming effective. If approved, the person approving the Purchase Order shall evidence such approval in the State Financial System, or other such system used by the State Agency or Institution of Higher Education in accordance with Fiscal

Rule 1-3 (State Financial System), or by signing the Purchase Order.

Rule 3- 3: State Contracts 1. Authority

Article V, Section 33, Constitution of Colorado – Disbursement of public money

Article XI, Section 1, Constitution of Colorado – Pledging credit of state, county, city, town or school district forbidden

Article XII, Section 13, Constitution of Colorado – State personnel system – merit system Governor's Executive Order signed April 7, 1978 (Authority to Sign Contracts, Deeds, and Leases)

Governor's Executive Order D 016 07 – Improving State Information Technology Management §2-2-320(2), C.R.S. (Legislative Contracts Approval) §4-1-101, et seq., C.R.S. (Uniform Commercial Code) §24-2-102(4), C.R.S. (Appointment of Officers and Employees) §24-17-201, et seq., C.R.S. (State Contingency-based Contracts) §24-30-202, C.R.S. (State Controller Authority) §24-30-1104(1)(h), C.R.S. (Central Services Approval Authority) §24-30-1107, C.R.S. (Central Services Approval authority) §24-30-1303(1)(a) and (d), C.R.S. (Office of State Architect Approval Authority) §24-30-1404(4), C.R.S. (Prohibition against Contingency Fees) §24-30-2001, et seq., C.R.S. (Utility Cost-savings Measures) §24-31-101(1)(c), C.R.S. (State Attorney General Powers and Duties) §24-34-101, et seq., C.R.S. (Department of Regulatory Agencies) §24-37.5-101, et seq., C.R.S. (Office of Information Technology) §24-50-135, C.R.S. (Exemptions from Personnel System) §24-50-501, et seq., C.R.S. (Contracts for Personal Services) §24-75-302, C.R.S. (Capital Construction Fund) §24-101-101, et seq., C.R.S. (Procurement Code) §§33-1-105 and 105.5, C.R.S. (Acquisition of Property – Parks and Wildlife Commission) §33-10-107, C.R.S. (Acquisition of Property – Parks and Wildlife Commission)

2. Definitions The following definitions include terms used in this Fiscal Rule as well as various types of Agreements entered into by State Agencies and Institutions of Higher 2.1. Agreement – A legal agreement between a State Agency or Institution of Higher Education and another individual or entity that may or may not constitute a State Contract under this Fiscal Rule. 2.2. Capital Construction – Any work defined as “Capital Construction” in §24- 30-1301(2), C.R.S., regardless of the funding source for that work. Capital Construction does not include information technology projects. 2.3. Central Approvers – Certain division directors, executive directors of State Agencies, and Elective Officers, or their respective delegates, whose prior approval is required by statute or Fiscal Rule for certain types of State Contracts. Central approvers include, without limitation, the State Personnel Director, defined in Fiscal Rule 3-1 (Commitment Vouchers), the State Architect, the Director of the Real Estate Programs, the State Communications Director, the State Attorney General, the Director of the Division of Central Services, the State Risk Manager, and the State’s Chief Information Officer and Executive Director of the Governor’s Office of Information Technology. 2.4. Central Services Contract – A State Contract between a State Agency or Institution of Higher Education and another Party for the acquisition of services, services related to equipment, and software related to services.

Centralized services include, without limitation, motor pool operation, motor vehicle maintenance, mail or messenger services, office copying, graphic design for print media, printing and binding, microfilming, or design of forms. See §24-30-1104, C.R.S. 2.5. Chief Information Officer – See §24-35.7-102(3), C.R.S. 2.6. Contingency-Based Contract – A State Contract for services between a State Agency or Institution of Higher Education and a contractor where all or part of the contractor’s compensation is computed by multiplying a stated percentage by the measurable savings in the State Agency’s or Institution of Higher Education’s expenditures or costs of operation attributable to the contractor’s services under the State Contract. The term “Contingency-Based Contract” does not include State Contracts where the contingency-based compensation is specifically authorized by statute, as described in §24-17-203, C.R.S, including State Contracts where the contractor collects a debt on behalf of the State Agency or Institution of Higher Education and receives a portion of those amounts collected as payment. Contingent fees are prohibited in Professional Services Contracts. See §24-30-1404(4), C.R.S. 2.7. Contract – See Fiscal Rule 3-1, §2.5 2.8. Debt Contract – A State Contract in which the State receives money from a lender and agrees to repay the money to the lender, including the payment of any interest due. All Debt Contracts must comply with the requirements of the Taxpayer Bill of Rights. Examples of Debt Contracts include Agreements for short-term debt, notes, and bonds. 2.9. Delegated State Agency or Delegated Institution of Higher Education – A State Agency or Institution of Higher Education whose controller has been granted delegated signature authority by the State Controller. 2.10. Employee Voluntary Separation Agreement – An Agreement between a State Agency or Institution of Higher Education and a State employee setting forth the terms of the employee’s voluntary separation from State employment. 2.11. Expenditure Contract – A State Contract where a State Agency or Institution of Higher Education is required to make a payment, either in funds or in-kind, to another Party, directly or indirectly, and includes any Agreements that divert revenue that would otherwise be due to the State.

An Agreement where the State is required to perform a service for another Party is an Expenditure Contract if it is likely that the State’s failure to perform would result in the payment to the other Party. 2.12. Franchise Agreement – An agreement where a State Agency or Institution of Higher Education grants to another Party a concession or right to provide goods or services in a particular market or geographical area controlled by the State, such as concession stands, hotels, and other services provided in certain State parks. The State Agency or Institution of Higher Education may regulate service level, quality, and price, but users of the service pay the other Party directly and the other Party provides the goods or services and exercises control over other management decisions. For the purposes of this Fiscal Rule, an Agreement by a State Agency or Institution of Higher Education to buy a franchise from another Party is an Expenditure Contract, not a Franchise Agreement. 2.13. Fund Management Services Agreement – A State Contract for professional consulting services regarding the management of State funds. 2.14. Goods Contract – A State Contract between a State Agency or Institution of Higher Education and another Party for the purchase of goods. The term “goods” includes commodities, supplies, and products as such terms are used in the State Procurement Code, the Procurement Rules), and Uniform Commercial Code (§4-2-105, C.R.S.). 2.15. Information Technology Contract – A State Contract between a State Agency or Institution of Higher Education and another Party, where the other Party provides information technology services or products and services. An Information Technology Contract is a type of personal services contract. See §24-37.5-102(12), C.R.S. and the State Controller Contract, Grant, and Purchase Order Policies regarding Information Technology Contracts for a description of information technology products and services. 2.16. Intergovernmental Contract – An Agreement between a State Agency or Institution of Higher Education and a political subdivision of the State, another state, a political subdivision or public Institution of Higher Education of another state, or an agency of the Federal government. An Intergovernmental Contract may be an Expenditure Contract or a Non- Expenditure Contract. 2.17. Investment Advisory Services Agreement – A State Contract for professional consulting services regarding securities and investments. 2.18. License – A grant by the owner of rights in real or personal property to another of a personal privilege to use such property, without the transfer of the underlying ownership interest therein. 2.19. Loan Agreement – An Agreement between a State Agency or Institution of Higher Education and another Party, where the State Agency or Institution of Higher Education agrees to loan funds to such other Party. 2.20. Main Task Order Contract - A contract that does not specify an amount and provides for the issuance of Task Orders for the performance of tasks during the period of the Main Task Order Contract. 2.21. Major Information Technology Project – See Fiscal Rule 3-1 (Commitment Vouchers). See §24-37.5-102(19), C.R.S. 2.22. Modification Policies – the State Controller Contract, Grant, and Purchase Order Policies related to the modification of State Contracts. 2.23. Non-Expenditure Contract – An Agreement between a State Agency or Institution of Higher Education and another Party involving an exchange of resources, goods, or services, that does not result in the expenditure of funds by the State Agency or Institution of Higher Education or that is a Revenue Contract, and the likely result of a failure to perform by the State Agency or Institution of Higher Education would not result in the expenditure. 2.24. Outsource Contract-Third Party Payor – A State Contract between a State Agency or Institution of Higher Education and another Party for personal services, where the State Agency or Institution of Higher Education: 2.24.1. Is charged with providing the function or services that are the subject matter of the Outsource Contract to members of the public; 2.24.2. Delegates performance of all or a part of the function or service to the other Party, but does not dictate the Party’s operations beyond providing limited input regarding the Party’s performance of its obligation; and 2.24.3. Mandates that members of the public, and not the State Agency or Institution of Higher Education, are responsible for paying the other Party to perform the function or service; for example, where an applicant seeking a license or certification from the State pays the other Party for providing testing services that are required as a prerequisite to the grant of such license or certification. 2.25. Party – See Fiscal Rule 3-1 (Commitment Vouchers). 2.26. Personal Property Lease or License Agreement – A State Contract between a State Agency or Institution of Higher Education, as lessee or licensee, and the owner of personal property, as lessor or licensor, where the State Agency or Institution of Higher Education pays the lessor for the right to use such personal property for the term of the lease or license.

See the State Controller Contract, Grant, and Purchase Order Policies. 2.27. Price Agreement – A State Contract between the Department of Personnel & Administration, State Purchasing and Contracts Office, and a contractor, which allows State Agencies and Institutions of Higher Education to order goods or services from the contractor, pursuant to the terms of the price agreement, by issuing a Purchase Order, Task Order, or other approved order form. 2.28. Professional Services Contract – A State Contract between a State Agency or Institution of Higher Education and another Party for the performance of any of the following services: architectural, engineering, land surveying, industrial hygienist, and landscape architect, as defined in §24-30-1402, C.R.S. 2.29. Real Property Lease/License Agreement – An Agreement between a State Agency or Institution of Higher Education and another Party, where the State Agency or Institution of Higher Education: 2.29.1. As landlord or licensor, owns the real property subject to the Real Property Lease/License Agreement and gives the other Party to the Real Property Lease/License Agreement, as tenant, the right of possession of such property for the term of the Real Property Lease/License Agreement; or 2.29.2. As tenant or licensee, obtains the right of possession of the real property subject to the Real Property Lease/License Agreement from the owner of such property, as landlord or licensor, for the term or the Real Property Lease/License Agreement. 2.30. Real Property Purchase Agreement – An Agreement for the purchase of an interest in land (fee title or lesser interests) and improvements to land, such as buildings and other structures. 2.31. Revenue Contract – An Agreement between a State Agency or Institution of Higher Education and another Party where cash or property or both are paid to the State, resulting in revenue recognition, which does not require the expenditure or create a financial obligation to the other Party on the

part of the State Agency or Institution of Higher Education. 2.32. Reviewing Attorney – An assistant attorney general, special assistant attorney general or other attorney authorized by the State Attorney General and employed by a State Agency or Institution of Higher Education, who has received a written designation as a Reviewing Attorney from the State Controller. A written designation from the State Controller is personal to the Reviewing Attorney and may not be assigned or further delegated. The designation is limited to the specific responsibilities and authority set forth in the written designation and may be terminated or modified at any time at the sole discretion of the State 2.33. Sale of Securities – The offer, issuance or sale of securities by the State of Colorado or any State Agency or Institution of Higher Education.

Securities may include certain Debt Contracts. 2.34. Settlement Agreement – A State Contract between a State Agency or Institution of Higher Education and another Party for the purpose of ratifying agreements concerning employment, contractual, or legal disputes, where a State Agency or Institution of Higher Education is required to make a payment, either in funds or in-kind, to the other Party, directly or indirectly, and includes any agreement that diverts revenue that would otherwise be due to the State, requires the State to forgo the right to receive funds, property or services, or obligates the State to perform a service for another Party, where failure to perform such service would result in payment of State funds to the other Party. 2.35. Sponsored Project Agreement – A State Contract between an Institution of Higher Education and another Party, where the Institution of Higher Education receives or expends funding for use in connection with oversight responsibilities for research and development or other specified programmatic activities sponsored by Federal, state, or local governments, or private agencies or organizations. 2.36. State Contract – A Commitment Voucher between a State Agency and/or Institution of Higher Education and another Party to acquire supplies, services, or construction, to lease supplies or real property or to dispose of supplies for the direct benefit of the State, and that does not include Small Purchase Documentation, Purchase Orders, Grant Agreements, or Small Dollar Grant Awards, each as described in Fiscal Rule 3-1 (Commitment Vouchers). Interagency Agreements, as described in Fiscal Rule 3-5 (Interagency Agreements) are not State Contracts because they are not Commitment Vouchers. 2.37. Task Order – An agreement used to define, authorize, and encumber funds for a project under a Main Task Order Contract. A Task Order must include: a project description that states the final deliverables; the maximum amount to be paid for the project that reflects costs (e.g., hourly rates) consistent with the Main Task Order Contract; and the performance period for the project. 2.38. Utility Cost-Savings Contract – An energy performance State Contract, shared-savings State Contract, or other State Contract in which utility cost savings are used to pay for services or equipment. See §24-30-2001(6), 3. Categories of State Contracts The following categories provide examples of different types of State Contracts, but are not all inclusive and any State Contract may combine any two or more of these types. 3.1. Expenditure Contracts 3.1.1. Capital Construction Contracts; 3.1.2. Central Services Contracts; 3.1.3. Contingency-Based Contracts; 3.1.4. Employee Voluntary Separation Agreements; 3.1.5. Fund Management Services Agreements; 3.1.6. Goods Contracts; 3.1.7. Information Technology Contracts; 3.1.8. Intergovernmental Agreements – State has a financial obligation; 3.1.9. Investment Advisory Services Agreements; 3.1.10. Outsource Contracts-Third Party Payor; 3.1.11. Personal Property Leases/Licenses – State as lessee or licensee; 3.1.12. Professional Services Contracts; 3.1.13. Real Property Leases/ Licenses – State as tenant or licensee; 3.1.14. Real Property Purchase Agreements – State as buyer; and 3.1.15. Settlement Agreements. 3.2. Revenue Agreements 3.2.1. Franchise Agreements; 3.2.2. Real Property Leases/Licenses – State as landlord or licensor; and 3.2.3. Real Property Purchase Agreements – State as seller. 3.3. Other Agreement Types 3.3.1. Debt Contracts – State as borrower; 3.3.2. Intergovernmental Agreements – State has no financial obligation 3.3.3. Loan Contracts – State as lender; 3.3.4. Non-Expenditure Contracts other than Revenue Contracts; 3.3.5. Price Agreements; 3.3.6. Sale of Securities Agreements; 3.3.7. Sponsored Project Agreements; and 3.3.8. Utility Cost-Savings Contracts.

4. Rule 4.1. Each State Agency or Institution of Higher Education shall use a State Contract as described in this Rule when Fiscal Rule 3-1 (Commitment Vouchers) requires the use of a State Contract as the Commitment Voucher.

5. Content of State Contracts 5.1. Expenditure Contracts and Other Contract Types that result in an expenditure of funds, including Debt Contracts and Price Agreements – The general provisions of this subsection shall apply to all State Contracts that result in an expenditure of funds or the disposition of State property, except as limited or excluded in the specific subsections covering: (a) real property purchases (State as buyer), leases (State as tenant), and licenses (State as licensee) and (b) Settlement Agreements and Employee Voluntary Separation Agreements. See the State Controller Contract, 5.1.1. The following provisions shall be included in (a) Expenditure Contracts, (b) Debt Contracts, and (c) Price Agreements: 5.1.1.1. Identification of the State Agency or Institution of Higher Education and the other Party or Parties; 5.1.1.2. Statutory authority (except for Institutions of Higher Education); 5.1.1.3. Statement of work; 5.1.1.4. Payment Terms, as defined in Fiscal Rule 2-3, including maximum dollar amount; 5.1.1.5. Effective date and termination date of the State Contract; 5.1.1.6. General terms and conditions; 5.1.1.7. Special Provisions (see §13 of this Fiscal Rule); 5.1.1.8. Signature and cover page(s) as described in the State Controller Contract, Grant, and Purchase Order Policies; 5.1.1.9. Statement that the Contract shall not be valid until it has been approved by the State Controller or delegate. 5.1.1.9.1. If the Contract is for a Major Information Technology Project, then a statement that the Contract shall not be valid until it has been approved by the State’s Chief Information Officer or delegate. 5.1.2. Real Property Purchase Agreements (State as buyer), Leases (State as tenant) and Licenses (State as licensee) – State Contracts for the purchase, lease or license of real property shall contain the following provisions: 5.1.2.1. Identification of the parties; 5.1.2.2. Statutory authority (except for Institutions of Higher Education); 5.1.2.3. A description of the property and any services or allowances included with the lease; 5.1.2.4. Payment Terms, defined in Fiscal Rule 2-3 (Payment Terms) including maximum dollar amount; 5.1.2.5. The effective date and termination date of the State Contract; 5.1.2.6. General terms and conditions; 5.1.2.7. If a State Agency or Institution of Higher Education is the buyer, tenant or licensee, the State Contract shall include the following Special Provisions: 5.1.2.7.1. State Controller's Approval; 5.1.2.7.2. Funds Availability; 5.1.2.7.3. Governmental Immunity; 5.1.2.7.4. Compliance with Law; and 5.1.2.7.5. Vendor Offset and Erroneous Payments. 5.1.2.8. If a State Agency or Institution of Higher Education is the buyer, tenant, or licensee, the State Contract may include the other Special Provisions, at the discretion of the State 5.1.2.9. If a State Agency or Institution of Higher Education is the tenant or licensee, the State Contract shall include provisions specifying cancellation rights, if the real property leased or licensed is destroyed by fire and/or becomes subject to eminent domain; 5.1.2.10. A State Agency or Institution of Higher Education shall not be in holdover after the expiration of a Real Property Lease for a period of longer than 6 months without the prior approval of the Office of the State Architect; and 5.1.2.11. Statement that the State Contract shall not be valid until it has been approved by the State Controller or delegate. 5.1.3. Capital Construction Contracts – See Fiscal Rule 4-2, (Capital Construction Projects). See also approved State Contract forms, available on the website of the Office of the State Architect. 5.1.4. Settlement Agreements and Employee Voluntary Separation Agreements – See the State Controller Contract, Grant, and Purchase Order Policies. 5.1.5. Intergovernmental Contracts 5.1.5.1. Federal Government Contracts – All intergovernmental State Contracts with any agency of the Federal government shall be reviewed by the Office of the State Controller or a Reviewing Attorney except as described in the State Controller Contract, Grant, and Purchase Order 5.1.5.2. Sponsored Project Agreements – see the State Controller Contract, Grant, and Purchase Order Policies regarding sponsored projects. 5.2. Revenue Contracts and Other Contract Types that do not result in an expenditure of funds – The general provisions of this subsection shall apply to all State Contracts that do not result in either an expenditure of funds or in the disposition of State property, but that still create a performance obligation for the State where failure to perform such obligation would result in payment of funds to another Party. 5.2.1. The following provisions shall be included in all Revenue Contracts and all Other Contract Types that are described in §5.2 but not included in §5.1 of this Fiscal Rule: 5.2.1.1. Identification of the State Agency or Institution of Higher Education and the other Party or Parties; 5.2.1.2. Payment terms, if any payment will be made to the State; 5.2.1.3. A description of any work the State must perform or obligations the State must fulfill in order to comply with the State Contract or to earn any payments under the State Contract; and 5.2.1.4. The effective date and termination date of the State Contract.

6. Approved State Contract Forms All Expenditure Contracts shall be in a form approved by the State Controller.

The State Controller has approved the following contract forms and may approve additional forms in the State Controller’s sole discretion. 6.1. Capital Construction Contracts – See Fiscal Rule 4-1 (Capital Construction Administration). See also approved contract forms available on the website of the Office of the State Architect. 6.2. Model Contracts – State Agencies and Institutions of Higher Education shall use the model contract forms as described in the State Controller Contract, Grant, and Purchase Order Policies. 6.3. Contract Amendments – All modifications to a State Contract shall be made by a formal written amendment signed by the State Agency or Institution of Higher Education and the other Party or Parties to the State Contract and approved by the State Controller or a delegate of the State Controller, unless an alternative modification tool has been approved by the State Controller. A State Contract cannot be amended or extended (revived) after the State Contract term has expired. A form of contract amendment and forms of alternative modification tools are set forth in the Modification Policies. 6.4. Alternative Modification Tools and Forms – A State Agency or Institution of Higher Education may use an approved alternate modification tool to modify a State Contract in lieu of a contract amendment only in the specific circumstances identified in the Modification Policies. A State Agency or Institution of Higher Education shall obtain written approval from the Office of the State Controller prior to making a change to the form of an alternative modification tool or using an alternative modification tool in a manner not described in the Modification Policies. A State Contract cannot be modified or extended after the expiration of the term of the State Contract. Approved alternative modification tool forms are set forth in the Modification Policies. 6.4.1. Required Provision and Attachment – An approved modification tool may be included as a part of a State Contract only if the State Contract contains a provision referencing the specific modification tool, in the form set forth in the Modification Policies, and the form of the specific modification tool is attached as an exhibit to the State Contract. 6.4.2. Each contract modification tool was created for use in connection with specific types of State Contracts and scopes of services and is not universally applicable. Each modification tool shall be used only for its intended purposes, as set forth in the Modification Policies, and shall not be changed or combined with any other contract modification tool except as specifically allowed in the Modification 6.5. Real Property Lease Agreements – Lease Agreements involving real property shall be in a form approved by and set forth on the website of the Office of the State Architect, except for Real Property leases exempted by statute, and Real Property leases where the Department of Personnel & Administration is a party, which may be in any form approved by the State 6.6. Special Provisions – All State (a) Expenditure Contracts, (b) Debt Contracts, and (c) Price Agreements, shall contain the State Special Provisions. See §13 of this Fiscal Rule. No modification shall be made to a Special Provision without the prior written approval of the Office of the State Controller and, in the case of the Choice of Law Special Provision, a Reviewing Attorney, except as otherwise expressly provided in subsection 5.1.2.8 of this Fiscal Rule. 6.7. Other Contract Forms – Any other contract form which may be approved by the State Controller from time-to-time.

7. State Contract Legal Review The State Controller may request the Office of the State Attorney General to review any State Contract at the State Controller’s discretion.

8. State Controller Review and Approval State Controller review and approval of all Expenditure Contracts, Task Order Contracts, and Price Agreements is mandatory. The Office of the State Controller may, in its discretion, review other types of contracts, for example, nonexpenditure contracts, if requested by a State Agency or Institution of Higher Education. All State Controller reviews and approvals shall be conducted in accordance with the provisions of this §8. 8.1. Outsource Contracts – Third Party Payor – All Outsource Contracts shall be submitted to the State Controller or delegate for review and approval, including without limitation, any Outsource Contracts that divert revenues due to the State, unless specifically exempted by State statute. For example, see §24-34-101, C.R.S. 8.2. Performance of State Controller Functions 8.2.1. Delegated State Agencies – Delegated State Agencies shall be responsible for determining the level of risk for their State Contracts. A Delegated State Agency shall classify the risk of each of its State Contracts in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for delegated State Agencies. The individual or individuals at the Delegated State Agency who have a delegation from the State Controller to sign State Contracts may sign State Contracts on behalf of the State Controller that are not required to be sent to the Office of the State Controller in accordance with their delegation agreement and the State Controller Contract, Grant, and Purchase Order Policies. 8.2.2. Non-delegated State Agencies and Institutions of Higher Education – Non-delegated State Agencies and non-delegated Institutions of Higher Education shall submit all State Contracts to the Office of the State Controller for review and approval in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval of non-delegated State Agencies and Institutions of Higher Education. 8.2.3. Delegated Institutions of Higher Education – Delegated Institutions of Higher Education shall determine if a State Contract requires legal review prior to execution in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for Delegated Institutions of Higher Education.

The individual or individuals at the Delegated Institution of Higher Education who have a delegation from the State Controller to sign State Contracts may sign State Contracts on behalf of the State Controller, that are not required to be sent to the Office of the State Controller and that either do not require legal review or have been signed by a Reviewing Attorney, in accordance with the Institution of Higher Education’s delegation agreement and the State 8.3. Process for Review, Approval, and Signature 8.3.1. Review – The State Controller or delegate shall review all Expenditure Contracts to determine if the contract complies with Fiscal Rule 3-1 (Commitment Vouchers), §3. 8.3.2. Approval and Signature – After review, the State Controller or delegate shall approve or disapprove the State Contract. If approved, the State Controller or delegate shall evidence such approval by signing the State Contract. 8.4. Contracts Not Approved by State Controller 8.4.1. Not Binding – An Expenditure Contract is not binding on or enforceable against the State unless and until it is signed by the State Controller or delegate. An Information Technology Contract for a Major Information Technology Project is also not binding on or enforceable against the State unless and until it is signed by the State Controller or delegate and the State’s Chief Information Officer or delegate. 8.4.2. Null and Void – Any Expenditure Contract disapproved by the State Controller or delegate is null and void. 8.4.3. Statutory Violation – Any obligation created under a contract that has not been signed by the State Controller or delegate or has been disapproved by the State Controller or delegate constitutes a Statutory Violation as described in Fiscal Rule 3-1 (Commitment Vouchers), §8. Any obligation created under an Information Technology Contract for a Major Information Technology Project that has not been signed by the State’s Chief Information Officer or delegate constitutes a Statutory Violation as described in Fiscal

Rule 3-1 (Commitment Vouchers), §8.

9. Accounting for State Contracts 9.1. Encumbrances – All State Agencies and Institutions of Higher Education shall encumber Expenditure Contracts in accordance with Fiscal Rule 3-1 (Commitment Voucher) and the Fiscal Procedures Manual. 9.2. Outsource Contracts – Third Party Payor – State Agencies and Institutions of Higher Education shall record all gross revenues and expenditures for each Outsource Contract in the State Financial System or on an approved State Agency or Institution of Higher Education Financial System and shall not net the expenditures against the revenues, unless specifically authorized by State statute.

10. Monitoring of State Contracts 10.1. All State Agencies and Institutions of Higher Education shall designate a contract manager with subject matter expertise who will be responsible for day-to-day management of each State Contract. See §24-106-107(3), 10.2. Each State Agency and Institution of Higher Education shall monitor its Expenditure Contracts and Other Contract Types that result in an expenditure of funds with respect to all of the following elements, as well as any additional elements a State Agency or Institution of Higher Education may choose to monitor: 10.2.1. Compliance with requirements, standards, and measures of the Expenditure Contract provisions in §5.1 of this Fiscal Rule; 10.2.2. Completion of the State Contract according to the State Contract's performance schedule; 10.2.3. Satisfactory performance and completion of the State Contract's scope of work; and 10.2.4. Extent to which the contractor met or exceeded budgetary requirements of the State Contract 10.3. Contract Management System – State Agencies and Institutions of Higher Education shall include all information specified in §24-106-103(3), C.R.S., for all State Contracts for personal services subject to that statute. 10.4. This §10 shall not apply to the following State Contracts: 10.4.1. Any State Contract under Medicare; 10.4.2. Any State Contract for indigent care under §25.5-3-101 et seq., C.R.S.; 10.4.3. Any State Contract under the Colorado Medical Assistance Act. See §25.5-4-101 through §25.5-6-101, et seq., C.R.S.; 10.4.4. Any State Contract under the Children's Basic Health Plan.

See §25.5-8-101 et seq., C.R.S.; and 10.4.5. Any State Contract for sponsored projects 10.5. State Agencies and Institutions of Higher Education shall comply with all requirements of State Controller Contract, Grant, and Purchase Order Policies regarding monitoring of State Contracts.

11. Independent Contractor Relationship State Agencies and Institutions of Higher Education shall take care in maintaining the distinctions between services performed by persons who are employees of the State and services performed by independent contractors, and their employees, agents and representatives, pursuant to a State Contract for personal services. The State's responsibilities and obligations with respect to employee/employer arrangements differ from its responsibilities and obligations with respect to independent contractors. The State may be liable to a third party for the actions of its employees, whereas independent contractors and their employees, agents and representatives are liable for their own actions. The State is responsible for social security taxes and benefits for its employees, whereas independent contractors are responsible for social security taxes and benefits of their employees. State Agencies and Institutions of Higher Education shall follow guidelines issued by the Internal Revenue Service, the Colorado Division of Human Resources, Colorado statutes, and opinions of the State Attorney General in determining whether an individual is an employee or independent contractor.

12. Exceptions to Fiscal Rule 3-3 12.1. Personal Services – This Fiscal Rule does not apply to Commitment Vouchers for personal services paid through an authorized State payroll system, which are exempted from the State personnel system by the Colorado Constitution or Colorado statutes. See §24-50-135, C.R.S.

Examples of exempted Commitment Vouchers include advices of employment engaging the services of the following: 12.1.1. Appointees by Elective Officers and their administrative staffs; 12.1.2. Members of State boards or commissions; 12.1.3. Faculty and other exempted members of Institutions of Higher Education; 12.1.4. Attorneys-at-law serving as an assistant attorney generals; 12.1.5. Employees of the Legislative and Judicial Departments of the State. 12.2. Elective Officers – An Elective Officer acting within the scope of that Elective Officer’s authority may elect to exempt any Commitment Voucher from the requirements of either or both of §24-30-202, C.R.S. including the Fiscal Rules, the Procurement Code and the Procurement Rules, by personally signing a State Contract or by having that person’s next-incommand sign the State Contract. See §24-2-102(4), C.R.S. If the contract signed by the Elective Officer is outside the scope of that Elective Officer’s authority, the Elective Officer may be personally liable for all claims arising therefrom.

13. Special Provisions These Special Provisions apply to and shall be included in all State Contracts except where noted in italics.

14. STATUTORY APPROVAL. §24-30-202(1) C.R.S. This Contract shall not be valid until it has been approved by the Colorado State Controller or designee. If this Contract is for a Major Information Technology Project, as defined in §24-37.5- 102(2.6), then this Contract shall not be valid until it has been approved by the State’s Chief Information Officer or designee.

15. FUND AVAILABILITY. §24-30-202(5.5) C.R.S. Financial obligations of the State payable after the current fiscal year are contingent upon funds for that purpose being appropriated, budgeted, and otherwise made available.

16. GOVERNMENTAL IMMUNITY. Liability for claims for injuries to persons or property arising from the negligence of the State, its departments, boards, commissions committees, bureaus, offices, employees and officials shall be controlled and limited by the provisions of the Colorado Governmental Immunity Act, §24-10-101, et seq., C.R.S.; the Federal Tort Claims Act, 28 U.S.C. Pt. VI, Ch. 171 and 28 U.S.C. 1346(b), and the State’s risk management statutes, §§24- 30-1501, et seq. C.R.S. No term or condition of this Contract shall be construed or interpreted as a waiver, express or implied, of any of the immunities, rights, benefits, protections, or other provisions, contained in these statutes.

17. INDEPENDENT CONTRACTOR. Contractor shall perform its duties hereunder as an independent contractor and not as an employee. Neither Contractor nor any agent or employee of Contractor shall be deemed to be an agent or employee of the State. Contractor shall not have authorization, express or implied, to bind the State to any agreement, liability, or understanding, except as expressly set forth herein. Contractor and its employees and agents are not entitled to unemployment insurance or workers compensation benefits through the State and the State shall not pay for or otherwise provide such coverage for Contractor or any of its agents or employees. Contractor shall pay when due all applicable employment taxes and income taxes and local head taxes incurred pursuant to this Contract. Contractor shall (a) provide and keep in force workers' compensation and unemployment compensation insurance in the amounts required by law, (b) provide proof thereof when requested by the State, and (c) be solely responsible for its acts and those of its employees and agents.

18. COMPLIANCE WITH LAW. Contractor shall comply with all applicable federal and State laws, rules, and regulations in effect or hereafter established, including, without limitation, laws applicable to discrimination and unfair employment practices.

19. CHOICE OF LAW, JURISDICTION, AND VENUE. Colorado law, and rules and regulations issued pursuant thereto, shall be applied in the interpretation, execution, and enforcement of this Contract. Any provision included or incorporated herein by reference which conflicts with said laws, rules, and regulations shall be null and void. All suits or actions related to this Contract shall be filed and proceedings held in the State of Colorado and exclusive venue shall be in the City and County of Denver.

20. PROHIBITED TERMS. Any term included in this Contract that requires the State to indemnify or hold Contractor harmless; requires the State to agree to binding arbitration; limits Contractor’s liability for damages resulting from death, bodily injury, or damage to tangible property; or that conflicts with this provision in any way shall be void ab initio. Nothing in this Contract shall be construed as a waiver of any provision of §24-106-109 C.R.S.

21. SOFTWARE PIRACY PROHIBITION. State or other public funds payable under this Contract shall not be used for the acquisition, operation, or maintenance of computer software in violation of federal copyright laws or applicable licensing restrictions. Contractor hereby certifies and warrants that, during the term of this Contract and any extensions, Contractor has and shall maintain in place appropriate systems and controls to prevent such improper use of public funds. If the State determines that Contractor is in violation of this provision, the State may exercise any remedy available at law or in equity or under this Contract, including, without limitation, immediate termination of this Contract and any remedy consistent with federal copyright laws or applicable licensing restrictions.

22. EMPLOYEE FINANCIAL INTEREST/CONFLICT OF INTEREST. §§24-18-201 and 24-50-507 C.R.S. The signatories aver that to their knowledge, no employee of the State has any personal or beneficial interest whatsoever in the service or property described in this Contract. Contractor has no interest and shall not acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of Contractor’s services and Contractor shall not employ any person having such known interests.

23. VENDOR OFFSET AND ERRONEOUS PAYMENTS. §§24-30-202 (1) and 24- 30-202.4 C.R.S. [Not Applicable to intergovernmental agreements] The State Controller may withhold payment under the State’s vendor offset intercept system for debts owed to state agencies for: (a) unpaid child support debts or child support arrearages; (b) unpaid balances of tax, accrued interest, or other charges specified in §39-21-101, et seq. C.R.S.; (c) unpaid loans due to the Student Loan Division of the Department of Higher Education; (d) amounts required to be paid to the Unemployment Compensation Fund; and (e) other unpaid debts owing to the State as a result of final agency determination or judicial action. The State may also recover, at the State’s discretion, payments made to Contractor in error for any reason, including, but not limited to, overpayments or improper payments, and unexpended or excess funds received by Contractor by deduction from subsequent payments under this Contract, deduction from any payment due under any other contracts, grants or agreements between the State and Contractor, or by any other appropriate method for collecting debts owed to the State 11. PUBLIC CONTRACTS FOR SERVICES §§8-17.5-101, et seq., C.R.S.

Repealed by SB 21-199

Rule 3- 4: Grants 1. Authority §24-102-206, C.R.S. (Contract Performance Outside United States or Colorado)

2. Definitions 2.1. Grant – An agreement in which a State Agency or Institution of Higher Education as grantor transfers anything of value to a grantee to carry out a public purpose of support or stimulation authorized by law instead of acquiring property or services for the direct benefit or use of that State Agency or Institution of Higher Education. A Grant may include a distribution of funds. Grants do not include Donations, as defined in Fiscal

Rule 2-1 (Propriety of Expenditures). 2.2. Grantee – The recipient of a Grant. 2.3. Modification Policies – See Fiscal Rule 3-3 (State Contracts). 2.4. Procurement Official – See Fiscal Rule 3-1 (Commitment Vouchers). 2.5. Small Dollar Grant Award – A unilaterally approved Commitment Voucher, the form of which has been approved by the State Controller, issued by a State Agency or Institution of Higher Education as a Grant, as described in this Fiscal Rule, when permitted under Fiscal Rule 3-1 (Commitment Vouchers).

3. Rule 3.1. Each State Agency or Institution of Higher Education shall use a Grant as described in this Rule when Fiscal Rule 3-1 (Commitment Vouchers) requires the use of a Grant as the Commitment Voucher.

4. Content of Grants: 4.1. Standard Provisions – All Grants issued by State Agencies and Institutions of Higher Education shall include all of the following: 4.1.1. Identification of the State Agency or Institution of Higher Education and the Grantee; 4.1.2. A description of the work that the Grantee will perform under the Grant and the goals to be achieved under the Grant; 4.1.3. Payment or reimbursement terms, including the maximum dollar amount; 4.1.4. The effective date and termination date of the Grant; 4.1.5. The statutory or regulatory authority authorizing the Grant; 4.1.6. The Special Provisions, as described in Fiscal Rule 3-3 (State Contracts); and 4.1.7. Any other content required under the State Controller Contract, 5. Approved Grant Forms:

All Grants and modifications to Grants shall be in a form approved by the State Controller. The State Controller has approved the following Grant forms and may approve additional forms in the State Controller’s sole discretion. 5.1. Model Grants – State Agencies and Institutions of Higher Education shall use the Grant forms as described in the State Controller Contract, Grant, and Purchase Order Policies. 5.2. Grant Modifications – All modifications to a Grant, other than modifications to an Intergovernmental Grant described in §5.4 of this Fiscal Rule and Small Dollar Grant Awards issued in accordance with the State Controller Contract, Grant, and Purchase Order Policies, shall be made by a formal written amendment signed by the State Agency or Institution of Higher Education and the Grantee, and approved by the State Controller or a delegate of the State Controller, unless an alternative modification tool has been approved by the State Controller. A Grant cannot be amended or extended (revived) after the Grant term has expired. All such modifications to Grants shall use the amendment form and forms of alternative modification tools set forth in the Modification Policies related to modifications of Grants. 5.3. Small Dollar Grant Award Modifications – All modifications to a Small Dollar Grant Award shall be made by a formal written change order approved by the State Controller or a delegate, unless an alternative modification tool has been approved by the State Controller. A Small Dollar Grant Award cannot be modified or extended (revived) after the award term has expired. 5.4. Intergovernmental Grant Modifications – A Grant between a State Agency or Institution of Higher Education and a political subdivision of the State, such as a city, county, special district or authority, may be modified by any method available to modify any other Grant, as described in §5.2, or by issuing an updated Intergovernmental Grant Award Letter, as described in the State Controller Contract, Grant, and Purchase Order Policies, that replaces the existing Intergovernmental Grant Award Letter. 5.5. Alternative Modification Tools and Forms – A State Agency or Institution of Higher Education may use an approved alternate modification tool to modify a Grant in lieu of a Grant amendment only in the specific circumstances identified in the Modification Policies. A State Agency or Institution of Higher Education shall obtain written approval from the Office of the State Controller prior to making a change to the form of an alternative modification tool, other than non-substantive changes necessary to match terminology to the Grant, or using an alternative modification tool in a manner not described in the Modification Policies. A Grant cannot be modified or extended after the expiration of the Grant term. Approved alternative modification tool forms are set forth in the Modification Policies. 5.5.1. Required Provision and Attachment – An approved modification tool may be included as a part of a Grant only if the Grant contains a provision referencing the specific modification tool and how it may be used in accordance with the Modification Policies, and the form of the specific modification tool is attached as an exhibit to the Grant. 5.5.2. Each modification tool shall be used only for its intended purposes, as set forth in the Modification Policies, and shall not be changed or combined with any other modification tool except as specifically allowed in the Modification Policies. 5.6. Other Grant Forms – Any other Grant form which may be approved by the State Controller from time-to-time.

6. Grant Legal Review The State Controller may request the Office of the State Attorney General to review any Grant at the State Controller’s sole discretion.

7. State Controller Review and Approval 7.1. Performance of Controller Functions. 7.1.1. Delegated State Agencies – Delegated State Agencies shall be responsible for determining the level of risk for their Grants. A Delegated State Agency shall classify the risk of each of its Grants in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for delegated State Agencies. The individual or individuals at the Delegated State Agency who have a delegation from the State Controller to sign Grants may sign Grants on behalf of the State Controller that are not required to be sent to the Office of the State Controller in accordance with their delegation agreement and the 7.1.2. Non-delegated State Agencies and Institutions of Higher Education – Non-delegated State Agencies and non-delegated Institutions of Higher Education shall submit all Grants to the Office of the State Controller for review and approval in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for non-delegated State Agencies and Institutions of Higher Education. 7.1.3. Delegated Institutions of Higher Education – Delegated Institutions of Higher Education shall determine if a Grant requires legal review prior to execution in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for delegated Institutions of Higher Education. The individual or individuals at the Delegated Institution of Higher Education who have a delegation from the State Controller to sign Grants may sign Grants on behalf of the State Controller that are not required to be sent to the Office of the State Controller and that either do not require legal review or have been signed by a Reviewing Attorney in accordance with their delegation agreement and the State 7.2. Process for Review, Approval, and Signature 7.2.1. Review – All Grants shall be reviewed by a Procurement Official or delegate, or a member of the unit or section in the Agency or Institution of Higher Education responsible for Grants, as determined by Agency policy. The State Controller or delegate signing the Grant shall also review all Grants to determine if the Grant complies with Fiscal Rule 3-1 (Commitment Vouchers), §3. 7.2.2. Approval and Signature – Except for Grants issued as Small Dollar Grant Awards in accordance with the State Controller Contract, Grant, and Purchase Order Policies, the State Controller or delegate shall approve or disapprove the Grant, and, if approved, shall evidence such approval by signing the Grant. For Grants issued as a Small Dollar Grant Award in accordance with the State Controller Contract, Grant, and Purchase Order Policies, the State Controller, a Procurement Official, or a delegate of either shall approve or disapprove the Grant, and, if approved, shall evidence such approval by approving the Grant in the State Financial System or an approved State Agency or Institution of Higher Education Financial System in accordance with Fiscal Rule 1-3 (State Financial System), or by signing the Grant. 7.3. Grants Not Approved by State Controller 7.3.1. Not Binding – A Grant is not binding on or enforceable against the State unless and until it is approved in accordance with §7.2.2 of 7.3.2. Null and Void – Any Grant disapproved by the State Controller, a Procurement Official or a delegate or either is null and void. 7.3.3. Statutory Violation – Any obligation created under a Grant that has not been approved in accordance with §7.2.2 of this Fiscal Rule or has been disapproved by the State Controller, a Procurement Official or a delegate or either constitutes a Statutory Violation as described in Fiscal Rule 3-1 (Commitment Vouchers), §8.

Rule 3- 5: Interagency Agreements 1. Authority 2. Definitions 2.1. Encumbrance – See Fiscal Rule 3-1 (Commitment Vouchers) 2.2. Interagency Agreement – An agreement between two or more State Agencies, two or more Institutions of Higher Education, or any number of State Agencies and Institutions of Higher Education that involves a transfer of funds from one State Agency or Institution of Higher Education to another. The term Interagency Agreement does not include any agreement that has an entity that is not a State Agency or Institution of Higher Education as a party. 2.3. Recurring Services – Any services that are provided by the Governor’s Office of Information Technology for more than two consecutive years.

3. Rule Each State Agency or Institution of Higher Education shall use an Interagency Agreement as described in this Rule when Fiscal Rule 3-1 (Commitment Vouchers) requires the use of an Interagency Agreement to document the transfer of funds.

4. Content of Interagency Agreements 4.1. Standard Provisions – All Interagency Agreements shall include all of the 4.1.1. Identification of the State Agencies and Institutions of Higher Education involved in the Interagency Agreement; 4.1.2. A description of the work that will be performed; 4.1.3. A description of the amounts to be paid or how those amounts will be determined; 4.1.4. The effective date and termination date of the Interagency Agreement; and 4.1.5. Any applicable special terms and conditions required under a grant or by Federal or state laws, regulations, or policies. 4.2. Encumbrances – All Interagency Agreements that will transfer $250,000.00 or more during a fiscal year shall be encumbered, except for Interagency Agreements charged to a special line item appropriation dedicated to that commitment. A delegate of the State Controller at a State Agency or Institution of Higher Education may choose, in that individual’s discretion, to require an Encumbrance on any Interagency Agreement to ensure that proper funding is available for that Interagency Agreement.

5. Recurring Services For Recurring Services, the Governor’s Office of Information Technology will bill State Agencies for these services without an Interagency Agreement or Encumbrance. The Office of Information Technology shall provide each State Agency with a list of the State Agency’s Recurring Services at least 90 days prior to the beginning of the next fiscal year. If a State Agency no longer needs Recurring Services, the State Agency shall provide notice to Office of Information Technology at least 60 days prior to the beginning of the next fiscal year to terminate or change these services. If an agency does not provide such notice to OIT, then OIT will continue the Recurring Services.

6. Approved Interagency Forms All Interagency Agreements shall be in a form approved by the State Controller.

The State Controller has approved the following forms and may approve additional forms at the State Controller’s sole discretion. 6.1. Statement of Work and Encumbrance Document – For Interagency Agreements that will be encumbered, State Agencies and Institutions of Higher Education may develop a mutually agreeable statement of work, which includes all standard provisions required in §4.1 of this Fiscal Rule and has been approved by each State Agency and Institution of Higher Education that is a Party to the Agreement. The State Agency or Institution of Higher Education transferring funds under the Interagency Agreement shall attach that statement of work to the Encumbrance document in the State Financial System or other approved State Agency or Institution of Higher Education Financial System. The statement of work may also be any type of invoice or quote, so long as that invoice or quote contains the standard provisions required in §4.1 of this Fiscal Rule. 6.2. Statement of Work and Transfer Document – For Interagency Agreements that will not be encumbered, State Agencies and Institutions of Higher Education may develop a mutually agreeable statement of work, which includes all standard provisions required in §4.1 of this Fiscal Rule. The statement of work shall be approved by each State Agency and Institution of Higher Education that is a Party to the Interagency Agreement. The State Agency or Institution of Higher Education transferring funds shall attach that statement of work to the transfer document in the State Financial System or other approved State Agency or Institution of Higher Education Financial System. The statement of work may also be any type of invoice or quote, so long as that invoice or quote contains the standard provisions required in §4.1 of this Fiscal Rule. 6.3. Work Completion Documentation – For Interagency Agreements under $15,000, for which the State Agency or Institution of Higher Education will not encumber funds and will make payment outside of the State Financial System or other approved financial system, the State Agency or Institution of Higher Education may use an invoice or quote to document the transfer in the same manner that the State Agency or Institution of Higher Education would for Small Purchase Documentation as described in Fiscal

Rule 3-1 (Commitment Vouchers). 6.4. Commitment Vouchers and Other Agreements - State Agencies and Institutions of Higher Education may develop a mutually agreeable statement of work, which includes all standard provisions required in §4.1 of this Fiscal Rule. The statement of work shall be approved by each State Agency and Institution of Higher Education and attached to any model Commitment Voucher form or any other form of agreement. In this event, the State Agencies and Institutions of Higher Education may make any modifications to such form as they determine is appropriate.

7. Approvals Required for Interagency Agreements 7.1. Approval of Transferring Entity – A State Agency or Institution of Higher Education shall obtain all of the following approvals for all Interagency Agreements for which the State Agency or Institution of Higher Education will engage in an exchange with another State Agency or Institution of Higher Education: 7.1.1. All Interagency Agreements require the approval of the State Controller or a delegate of the State Controller. This approval shall be evidenced by the State Controller’s or a delegate’s signature, an electronic scans of the signature, or by an approval of the Encumbrance or transfer document in the State Financial System or State Agency or Institution of Higher Education Financial Systems. 7.2. Approval of Receiving Entity – A State Agency or Institution of Higher Education shall obtain all of the following approvals for all Interagency Agreements for which the State Agency or Institution of Higher Education will receive funds from another State Agency or Institution of Higher Education: 7.2.1. All Interagency Agreements require the approval of an individual with authority to bind the State Agency or Institution of Higher Education to the work to be performed. This authority shall be based on the policies of the State Agency or Institution of Higher Education and a proper delegation from the Chief Executive Officer of the State Agency or Institution of Higher Education, if required by the policies of that State Agency or Institution of Higher Education. 7.3. A State Agency or Institution of Higher Education that fails to obtain the approvals required for interagency agreements or fails to comply with the requirements in Fiscal Rule 3-5 (Interagency Agreements) has committed a fiscal rule violation. See State Controller Statutory Violations Policy.

8. Resolution of Disputes in Interagency Agreements In the event of disputes concerning performance under or related to any Interagency Agreement, the following steps shall be used to resolve the dispute: 8.1. The State Agency or Institution of Higher Education disputing the charge shall notify the State Agency or Institution of Higher Education providing the goods or services and attempt to resolve the dispute at the divisional level; 8.2. If that fails, the dispute shall be referred to senior State Agency or Institution of Higher Education management staff designated by each State Agency or Institution of Higher Education for resolution; 8.3. If that fails, the dispute shall be referred to the Chief Executive Officer of the State Agency or Institution of Higher Education for resolution; 8.4. If that fails both parties shall petition the State Controller to resolve the dispute. The decision of the State Controller will be rendered within a reasonable time and shall be final and binding on all parties concerned; 8.5. State Agencies shall make Common Policy Payments regardless of any dispute. Disputes related to setting of the common policy appropriations, budgets, and funding sources shall be handled in accordance with Fiscal

Rule 7-4 Common Policy Disputes.

Chapter 4: Capital Construction

Rule 4- 1: Capital Construction Administration

Rule 4- 2: Capital Construction Projects

Rule 4- 3: Capital Construction Carryforwards and Reversions

Rule 4- 1: Capital Construction Administration 1. Authority §24-30-1303, C.R.S. (Office of the State Architect) §24-75-301, et seq., C.R.S. (Capital Construction Fund)

Title 24, Article 91, C.R.S. (Construction Contracts with Public Entities)

Title 24, Article 92, C.R.S. (Construction Bidding for Public Projects) §38-26-106, C.R.S. (Contractor Bonds) §38-26-107, C.R.S. (Supplier Claims)

2. Definitions 2.1. Capital Construction – Any work defined as “Capital Construction” in §24- 30-1301(2), C.R.S., regardless of the funding source for that work. Capital Construction does not include information technology projects. 2.2. Capital Construction Fund – A fund created by statute for the purpose of Capital Construction, capital renewal, controlled maintenance, or State highway reconstruction, repair and maintenance projects, including without limitation, purchasing and/or maintaining land, buildings and equipment and for constructing buildings for use by the State, as described in §24-75-302, C.R.S.

3. Rule The State Capital Construction Fund was established to provide a source for appropriations to State Agencies and Institutions of Higher Education to acquire and maintain their physical facilities. The fund has special requirements that must be followed by State Agencies and Institutions of Higher Education receiving appropriations from the State Capital Construction Fund. 3.1. Capital Construction Contracts 3.1.1. State Contracts are required when expending funds in excess of $150,000 appropriated for emergency maintenance projects as provided in §24-30-1303.9 (5) C.R.S. including construction services or installation of fixed equipment unless previous approval has been obtained from the Office of the State Architect to use a Purchase Order. 3.1.1.1. Purchases of fixed equipment that do not require installation services may be purchased with a Purchase Order. 3.1.1.2. A Purchase Order may be used for construction not exceeding $150,000 if the State Architect or a delegate records written approval on the face of the Purchase Order.

Such approval by the State Architect or a delegate shall require compliance with approved building codes and signify compliance with bonding requirements in §§38-26- 106 and 24-105-201, C.R.S. 3.1.2. Capital Construction Contracts shall follow the State Contract routing procedures established by the State Controller's Office.

Rule 4- 2: Capital Construction Projects 1. Authority §24-30-1404, C.R.S. (Professional Services Contracts)

Title 24, Article 75, Part 3, C.R.S. (Capital Construction Fund) §24-91-103, C.R.S. (Retainage)

Title 24, Article 92, C.R.S. (Construction Bidding for Public Projects) §38-26-106, C.R.S. (Contractor Bonds) §38-26-107, C.R.S. (Supplier Claims)

2. Definitions 2.1. Capital Construction Fund – See Fiscal Rule 4-1 (Capital Construction Administration) 2.2. Capital Construction Project – A project for Capital Construction as described in §24-30-1301(2), C.R.S. 2.3. Controlled Maintenance Project – A project for Controlled Maintenance, as described in §24-30-1301(4), C.R.S.

3. Rule 3.1. Capital Construction Projects 3.1.1. Use of Funding – All funds for Capital Construction Projects shall be used for their intended purpose. A State Agency or Institution of Higher Education shall not use the Capital Construction funding to pay or reimburse State employees for construction management, administrative activities, direct labor performed, or any other expense of the Capital Construction Project or Controlled Maintenance Project. Capital Construction funding may be used for personal services payments to independent contractors for activities within the scope of the Capital Construction Project or Controlled Maintenance Project, including design or construction services. The State Controller may create additional restrictions on the use of Capital Construction Funds in policy or the Fiscal Procedures Manual. 3.1.2. Six Month Rule – State Contracts for Capital Construction Projects shall be executed and the funds encumbered within the time limits established by and in accordance with the requirements of §24-30- 1404(7), C.R.S. If a State Agency or Institution of Higher Education determines that the deadlines imposed by the statute cannot be met, the State Agency or Institution of Higher Education may request the General Assembly’s Capital Development Committee to recommend to the State Controller that the deadline be waived. The State Controller may, but is not required to, grant the waiver. This Fiscal Rule does not apply to projects at Institutions of Higher Education that are funded solely from cash funds held by the Institution or other exemptions provided in statute. 3.1.3. Availability of Capital Construction Funds – Appropriated Capital Construction Funds are available immediately upon signature of the Governor, as current year appropriations. Appropriated Capital Construction Projects must be initiated by the end of the fiscal year following the original appropriation and will remain available for expenditure or Encumbrance for a period of three years or until completion of the Project, whichever is first. 3.2. Capital Construction Project Retainage 3.2.1. A State Agency shall withhold retainage for all construction and Controlled Maintenance Projects where the total amount of the Capital Construction Contract exceeds the limit established by §24- 91-103, C.R.S. Institutions of Higher Education shall withhold this retainage for all projects that are not cash funded. The retainage shall be in the form of monies withheld from the contractor or in any other form authorized by statute and acceptable to the State 3.2.2. Partial retainage may be released as discrete portions of work are completed, accepted, and advertised for partial settlement. Final retainage shall be released by the State Agency or Institution of Higher Education only when the Capital Construction Contract has been satisfactorily completed and accepted, the State Agency or Institution of Higher Education has proof of publication of “Notice of Final Settlement”, in accordance with §38-26-107, C.R.S., and there are no outstanding claims against the project. 3.2.3. The retainage requirement does not apply to Professional Services Contracts.

Rule 4- 3: Capital Construction Carryforwards and Reversions 1. Authority Title 24, Article 75 Part 3, C.R.S. (Capital Construction Fund)

Title 24, Article 91, C.R.S. (Construction Contracts with Public Entities)

2. Definitions 2.1. Capital Construction – See Fiscal Rule 4-1 (Capital Construction Administration). 2.2. Capital Construction Project – See Fiscal Rule 4-2 (Capital Construction Projects). 2.3. Encumbrance – See Fiscal Rule 3-1 (Commitment Vouchers).

3. Rule 3.1. Carryforward of Capital Construction appropriations – Any unexpended Capital Construction budget is automatically carried forward for three fiscal years (the initial fiscal year of appropriation and the subsequent two fiscal years). If any amount of the available appropriation is restricted, the restricted amount must be carried forward as restricted. 3.1.1. At the end of the third fiscal year of a Capital Construction appropriation, the amount of a valid Encumbrance recorded on the State Financial System or on an approved State Agency or Institution of Higher Education Financial System may be carried forward until the Encumbrance has been fully liquidated. 3.2. Reversion of Capital Construction Appropriations – Upon completion of a Capital Construction Project or the end of a Project’s three-year lifecycle, whichever comes first, the amount of any unexpended/unencumbered appropriation must be reverted.

Chapter 5: Travel

Rule 5- 1: Travel 1. Authority §24-9-104(2), C.R.S. (Mileage Allowances) §24-30-202(20.1), C.R.S. (Travel Advance Limits) §24-30-202(26), C.R.S. (State Controller's Authority)

Executive Order D 021-07 – Efficient Management of State Employee Travel Expenses U.S. Code, Title 26, §§162(a), 262, and 274(d) (Internal Revenue Code) 26 CFR Ch. 1, §1.274-5T Substantiation Requirements (Temporary) (Treasury Regulations)

Rev Rul. 99-7, 1999-5 C.B. 4, Deductibility of Daily Transportation Expenses IRS Publication 463 – Travel, Entertainment, Gift, and Car Expenses Department of Military and Veterans Affairs Regulation 612 – Colorado National Guard State Active Duty 2. Definitions 2.1. Approving Authority – An individual who has authority to approve travel for State Business and related matters. 2.2. Commercial Campground – An area of land where space and facilities are provided for temporary accommodation of persons in tents or recreation vehicles. 2.3. Commercial Card – See Fiscal Rule 2-7 State Commercial Cards.2.4.

Commercial Card Program – All card (Procurement, Travel, One Card) accounts and services provided to the State and participating entities by the bank. 2.4. Commuting – Travel between and an employee’s or State Official’s personal residence to one or more regular places of business. 2.5. Commuting Miles – Distance between an Employee’s Residence and an employee’s Regular Work Location. Per IRS Publication 463, commuting miles are not reimbursable. See State Controller “Mileage Reimbursement Policy”. 2.6. CONUS – The 48 continental United States, including the District of Columbia. 2.7. Elective Officer – Governor, Lieutenant Governor, Treasurer, Secretary of State, Attorney General, or member of the State Board of Education. 2.8. Electronic Signature – Any identifier or authentication technique attached to or logically associated with an electronic record that is intended by the person using it to have the same force and effect as a manual signature.

“Electronic signature” includes digital signatures. 2.9. Employee’s Residence - The employee’s or State Official’s home; the place where the employee or Official lives. Same meaning for Traveler’s Residence. 2.10. Expenses Incurred for the Benefit of the State – Expenses incurred that enable a State employee or State Official to perform assigned duties or enable a State Agency or Institution of Higher Education to carry out responsibilities required by law. 2.11. Foreign Travel – Travel to any out-of-country destination not included within the definitions of In-State Travel or Out-of-State Travel. 2.12. In-State Travel – Travel within the State of Colorado and to the immediate area outside the State that is a necessary part of an otherwise “in-state” trip. 2.13. Incidental Expenses – Tips given to porters, baggage carriers, bellhops, hotel maids, and skycaps for airport check-in. 2.14. Institution of Higher Education – A public college, community college, or university established as part of the State. 2.15. IRS – The Internal Revenue Service, established under the U.S.

Department of the Treasury. 2.16. Lodging – Any commercial accommodations available or offered for use for which a rate schedule has been established and payment is required.

Commercial Lodging includes hotels, motels, other suites owned and operated by commercial businesses, and commercial campgrounds. 2.17. Meals and Incidental Expenses – Meals include breakfast, lunch, and dinner. Incidental Expenses include fees and tips. 2.18. Metropolitan Area – The 50-mile radius surrounding the Traveler-s Regular Work Location, regardless of the location of the Traveler’s Residence. See Travel Guidance. 2.19. One Card – See Fiscal Rule 2-7 (State Commercial Card). 2.20. Out-of-State Travel – Travel within CONUS, other than In-State Travel, or within Alaska or Hawaii. 2.21. Political Expenses – Expenses incurred in relation to activities that are primarily designed to further the interests of a candidate, political party, or special interest group. 2.22. Price Agreement – See Fiscal Rule 3-3 State Contracts. 2.23. Procurement Card – See Fiscal Rule 2-7 State Commercial Cards. 2.24. Regular Work Location – State Work Location where an employee is assigned to work. 2.25. Reimbursement Request – A request for reimbursement of travel expenses submitted by a Traveler pursuant to §10 of this Fiscal Rule. 2.26. State Active Duty – The status of members of the National Guard who are ordered to State Active Duty pursuant to Department of Military and Veterans Affairs Regulation 612. 2.27. State Business – Official State business or other duties undertaken for State purposes and for the benefit of the State. 2.28. State Commercial Card Program Manager – The individual designated to assist a bank in the administration of the Commercial Card Program and manager of the contract between the State and the bank. The liaison between entities participating in the Commercial Card Program and the bank. 2.29. State Headquarters Work Location – Location for the employee’s agency that includes the agency’s Executive Director’s Office. 2.30. State Official – An Elective Officer, head of a Principal Department, and any other State officer. State Official does not include members of the General Assembly, members of the judiciary, or any member of a board, commission, council or committee who receives no compensation other than a per diem allowance or necessary or reasonable expenses. 2.31. Temporary Work Location – A location where employment is expected to continue, and does continue, for one year or less that is not the Traveler’s Regular Work Location. A Traveler works in a Temporary Work Location at the direction of Traveler’s Appointing Authority to complete temporary State Business. 2.32. Travel Advance – The advance of funds to a Traveler for approved travel expenses by a State Agency or Institution of Higher Education pursuant to §6 of this Fiscal Rule. 2.33. Travel Card – See Fiscal Rule 2-7 (State Commercial Cards). 2.34. Travel Expenses - See §7 of this Fiscal Rule. 2.35. Traveler – A State employee who receives required approvals to travel on State Business and is Traveling Away from Home. 2.36. Traveler's Regular Work Location – The location where the Traveler is assigned to work, including the entire Metropolitan Area of the Traveler's Regular Work Location. 2.37. Traveler's Residence – The location where the Traveler maintains the Traveler’s primary family home. Also referred to as Employee’s Residence for Transportation. 2.38. Traveling Away from Home 2.38.1. A Traveler is Traveling Away from Home if: 2.38.1.1. The Traveler's duties require the Traveler to be away from the Traveler's Regular Work Location substantially longer than an ordinary day's work (see Travel Guidance); 2.38.1.2. The Traveler needs to sleep or rest to meet the demands of the Traveler’s work while away from the Traveler's Regular Work Location, and the Traveler stays overnight; and 2.38.1.3. The Traveler is performing duties at a location that is outside the Traveler’s Metropolitan Area. 2.39. Transportation – Travel by any means of conveyance including vehicle, train, bus, shuttle, taxi, ride share, and other transportation services. Does not include scooter rentals, bicycle rentals, or electric bicycle rentals.

Transportation expenses are costs for local State Business travel that is within the employee’s Metropolitan Area and employee is not Traveling Away from Home.

3. Rule 3.1. Scope – All Travelers shall comply with this rule when Traveling Away from Home and for all other situations included in this Fiscal Rule. 3.2. Reimbursement – A Traveler may be reimbursed for travel expenses only if the: 3.2.1. Traveler is Traveling Away from Home, or meets the criteria in one of the special situations described in §12 of this Fiscal Rule; 3.2.2. Travel is: 3.2.2.1. For State Business – travel charged to the State, regardless of the funding source, shall be for the benefit of the State; 3.2.2.2. Only for the time period necessary; 3.2.2.3. Completed using the most economical means available which will satisfactorily accomplish the State Business; and 3.2.2.4. Approved by the Approving Authority as required by §5 of this Fiscal Rule; 3.2.3. Expenses are reasonable under the circumstances; 3.2.4. Traveler submits adequate documentation of the travel expenses to the Approving Authority in accordance with state statute, IRS regulations, grant requirements, and other requirements as determined by the Agency or Institution of Higher Education; and 3.2.5. Reimbursement Requests and Travel Advances are settled as required by §10 of this Fiscal Rule. 3.3. Traveler's Responsibilities – A Traveler is responsible for controlling expenses at a reasonable level, ensuring that the State receives adequate value for the amounts expended and minimizing risk to the State. A Traveler shall identify Expenses Incurred for the Benefit of the State while Traveling Away from Home and request a purchase, advance, or reimbursement for only those expenses. 3.4. Approving Authority's Responsibilities – The Approving Authority shall review the expenses claimed by a Traveler and authorize a purchase, advance, or reimbursement for only those expenses incurred for State Business. The Approving Authority may require documentation, in addition to the documentation prescribed by this Fiscal Rule, deemed necessary or advisable by the Approving Authority in connection with the review and authorization of expenses.

4. Transportation Expenses 4.1. Transportation situations include the following: 4.1.1. Local business travel within an employee’s Metropolitan Area when the employee is not Traveling Away from Home; 4.1.2. Transportation outside the employee’s Metropolitan Area for Travel within a single day; and 4.1.3. Travel to a Temporary Work Location. See State Controller Technical Guidance Taxability of State Travel Reimbursements. 4.2. Transportation Expenses include: 4.2.1. Mileage expenses See State Controller Mileage Reimbursement Policy. 4.2.2. Train, bus, shuttle, taxi, and other transportation services; and 4.2.3. Tolls and parking fees.

5. Travel Authorization All travel shall be authorized in accordance with the procedures in this section, regardless of the sources of funding (including reimbursements by third parties). 5.1. In-State Travel – Prior authorization by the Approving Authority for all In- State Travel may be required, at the discretion of the State Agency or Institution of Higher Education. 5.2. Out-of-State Travel – Prior written or electronic authorization by the Chief Executive Officer, or delegate, of a State Agency or Institution of Higher Education shall be required for all Out-of-State travel. 5.3. Travel to Washington, D.C. 5.3.1. Prior written or electronic authorization by the Office of the Governor or by another Elective Officer, or delegate of any of them, and the Chief Executive Officer, or delegate, of the State Agency or IHE shall be required for all travel to Washington D.C. 5.3.2. Principal Departments except for Principal Departments headed by other Elective Officers: 5.3.2.1. Shall submit travel plans to the Office of the Governor's travel designee 30 days in advance of departure to Washington, D.C. The travel designee may agree to fewer days’ advance notice in specific situations. 5.3.2.2. Shall include the purpose of the trip, length of stay, the cost of the trip, intended source of payment for the trip, and a schedule of all appointments with any member of Congress or his or her staff or federal government department or agency personnel. 5.3.2.3. All Principal Departments on Google shall use the Google Doc for travel approvals. Other Principal Departments shall communicate by e-mail to the Office of the Governor. 5.3.3. For State Agencies with other Elective Officers – Follow the procedure in each other Elective Officer’s office for approving travel to Washington, D.C. 5.3.4. For Institutions of Higher Education – Follow each Institution of Higher Education’s procedure for approving travel to Washington, D.C. 5.4. Foreign Travel – Prior written or electronic authorization by the Governor, other Elective Officer, the Commissioner of the Department of Education, or a delegate of any of them, and the Chief Executive Officer, or delegate, of the State Agency benefiting from the Foreign Travel shall be required for all Foreign Travel, except for Foreign Travel undertaken by employees of the Department of Higher Education. Prior written authorization by the Chief Executive Officer of the Department of Higher Education shall be required for all Foreign Travel by employees within the Department of Higher Education, including employees of Institutions of Higher Education.

The Chief Executive Officer of the Department of Higher Education, with the approval of the State Controller, may delegate the authority to approve Foreign Travel to the Chief Executive Officer, or a delegate, of a specific Institution of Higher Education. 5.5. Travel at No Cost to the State – Prior authorization by the Approving

Authority is required for any State Business travel for which reimbursement is made directly to the State or a State employee by a non- State organization.

6. Travel Advance 6.1. Travel Advance Form – A Traveler shall complete a Travel Advance Form to obtain an advance for approved travel expenses, which shall contain a statement as to the purpose of the travel. Each Agency and Institution of Higher Education shall develop a Travel Advance form for use by its Travelers. 6.2. Amount of Advance – The amount of the advance shall be computed using the applicable per diem rates and other allowable estimated out of pocket amounts. A Travel Advance shall not exceed the lesser of the $2,500 statutory limit or the amount that was approved by the State Controller, or the State Controller’s designee, per Traveler per trip. See 24-30-202(20.1), C.R.S. 6.3. Approval – Travel Advances requested from the State require prior authorization from the Approving Authority and approval by the Chief Fiscal Officer, or delegate, for the Agency or Institution of Higher Education authorizing the travel. 6.4. Settlement of Advance – Upon completion of travel, a Traveler shall settle all Travel Advances made to the Traveler by following the requirements for timing, content and receipts set forth in §10 of this Fiscal Rule. The Traveler shall reimburse the State to the extent that the amount of a Travel Advance received by the Traveler pursuant to this §6 exceeds the actual expenditures for reimbursable items in §7 of this Fiscal Rule.

7. Travel Expenses A Traveler Traveling Away from Home shall be reimbursed for the Travel Expenses set forth in this section, if all of the requirements of §3 of this Fiscal

Rule are met. Agencies shall not reimburse Travelers for Travel Expenses if the Traveler is not Traveling Away from Home. 7.1. Lodging –A Traveler shall submit receipts for Lodging as documentation of the expense. A Traveler shall use Commercial Lodging except when furnishing their own Lodging as set forth in §12 of this Fiscal Rule and shall not use an alternative to Commercial Lodging. 7.2. Meals and Incidental Expenses – Under regulations issued by the Internal Revenue Service, Travelers are required to use the method chosen by the State for reimbursement of meals and Incidental Expenses. The State has chosen to use the standard allowance method for meals and Incidental Expenses, rather than the actual cost method. Under the standard meal allowance method, a Traveler shall claim the authorized meal per diem rate for each meal the Traveler would normally have eaten while Traveling Away from Home. If a meal is included in a conference fee or is provided with the cost of Lodging, a Traveler shall not request reimbursement for the standard meal allowance, unless the meal provided is determined to be inadequate by the Traveler. The Traveler shall include the total Incidental Expense per diem rate for each overnight stay, but shall not request reimbursement for Incidental Expenses that do not include an overnight stay. Under no circumstances shall a Traveler request reimbursement for more than the applicable per diem rate. Because meals and Incidental Expenses are paid on a per diem basis, receipts for meals and Incidental Expenses are not required. See §13 of this Fiscal Rule for reference to the current standard per diem rates for meals and Incidental Expenses. Centrally Billed Commercial Cards (i.e. One Cards, Centrally Billed Travel Cards, and Procurement Cards) shall not be used to pay for meals or Incidental Expenses while Traveling Away From Home. For Meals and Incidental Expenses, members of the Colorado National Guard State on Active Duty shall not be considered State employees, and shall be reimbursed for meals on an actual cost basis not to exceed per diem rates. 7.3. Meals and Incidental Expenses for Days Traveler Departs and Returns – A State Agency or Institution of Higher Education shall use either of the following methods for an advance or reimbursement for meals during partial travel days, except each State Agency or Institution of Higher Education must use the same method for all of that State Agency’s or Institution of Higher Education’s Travelers: 7.3.1. A Traveler claims 75% of destination city's per diem rate, including Incidental Expenses, for the day of departure, and 75% of the departing city's per diem rate, Including Incidental Expenses, on the day of return; or 7.3.2. A Traveler claims meals based on departure and arrival time. State Agencies and IHEs that use the time of day method for days Travelers depart and return shall reimburse Travelers for meals as shown in the following table:

Meal Departing Time to Destination City On-site at Destination City Return Time to Home/Office (ii)

Breakfast Yes if leaving before 5 am Ye s Ye s Lunch Ye s if leaving before 11 am Ye s Yes if arrival is after 1 pm Dinner Yes if leaving before 5 pm Ye s Yes if arrival is after 8 pm i. ii. 7.3.3. Alternatively, State Agencies and Institutions of Higher Education may use the percentage method described in §7 of this Fiscal Rule.

Departure from home/office to destination site (City of Departure)

Return from destination to home/office (City of Arrival) 7.3.4. A State Agency or Institution of Higher Education must use the same method for days Traveler departs and returns for all of that Agency’s or Institution’s Travelers. See §7.3 of this Fiscal Rule. 7.4. Transportation – A Traveler shall be reimbursed only for the dollar equivalent of the most economical means of Transportation available to the Traveler that satisfactorily accomplishes the State Business.

Reimbursement shall be limited to the actual cost of commercial Transportation. A Traveler requesting reimbursement shall submit receipts for all Transportation expenses except as provided in §7.11 of this Fiscal 7.5. State Fleet Vehicles – Travelers are encouraged to use State fleet vehicles when they are available and meet the needs of the Traveler, unless the Traveler’s State Agency or Institution of Higher Education has a more restrictive policy. 7.6. Rental Vehicles – State Agencies and Institutions of Higher Education shall use State Price Agreements for automobile rentals in order to ensure adequate liability insurance coverage, unless the State Price Agreement does not meet the needs of the Traveler. In instances where a State Price Agreement is not used for automobile rental, the Traveler shall purchase liability insurance in the amount of $1,000,000 through the automobile rental company the Traveler uses. Various upgrades provided at extra cost by vehicle rental companies, such as satellite radio, GPS units, etc., are not reimbursable unless necessary for State Business or safety reasons and approved by the Approving Authority. A Traveler shall submit receipts for rental vehicles as documentation of the expense and shall be reimbursed for the actual cost of rental vehicles, provided the Traveler complies with §3 of this Fiscal Rule. 7.7. Use of Personal Vehicles 7.7.1. Insurance – If a Traveler uses the Traveler’s personal vehicle on State Business the Traveler is not covered by the State’s automotive insurance. 7.7.2. Mileage for Personal Vehicles – A Traveler shall be allowed mileage reimbursement for each mile actually and necessarily traveled on State Business using the Traveler’s personal vehicle as provided in the State Controller Mileage Reimbursement Policy. A Traveler normally shall be reimbursed at the mileage rate designated for two-wheel drive vehicles. A Traveler shall be reimbursed at the mileage rate designated for four-wheel drive vehicles only when the use of four-wheel drive is necessary because of road, terrain, or adverse weather conditions. Commuting expenses incurred while traveling between a Traveler’s Residence and Traveler’s Regular Work Location are non-reimbursable personal expenses. §24-9- 104(2), C.R.S establishes the mileage rate to be used for reimbursement of State Business travel. The current mileage rates are posted on the website of the Office of the State Controller. 7.8. Airfare – Travelers shall use the most advantageous airline based on cost, time, and schedule. A Traveler shall be reimbursed for baggage fees if not included in the airfare. 7.9. Tips – A Traveler cannot claim tips as a separate item on a Reimbursement Request. Tips paid to porters, baggage carriers, bellhops, hotel maids, and skycaps for airport check-in are included in Incidental Expenses. Tips paid in conjunction with meals are included in the standard meal allowance. Tips for commercial Transportation, such as taxi and shuttle drivers, shall be reimbursable as part of and shall be included in the cost of the Transportation. 7.10. Other Allowable Travel Expenses – In addition to Lodging, meals, and Transportation, the actual expenses identified below, incurred as a part of approved travel, are allowable if necessary to complete State Business: 7.10.1. Commercial Transportation such as taxi and shuttle expenses – A receipt shall be required for each individual ride in a commercial vehicle costing over $25, including tip; 7.10.2. Camping site fees paid for a commercial campground or a state or national park – A receipt shall be required for any fee over $25; 7.10.3. Parking fees – A receipt shall be required for any single fee over $25; 7.10.4. Airline baggage fees – A receipt shall be required for baggage fees in excess of the standard fee for a single bag; 7.10.5. Telephone, fax, internet access, and other similar miscellaneous business expenses paid for State Business – A receipt shall be required for any single charge over $25; 7.10.6. Toll road charges – A receipt shall be required for charges over $25; and 7.10.7. Transaction charges for additional fees for use of the State Commercial Card. 7.11. Summary of Allowable Travel Expenses Type of Travel Expense Reimbursement Receipt Required?

Lodging Actual Ye s Meals (Standard) Per Diem Rate No Meals (Camping) 60% of the applicable Per Diem Rate No Incidental Expenses Per Diem Rate No Transportation (other than airfare)

Actual Yes if over $25 Rental Vehicles Actual Ye s Mileage for Personal Vehicles The reimbursement rate in §24-9-104(2)

No Airfare Actual Ye s Tips – Transportation Taxi, Ride Share Ye s Tips – non-Transportation Included in Per Diem No Other Allowable Travel Expenses not Paid with a Commercial Card Actual Yes if over $25 Other Allowable Travel Expenses Actual Ye s 8. Non-Allowable Travel Expenses A Traveler shall not be reimbursed or use any funds for the following expenses, which are not allowable travel expenses: 8.1. Alcoholic beverages or recreational and medical marijuana; 8.2. Entertainment expenses; 8.3. Meals for travel in a single day. 8.4. Personal expenses incurred during travel that are primarily for the benefit of the Traveler and not directly related to State Business; 8.5. Political expenses; 8.6. Traffic fines and parking tickets; 8.7. Late fees for individually billed Travel Cards; 8.8. Premium add-on costs on airline tickets, unless pre-approved by the Traveler’s State Agency or Institution of Higher Education, as defined in the State Controller Travel Guidance; 8.9. Commuting – see State Controller Technical Guidance Taxability of State- Owned Vehicles, and 8.10. Certain insurance coverage – The State Commercial Card Program provides travel insurance for Travelers who use one of the State Commercial Cards, but the State does not provide insurance if a Traveler uses the Traveler’s personal credit card. The cost of additional or other types of coverage shall not be reimbursed by the State, unless required by §7.6 of this Fiscal Rule or permitted by the policy of the Institution of Higher Education, including without limitation, expenses paid by a Traveler for the following: 8.10.1. Collision damage waiver or loss-of-use waiver for rental vehicles, as this coverage is automatically provided with use of one of the State Commercial Cards; 8.10.2. Additional or supplemental liability insurance on vehicles rented through a State Price Agreement Vendor; 8.10.3. Trip cancellation insurance; 8.10.4. Personal accident and personal effects insurance on rental vehicles; and 8.10.5. Supplemental life insurance for airline or common carrier travel.

9. Certification and Approval 9.1. Certification – Each Travel Advance form or Reimbursement Request shall contain the following certification signed manually, or electronically, if allowed by the Traveler’s State Agency or Institution of Higher Education by the Traveler:

“I certify that the statements in the above schedule are true and correct in all respects; that payment of the amounts claimed herein has not and will not be reimbursed or paid by any other source; that travel performed for which an advance or reimbursement is claimed was or will be performed by me while on State Business and that no claims are included for expenses of a personal or political nature or for any other expenses not authorized by the Fiscal Rules; and that I actually incurred or paid the operating expenses of the motor vehicle for which reimbursement is claimed on a mileage basis. Further, I hereby authorize the State to deduct from my pay any amount paid to me in excess of my authorized expenses as provided by Fiscal Rule 5-1.” 9.2. Approval – If approved, the Approving Authority shall endorse the Reimbursement Request or Travel Advance request manually, by electronic signature, or by approval through a dedicated approval system.

10. Reimbursement Requirements 10.1. Timing – A Reimbursement Request shall be filed within 60 days of completion of travel to allow for proper recording of expenses and to obtain reimbursement for approved travel expenses. Reimbursement Requests submitted between 61-90 days of completion of travel must be accompanied by a justification as to why the submission was late, and the employee may be taxed in accordance with the Internal Revenue Code and its implementing regulations. Any Reimbursement Requests submitted after 90 days will not be reimbursed. 10.2. Content – Each State Agency and Institution of Higher Education shall develop a Reimbursement Request form for use by its Travelers. The Reimbursement Request form shall contain all of the following: 10.2.1. Amount – The amount of each separate expenditure incurred while Traveling Away from Home, such as the cost of Transportation or Lodging; 10.2.2. Time – Dates of departure for and return from the destination city and the number of days spent on State Business while Traveling Away from Home; 10.2.3. Place – Destinations or locality of travel, described by name of city or town or other similar designation; and 10.2.4. Purpose – Reason for travel or a description of what State Business is being conducted during the travel. 10.3. Receipts 10.3.1. Receipts Required – Receipts are required for all expenses over $25, except for meals, Incidental Expenses, and mileage for personal vehicles, which do not require receipts regardless of dollar amount. Receipts are required for Lodging, rental vehicles and airfare, regardless of the amount, and for other expenses as described in §7.10 of this Fiscal Rule. Receipts shall be itemized contractor receipts. Non-itemized charge card transaction slips shall not be accepted as proper documentation. If a receipt is not available, the Traveler shall provide documentation explaining why an itemized receipt is not available and each State Agency or Institution of Higher Education shall determine what documentation will be required in that circumstance. 10.3.2. Waiver – The Approving Authority may waive the requirement for a receipt in extenuating circumstances, upon receipt of a written certification from the Traveler, certifying that the cost was incurred and providing the reason why a receipt was not obtained or available. Further, the Approving Authority may establish alternative documentation requirements for recurring travel to certain locations (e.g. Foreign Travel) or for group travel, where compliance with the receipt requirement is determined to be impractical by the Approving Authority, with concurrence from the Office of the State Controller or State Controller delegate. 10.4. Application to Travel Advances – The requirements with respect to Timing, Content and Receipts set forth in this §10 shall apply to the settlement of Travel Advances as provided in §6 of this Fiscal Rule. 10.5. Compliance – A Traveler shall comply with the reimbursement requirements in this section regardless of the method of payment used.

11. Payment of Travel Expenses A State Agency or Institution of Higher Education shall use one or more of the methods set forth in this §11 to pay for travel expenses or reimburse Travelers. 11.1. Electronic Reimbursement – A State Agency or Institution of Higher Education shall pay a Traveler for expenses claimed on the Reimbursement Request form or the Travel Advance Form by direct deposit using electronic funds transfer (EFT). State warrants shall not be used for the payment of travel reimbursement for employees of a State 11.2. Commercial Cards 11.2.1. State Agencies shall not use State Commercial Cards to pay expenses of independent contractors. 11.2.2. Commercial Card Internal Controls – A State Agency or Institution of Higher Education shall develop internal controls for Commercial Cards that include: 11.2.2.1. Allowable charges for each type of card; 11.2.2.2. The use of the Commercial Cards and administration of the program; 11.2.2.3. Fraud prevention and fraud detection, including review and follow up; 11.2.2.4. A single purchase limit standard for Travel Cards or One Cards; and 11.2.2.5. A requirement to use of Travel Cards or One Cards whenever possible with exception to be approved by the State Controller or a delegate of the State Controller. 11.2.3. State Commercial Cards – See Fiscal Rule 2.7 (State Commercial Cards) and State Controller Travel Guidance. 11.3. Travel Advance – See §6 of this Fiscal Rule.

12. Special Situations 12.1. Travel to Conferences, Meetings, Training Sessions, and Other Businessrelated Activities See State Controller Mileage Reimbursement Policy. 12.2. Allowances for Members of Statutory Boards or Commissions – Members of boards and commissions shall be paid in accordance with the statute establishing the board or commission. If the establishing statutes do not provide for reimbursement of members of a board or commission, members of boards and commissions may be reimbursed in accordance with the policies of the State Agency or Institution of Higher Education paying the expenses for that board or commission; which may include per diem or actual and necessary expenses, accompanied with receipts.

Actual and necessary expenditures or per diem shall be reasonable under the circumstances and the members of the board or commission shall be made aware that public funds are the source of the reimbursement.

Members of boards and commissions also may be reimbursed for childcare services. The Chief Executive Officer of a State Agency or Institution of Higher Education paying the expenses for that board or commission, or a delegate of that individual, shall determine the need for childcare reimbursement. Reimbursement shall not be made for services provided by a family member. 12.3. Allowances for State Job Applicants – To obtain the best-qualified individual for a given State employment position, it may be necessary to pay interview related travel expenses for job applicants. At the discretion of the Chief Executive Officer of a State Agency or Institution of Higher Education, or a delegate of either of them, such travel expenses, including the meal per diem rate established by the State Controller for Travelers, may be reimbursed to the applicant consistent with the expenses allowed for State employees. 12.4. Allowances for Travel Not Solely for State Business – In some instances, the purpose of travel may be partially for State Business and partially for personal or political reasons. If a State employee obtains lower rates for Lodging because travel is extended for personal or political reasons, these lower rates shall also apply to the State Business portion of the travel. Any Lodging, meals, or Transportation (other than airfare) for personal travel will not be reimbursed. Each State Agency or Institution of Higher Education shall develop a State Agency-wide or Institution-wide policy regarding allocation of airfare costs, if any, when an employee is extending State Business travel for personal or political purposes. 12.5. Allowances for Travel Paid Directly by a Non-state Entity – In limited instances, State Officials and State employees may be invited to attend a meeting, seminar, conference, or other event concerning State Business where their travel expenses are paid directly or reimbursed by the sponsor of the meeting, seminar, conference, or event. In such instances the State Official or employee may accept the invitation if the travel has been approved by the appropriate Approving Authority and does not violate other State statutes, guidance provided by the Colorado Independent Ethics Commission, or constitutional provisions. 12.6. Allowances for Travel with Spouse, Relatives, or Friends 12.6.1. The State shall not reimburse the cost of an employee's or State Official’s spouse or other person(s) accompanying the State employee or State Official on a State Business trip. The State shall also not reimburse any incremental increases in costs associated with an employee’s or State Official’s spouse or other person(s) accompanying the State employee or State Official on a State Business trip. 12.6.2. In the case of travel by the Governor, security, protocol, ceremonial functions, and time demands may require considerations not accorded any other State official or employee. If protocol requires that the Governor's spouse accompany the Governor, travel expenses incurred by the Governor's spouse may be reimbursed. 12.7. Allowances for Travel by Leased or Privately Owned Aircraft 12.7.1. A State Agency or Institution of Higher Education shall not lease an aircraft without the prior written approval of the Aircraft

Section of the Colorado State Patrol in the Department of Public Safety, regardless of the source of funds. Prior written approval also is required for the lease of any replacement for aircraft currently operated by a State Agency or Institution of Higher Education. 12.7.2. A State Agency or Institution of Higher Education shall not authorize the use of a privately owned aircraft without prior written approval from the Office of Risk Management. Reimbursement for the use of a privately owned aircraft shall not be allowed unless the required prior written approval has been secured. 12.8. Allowances for Travelers Furnishing Their Own Lodging – Travelers will not be reimbursed any amount for Lodging costs when furnishing their own Lodging.

13. Per Diem Rates – Meals and Incidental Expenses The current maximum meal and Incidental Expense per diem rates are posted on the website of the Office of the State Controller. These rates include the

Appendix A1 – Domestic (CONUS) Per Diem Rates (if a specific City or County rate is not listed, the base rate for the state in which that City or County is located shall be used)

Appendix A2 – Allocation of Domestic (CONUS) Per Diem Rates

Appendix B – Alaska, Hawaii, and US Possessions Per Diem Rates

Appendix C1 – Foreign Per Diem Rates

Appendix C2 – Allocation of Non-CONUS Per Diem Rates, including Foreign, Alaska, Hawaii, and U.S. Possessions

Appendix C3 – Footnote References for Foreign Per Diem Rates

Chapter 6: Cash

Rule 6- 1: Cash Receipts and Deposits

Rule 6- 2: Change Funds and Petty Cash Funds

Rule 6- 3: Imprest Cash Accounts and Bank Accounts

Rule 6- 4: Refunds, Reimbursements, and Retroactive Financing

Rule 6- 5: Payments Returned by Financial Institutions

Rule 6- 6: Federal Cash Management

Rule 6- 1: Cash Receipts and Deposits 1. Authority §24-36-103, C.R.S. (Moneys Transmitted to State Treasury) §24-36-104, C.R.S. (Moneys to Be Deposited)

2. Definitions 2.1. Bank Account – An account approved by the State Controller and State Treasurer that is established by a State Agency or Institution of Higher Education in any financial institution for the purpose of conducting State Business.

3. Rule A State Agency or Institution of Higher Education that receives money for any reason shall make timely deposits to the State Treasury, unless otherwise provided by statute or Fiscal Rule. All money received and not deposited during the month shall be deposited within seven business days following calendar month-end. Deposits or transfers to the State Treasury from any bank account shall be made as required by the State Treasurer.

Rule 6- 2: Change Funds and Petty Cash Funds 1. Authority §24-36-103(2), C.R.S. (Moneys Transmitted to State Treasury) §24-30-202 (20.1), C.R.S. (State Controller Authority)

2. Definitions 2.1. Change Fund – A fund established at a State Agency or Institution of Higher Education that receives cash to allow for making change. 2.2. Commercial Card – See Fiscal Rule 2-7 (State Commercial Cards). 2.3. Petty Cash Fund – A fund established at a State Agency or Institution of Higher Education to allow cash payment for small, incidental expenses.

3. Rule 3.1. Change Funds and Petty Cash Funds may be established based upon a written request from the Chief Fiscal Officer of a State Agency or Institution of Higher Education and approval of the State Controller, or the Controller's delegate. The request for approval shall state the purpose of the fund and contain justification for the amount requested. 3.2. Change Funds shall only be used for making change when cash receipts are accepted from the public, such as for fees and fines. No expenditures of any kind shall be authorized from a Change Fund. 3.3. Petty Cash Funds shall only be used for payment of incidental expenses of a nominal amount such as postage, parking or expenses not otherwise paid by Commercial Card or warrant. Petty cash expenditures shall be consistent with all applicable statutes, rules, regulations, and executive orders. There is a statutory limit of $2,500 per Petty Cash Fund. 3.4. All Petty Cash Funds and all change funds shall be recorded on the State Financial System or on an approved State Agency or Institution of Higher

Rule 6- 3: Imprest Cash Accounts and Bank Accounts 1. Authority §24-36-103(2), C.R.S. (Moneys Transmitted to State Treasury) §24-36-104, C.R.S. (Moneys to Be Deposited) §24-75-202, C.R.S. (Imprest Cash Accounts)

2. Definition 2.1. Bank Account – An account that is established by a State Agency or Institution of Higher Education in any eligible financial institution for the

purpose of conducting State Business, as defined in Fiscal Rule 5-1. 2.2. Imprest Cash Account – A cash account that is established by a State Agency or Institution of Higher Education for the purpose of paying operating expenses.

3. Rule 3.1. Written approval is required from the State Controller and State Treasurer prior to a State Agency or Institution of Higher Education establishing a Bank Account or Imprest Account. All cash Imprest Accounts and Bank Accounts shall be recorded on the State Financial System or on an approved State Agency or Institution of Higher Education Financial System. The request for approval of an Imprest Account shall state the

purpose and justification for the Imprest Account, methodology in calculating the estimated Account balance, and any other information that is pertinent to the establishment of this Account. 3.2. Bank Account balances shall be limited to the minimum amount necessary to be consistent with legal requirements and operating efficiency. 3.3. Deposits to cash Imprest Accounts shall be in the form of reimbursements for actual expenditures, other than deposits used to establish and maintain a minimum balance, and shall be consistent with all applicable statutes, rules, regulations, and executive orders. Request for reimbursements shall be made so that all disbursements are properly reported on the State Financial System or an approved State Agency or Institution of Higher

Rule 6- 4: Refunds, Reimbursements, and Retroactive Refinancing 1. Authority §24-30-202 (19), C.R.S. (State Controller Authority)

2. Definitions 2.1. Non-augmenting Revenue Account – An account used to record a refund or reimbursement from a prior fiscal year. Such Non-augmenting Revenue Accounts do not serve as funding sources for appropriated expenditures. 2.2. Refund – An amount or credit received because of an overpayment or the return of an item purchased. 2.3. Reimbursement – Repayment received for amounts remitted on behalf of another Party. 2.4. Retroactive Refinancing – Identification of a funding source not previously available to fund prior year expenditures funded by a different source in the prior year. Retroactive refinancing includes funds authorized by, but not limited to, subsequent statutory, federal, or legal action.

3. Rule 3.1. State Agencies and Institutions of Higher Education will normally use either an account receivable or a revenue account to record Refunds and Reimbursements. However, incidental and non-recurring Refunds or Reimbursements may be credited against the original account coding if the recovery occurs in the same fiscal year as the original expenditure and is for activities that involve a routine State Agency or Institution of Higher Education function. If Refunds or Reimbursements are received in a subsequent fiscal year, such as an audit recovery or accounts payable reversion, they should be credited to a Non-augmenting Revenue Account. Retroactive Refinancing activity shall be recorded as directed by the State Controller. 3.2. The Budgetary and Legal exceptions to the Rule are not compliant with GAAP for financial reporting purposes. Adjustments to convert Budget and Legal Exceptions activity shall be recorded in order to conform to GAAP in compliance with this Rule.

4. Budgetary and Legal Exceptions to Rule 4.1. Capital Construction Funds – Refunds or Reimbursements received for expenditures of Capital Construction Fund appropriations during the life of the project shall be treated as if they were received in the same fiscal year as the original expenditure. If the recovery is made after the term of the appropriation has expired, the recovery shall be credited to a Nonaugmenting Revenue Account. 4.2. Federal Funds – Refunds or Reimbursements received for expenditures of federal funds, prior to the expiration of the award, shall be treated as if they were received in the same state fiscal year as the original expenditure. If the recovery is made after the award has expired, the recovery shall be refunded to the federal government, unless otherwise directed by the federal government. 4.3. Contracts and Grants – Refunds or Reimbursements received for expenditures made from Contracts and Grants shall be handled as set forth in the terms of the Contract or the conditions of the Grant.

Rule 6- 5: Payments Returned by Financial Institutions 1. Authority §24-30-202 (25), C.R.S. (Returned Check Penalty) §24-35-114, C.R.S. (Civil Penalty for Unpaid Checks)

2. Rule A State Agency or Institution of Higher Education that receives a returned payment, such as insufficient or non-sufficient funds, ACH/credit card chargebacks, refer to maker, stop payment, or closed account, shall assess a reasonable fee against the person who issued the payment. The fee assessed shall be at least equal to the additional bank charges incurred by the State Agency or Institution of Higher Education and may include up to an additional 25% of the additional bank charges to cover the State Agency or Institution of Higher Education's administrative costs. This penalty is in addition to any other penalty provided by statute, except the penalty provided by §24-35-114, C.R.S.

Rule 6- 6: Federal Cash Management 1. Authority 31 CFR, Part 205 (Rules and Procedures for Efficient Federal-State Funds Transfers) §24-22-107(6), C.R.S. (Duties of the State Treasurer)

2. Rule 2.1. Unless Federal funds have been advanced to the State Agency or Institution of Higher Education, State Agencies and Institutions of Higher Education shall make draws of Federal funds as closely as possible to the use of those funds and shall ensure compliance with applicable Federal and State laws, including any liability for interest payable to the Federal government for major Federal programs. 2.2. The State Treasurer shall be the State’s cash management officer responsible for the efficient management of all cash held by the State Treasury and shall perform the duties necessary to carry out such function, in consultation with the Governor.

Chapter 7: Budget

Rule 7- 1: Spending Authority

Rule 7- 2: Expiration and Rollforward of Appropriations

Rule 7- 3: Overexpenditures and Required Reporting

Rule 7- 4: Common Policy Disputes

Rule 7- 1: Spending Authority 1. Authority §24-37-304, C.R.S. (Office of State Planning and Budgeting)

2. Rule 2.1. Spending authority shall be approved as follows: 2.1.1. For State Agencies subject to the authority of the Office of State Planning and Budgeting (OSPB), OSBP shall provide delegation to the State Controller for approval of spending authority; and 2.1.2. For State Agencies not subject to the authority of OSPB, the State Controller shall approve spending authority. 2.2. Spending authority requests must be supported by law (such as statute or legislation), certain grant awards, or other authority as determined by the State Controller. 2.2.1. When there are conflicting statutory provisions regarding spending

authority, the more restrictive provision shall apply absent further guidance from the Office of State Planning and Budgeting, the Joint Budget Committee, and/or the Attorney General’s Office.

3. Exceptions to Rule This Fiscal Rule does not apply to Institution of Higher Education expenditures not subject to appropriation by the General Assembly.

Rule 7- 2: Expiration and Rollforward of Appropriations 1. Authority §24-75-102, C.R.S. (Appropriation Expiration)

2. Definitions 2.1. Carryforward – The remaining amount of a multi-year appropriation transferred into a subsequent fiscal year until the expiration of that multiyear appropriation. 2.2. Encumbrance – See Fiscal Rule 3-1 (Commitment Vouchers). 2.3. Multi-Year Appropriation – Funding that is legally authorized for use in more than one fiscal year, including, but not limited, to Capital Construction appropriations. 2.4. Rollforward – The remaining amount of an appropriation transferred into a subsequent fiscal year that is beyond the expiration of that appropriation.

3. Rule 3.1. Current Year Appropriations Unless otherwise authorized by law, unexpended appropriations expire at the end of each fiscal year and do not continue into a subsequent fiscal year. Open Encumbrances at the end of a fiscal year do not constitute an obligation against that year's appropriation. Open Encumbrances that are carried over to the next fiscal year and the resulting expenditures are charged against the next fiscal year appropriation, if available. 3.2. Carryforward Unexpended appropriations authorized for more than one fiscal year may be carried forward into a subsequent fiscal year until the expiration of the appropriation. Authorization for more than one year may be in the form of express legislative intent enacted in legislation or a legislative action signed by the Governor or the Joint Budget Committee. Common forms of express legislative intent may be included in letternotes and footnotes in the Long Bill, Supplemental Bills, and Long-Bill add-ons. 3.3. Carryforward of Capital Construction – See Fiscal Rule 4-3 (Capital Construction Carryforwards and Reversions) 3.4. Exceptions To Rule 3.4.1. Rollforward – The State Controller may approve the Rollforward of unexpended expiring appropriations based on either of the 3.4.2. Extenuating Circumstances – Extenuating circumstances must be beyond the control of the State Agency or Institution of Higher Education and mitigated to the greatest extent possible by advanced planning, documented early ordering, early and frequent order status monitoring, and documented goods or services delivery deadlines communicated to and acknowledged by the contractor. 3.5. The following items do not qualify as extenuating circumstances and this list is not intended to be all inclusive: 3.5.1. Inadequate time to implement a new program before the statutory deadline; 3.5.2. Failure of the selected contractor to perform for any reason other than force majeure; 3.5.3. Shipping delays; or 3.5.4. Customs delays.

Rule 7- 3: Overexpenditures and Required Reporting 1. Authority §24-75-109, C.R.S. (Overexpenditures) §24-75-111(4), C.R.S. (Restriction) §24-30-202(3), C.R.S. (Personal Liability) §24-30-202(14), C.R.S. (Misdemeanor and Penalty)

2. Definitions 2.1. Overexpenditure of Funds – An overexpenditure of funds exists when: 2.1.1. Total expenditures charged to a specific line item, based on the accrual basis of accounting, or based on the cash basis of accounting if statute requires expenditures to be recorded on a cash basis, exceed the established spending authority, as defined in §24-75-109(1.5), C.R.S and reflected on the State Financial System or on an approved State Agency or Institution of Higher 2.1.2. Non-general funded appropriations within the General Fund have insufficient revenue to support expenditures. 2.1.3. Appropriations within a cash fund have insufficient revenue and fund balance to support expenditures.

3. Rule 3.1. Expenditures shall not exceed established spending authority unless specifically allowed by law. Expenditures shall not exceed the amount of either the accrued and collected revenue or the available fund balance at the end of the State fiscal year. 3.2. Required Notification of Overexpenditures of Funds When the Chief Executive Officer becomes aware of an Overexpenditure of Funds within the State Agency or Institution of Higher Education, the Chief Executive Officer shall submit notice within 10 working days to the Governor, through the Office of State Planning and Budgeting, and to the State Controller. 3.3. Statutory Penalty Unless the Overexpenditure of Funds is approved by the State Controller in accordance with §4.1.1 of this Fiscal Rule, any State Official or employee of the State convicted of knowingly causing an Overexpenditure of Funds shall be subject to statutory fines and/or imprisonment in county jail. In addition, the individual may be personally liable for the overexpenditure amount.

4. Exceptions to Rule 4.1. Overexpenditure of Funds Approved by the Governor (§24-75-109, C.R.S.) 4.1.1. The State Controller, with the approval of the Governor, may allow an Overexpenditure of Funds. Prior to recommending to the Governor that the Overexpenditure of Funds be approved, the State Controller shall verify that the statutory requirements allowing the Overexpenditure of Funds have been met. Overexpenditure of Funds shall only be approved between May 1 of any fiscal year and the close of that fiscal year. This authority is only valid so long as §24-75-109, C.R.S. remains in effect and is not repealed. 4.1.2. For any Overexpenditure of Funds the State Controller shall restrict an amount equal to the overexpenditure in the next fiscal year's appropriation for the State Agency or Institution of Higher Education involved. The amount shall be restricted from a corresponding item or items of appropriation. Any amounts so restricted shall not be expended unless and until such restriction is released. 4.2. Overexpenditure of Funds Approved by the Joint Budget Committee 4.2.1. Overexpenditures of Funds occurring when the General Assembly is not in session arising out of unforeseen circumstances may be authorized by the Joint Budget Committee.

Rule 7- 4: Common Policy Disputes 1. Authority 2. Definitions 2.1. Common Policy – A policy adopted by the Joint Budget Committee that is consistently applied for State Agencies. For many line items affected by common policy, amounts are initially appropriated in individual Principal Departments and then transferred to another Principal Department where they appear a second time as reappropriated funds.

3. Rule 3.1. Common Policy funding shall only be disputed during the budgeting process. To dispute a Common Policy appropriation or budget, the State Agency that will be making the Common Policy payments shall submit its dispute to the State Agency that will be billing for the Common Policy payments. The billing State Agency shall review the dispute and determine if it can agree to a resolution with the paying State Agency. If the State Agencies cannot agree on a resolution to the dispute, then they shall submit the dispute to the Office of the State Controller for final resolution.

Chapter 8: Reporting

Rule 8-1: Financial Statements

Rule 8-2: Quarterly Financial Reporting

Rule 8- 1: Financial Statements 1. Authority §24-30-201(1)(d), C.R.S. (State Controller Approval of Financial Statements) §24-30-204(1), C.R.S. (Financial Statement Due Date and Extension)

2. Definitions 2.1. Financial Reports – Financial information compiled periodically to assist in management decision-making or for reasons other than financial statement purposes. 2.2. GAAP – See Fiscal Rule 1-1 (Accounting Principles and Standards). 2.3. Prepared Financial Statements – Comprehensive reports prepared in accordance with GAAP.

3. Rule 3.1. State Agency or Institution of Higher Education Financial Statements. 3.1.1. Any State Agency or Institution of Higher Education that has individual audits of its prepared financial statements by the Office of the State Auditor, or a contractor of the Office of the State Auditor, shall provide draft financial statements to the Office of the State Auditor or its contractor to facilitate a timely and efficient audit. The draft financial statements shall be submitted to the Office of the State Controller based on the State Controller Fiscal Policies. 3.1.2. Prepared Financial Statements shall be reconciled to the State Financial System. A copy of this reconciliation shall be provided to the State Controller. 3.1.3. Prepared Financial Statements and reconciliations to the State Financial System shall be subject to approval by the Office of the State Controller as required by statute. 3.1.4. Financial statements prepared by a State Agency or Institution of Higher Education for formal third party reporting shall be prepared in accordance with GAAP. 3.1.5. Exhibit information required in the fiscal year-end closing instructions issued by the State Controller and any post-closing adjustments are an integral part of the financial statements and are considered part of the State Agency’s or Institution of Higher Education’s reporting requirement. 3.2. Financial Statements for the State of Colorado – The Annual Comprehensive Financial Report (ACFR) for the State of Colorado shall be prepared by the Office of the State Controller in accordance with GAAP. The ACFR shall reflect all of the financial activities of State Agencies and Institutions of Higher Education and component units. 3.3. Financial Reports – Financial Reports provided as required by statute or

regulation, or upon written request, shall be based on financial data obtained from or reconciled to the State Financial System. All State Agencies and Institutions of Higher Education shall comply with all reporting requirements contained in State Controller Fiscal Policies. 3.4. Other Reporting – State Agencies and Institutions of Higher Education shall comply with all Federal reporting requirements under Federal regulations and guidance, such as the OMB Uniform Guidance and FFATA, except to the extent that the State Agency or Institution of Higher Education is exempt from reporting under those Federal regulations and guidance.

4. Exceptions to Rule 4.1. This Fiscal Rule does not apply to Medicaid cash-basis reporting or other instances identified in a statute which specifically authorize alternate treatment.

Rule 8- 2: Quarterly Financial Reporting 1. Authority §24-30-204 (2), C.R.S. (Quarterly Report of Financial Information)

2. Definitions 2.1. Financial Reports – See Fiscal Rule 8-1 (Financial Statements).

3. Rule All State Agencies and Institutions of Higher Education shall submit quarterly financial reports as required by the State Controller. 3.1. The State Financial System shall be used to record the State's financial information and prepare the standard Financial Reports, which shall be forwarded to the State Controller in compliance with the reporting requirements of this Fiscal Rule. 3.2. The State Controller shall determine what information is reasonable and necessary to be included in the Financial Report, including the due date. 3.3. Quarterly financial reports shall be available for use by the Governor, state legislators, executive management, and their respective staffs for planning purposes and decision-making. 3.4. Each quarterly reporting period shall be regarded as an integral part of the fiscal year.

Chapter 9: Payroll

Rule 9- 1: Use of the State Payroll System

Rule 9- 2: Direct Deposit Payroll for State Employees Paid on the State Payroll System

Rule 9-3: Payroll Cycles

Rule 9- 4: Final Pay for a Terminating State Employee

Rule 9- 5: Overpayments to State Employees

Rule 9- 6: Miscellaneous Compensation

Rule 9- 7: Assignment of State-Owned Vehicles

Rule 9- 1: Use of the State Payroll System 1. Authority 2. Definitions 2.1. State Payroll System – The official payroll system for the State of Colorado as designated by the State Controller.

3. Rule All State Agencies shall use the State Payroll System to record and maintain employee payroll information and data and to pay employees, unless the State Controller has granted an exception.

Rule 9- 2: Direct Deposit Payroll for State Employees Paid on the State Payroll System 1. Authority §24-50-104(8)(a), C.R.S. (Payroll)

2. Definitions 2.1. Direct Deposit Payroll Program – A payroll program where an employee's net pay is deposited directly to the employee's legally established checking or savings account via an electronic fund transfer system. 2.2. State Payroll System – See Fiscal Rule 9-1 (Use of the State Payroll System).

3. Rule State employees paid through the State Payroll System shall be on the Direct Deposit Payroll Program, unless an exception is approved by the State Controller or delegate of the State Controller.

Rule 9- 3: Payroll Cycles 1. Authority §24-50-104(8), C.R.S., (Payroll)

2. Definitions 2.1. Biweekly Lag Payroll Cycle – Pay period is for a two-week period for work already performed, including overtime. There is a two-week lag in pay which means that an employee receive their paycheck two weeks after the end of the pay period in which the pay is earned. Employees are paid every other Friday. 2.2. Monthly Current Payroll Cycle – Pay period is the current month worked.

Employees are paid on the last working day of the month and if that day is on a Saturday or Sunday, employees are paid on Friday. If the last working day of the month is a State holiday, employees are paid on the preceding Business Day. There are 12 monthly payroll cycles in a calendar year. 2.3. Time and Leave System – A system that provides for the entry of time and leave for both the Biweekly Lag Payroll Cycle and the Monthly Current Payroll Cycle. 2.4. State Payroll System – See Fiscal Rule 9-1 (Use of State Payroll System).

3. Rule 3.1. State employees who are paid by the State Payroll System shall be paid either on a Biweekly Lag Payroll Cycle or on a Monthly Current Payroll Cycle. 3.2. With the exception of employees on a schedule subject to Section 7(k) of the Fair Labor Standards Act: 3.2.1. All hires new to the State of Colorado shall be set up on a Biweekly Lag Payroll Cycle. 3.2.2. All transfers may be set up on a Biweekly Lag Payroll Cycle. 3.2.3. All current agency employees paid on a monthly pay cycle shall have the choice to be paid on a Biweekly Lag Payroll Cycle starting in July 2023. Employees shall continue to have this choice after July 2023. 3.3. Each agency may set certain times during the year when employees may move to a Biweekly Lag Payroll Cycle and the number of employees that can change during that time. 3.4. Each agency may determine the period for the monthly pay cycle in the timing of moving employees from Monthly and Biweekly Lag Payroll Cycle including having a shorter monthly period in the transition period. 3.5. Employee’s choice to move from a Monthly Payroll Cycle to a Biweekly Lag Payroll Cycle is a one-way choice, meaning that the employee cannot request to move back to a Monthly Payroll Cycle.

4. Transition 4.1. Timeline 4.1.1. Overall - Each agency shall develop a timeline for when employees can begin moving to a Biweekly Lag Payroll Cycle. 4.1.2. Pay Period – Each agency shall develop a timeline for the time between when an employee submits a request to move to Biweekly Lag Payroll and the time of the beginning of the pay period that the employee will be paid on a Biweekly Lag Payroll Cycle. 4.2. Considerations for Determining the Overall and Pay Period Timelines include the following: 4.2.1. The agency’s capabilities to administer the requests 4.2.2. Staffing and workload considerations 4.2.3. Budgetary implications including overexpenditures 4.3. Approval - Each agency’s executive director shall approve the Overall and Pay Period timelines after considering the factors in §4.2 and consulting with the agency controller, budget director, HR director, and labor relations team. 4.4. The timeline must be reasonable.

Rule 9- 4: Final Pay for a Terminating State Employee 1. Authority §24-50-104(8)(a), C.R.S. (Payment of Salaries)

2. Rule Final pay shall be available to terminating State employees as follows: 2.1. When a State employee terminates employment with the State, with or without giving notice, final payment shall be made no later than the employee’s next regular pay day, unless the payroll is already processing for that pay day, in which event it shall be made no later than the following regular payday; 2.2. When a State Agency or Institution of Higher Education terminates a State employee, final payment shall be made within three business days of the date of termination. The 24-hour pay provision of §8-4-109, C.R.S., does not apply to public sector employees; 2.3. Subject to any requirements imposed by the Fair Labor Standards Act, a State Agency or Institution of Higher Education shall deduct any amounts a State employee owes the State from that employee’s final pay; See State Controller Payroll Procedure for Final Pay for a Terminating State Employee. A State employee shall return any State laptop, tablet, cellphone or other electronic devices to the State Agency or Institution of Higher Education within one business day of the date of termination. If the employee refuses, the State Agency may pursue any applicable remedies to recover the equipment or value of the equipment not returned; 2.4. The state shall comply with the Fair Labor Standards Act (FLSA) for the final pay. Any outstanding balance owed by the state employee for any debts or the fair market value of equipment owed back to the state after the final pay shall be subject to the collections process. Per the FLSA, agencies may deduct for non-exempt employees, however they cannot for exempt employees.

Rule 9- 5: Overpayments to State Employees 1. Authority §8-4-105 C.R.S. (Payroll deductions permitted – Notice Required) §24-50-104(9)(a), C.R.S. (Liability for Overpayments to State Employees) §8-13.3-516. FAMLI Benefits and Employer-provided Paid Leave 2. Definitions 2.1. Overpayment – An overpayment is any payment that results from overstating the rate of pay, overstating the hours worked, understating the employee deductions, or any other payments to which the employee is not entitled.

3. Rule 3.1. If a State employee is paid more than the amount due, provisions shall be made for the repayment of the Overpayment. 3.2. Agencies shall collect Overpayments using the following processes: 3.2.1. Active employees where the overpayment can be collected on the next paycheck – Agencies shall be deduct the Overpayment from the employee's next paycheck. 3.2.2. Active employees where the overpayment cannot be collected on the next paycheck and is collected using a repayment schedule – Agencies shall collect the Overpayment using a repayment schedule extending over a period of time. The Chief Executive Officer of the State Agency, or a delegate of that individual, shall establish a repayment schedule based on the particular facts involved in each case. Any repayment schedule extending for more than six months shall be subject to approval by the State Controller.

To avoid issuance of form W-2c, agencies shall complete the repayment in the same calendar year as the overpayment. 3.2.3. Terminated employees who no longer work for the State and who send the State a check for the amount of the Overpayment – Agencies shall complete the Overpayment form and calculation and send to Central Payroll for processing. Agencies shall create an accounting transaction (ITI) in the State Financial System for Central Payroll to process the overpayment and approve the ITI.

The terminated employee’s pay will be adjusted in the State Payroll System to reflect repayment of the Overpayment. Agencies shall include a form W-2c with the Overpayment form if the payment crosses calendar years. Agencies may follow this process for employees who were out on leave without pay, short-term disability, injury, FML and related leave and who return to work. 3.2.4. Terminated employees who no longer work for the State and who do not send the State a check for the amount of the Overpayment – Agencies shall develop a process to record a receivable in the State Financial System, and shall not submit an Overpayment form to Central Payroll. The terminated employee’s pay will not be adjusted in the State Payroll System. The unpaid amount will remain as a receivable in the State Financial System until an agency collects or sets up a debt allowance and obtains approval to forgive the debt (see Fiscal Rule 10-1). 3.2.5. Terminated employees who no longer work for the State and agree to a settlement agreement with the State - Agencies shall reduce the amount of the settlement payment by the amount of any overpayment to the claimant. 3.3. To avoid adjustments in various tax forms, agencies shall process overpayments no later than three months after an employee is terminated 3.4. A State employee's maximum liability for repayment of a payroll-related Overpayment shall be limited to the total amount of the overpayment in the present calendar year plus the total amount of any Overpayment in the three prior calendar years. A State employee's maximum liability for repayment of a non-payroll-related Overpayment shall be limited to the total amount of the Overpayment in the present fiscal year plus the total amount of any Overpayment in the three prior fiscal years. 3.5. If an employee receives an overpayment that is not repaid and terminates employment with the State and then rejoins the State as an employee, the State may collect any overpayments from the employee’s pay in accordance with §3.4. 3.6. Any amount that an employee of a State Agency has not repaid in accordance with this rule is subject to Fiscal Rule 10-1 (Collections of Debt Due to the State). Any amount that an employee of an Institution of Higher Education has not repaid in accordance with this Fiscal Rule is subject to the accounts receivable policies of that Institution of Higher 3.7. To avoid overpayments, agencies shall have a policy to accurately and timely: 3.7.1. Record and review employees’ time, 3.7.2. Record changes in employee status (active, terminated) in the State Payroll System, and 3.7.3. Set up adjustments to pay in the State Payroll System.

Rule 9- 6: Miscellaneous Compensation 1. Authority 2. Definitions 2.1. Honorarium – the payment of cash or a cash equivalent in recognition of services provided for no or a nominal charge.

3. Rule 3.1. State officials and State employees may be asked to address an audience for which they receive an Honorarium. If the State Official or employee does so, the State Official or employee may retain the Honorarium. Any travel expenses related to the engagement will qualify for reimbursement by the State if the engagement occurs during normal working hours, or within the State Official’s or employee’s normal workload

Rule 9- 7: Assignment of State-Owned Vehicles 1. Authority §24-30-1112, C.R.S. (Permanent Assignment of Vehicles) §24-30-1113. C.R.S. (Assignment of Vehicles to State Agency Officers or Employees)

Internal Revenue Service Publication 15-B (Employer’s Tax Guide to Fringe Benefits)

Internal Revenue Service Publication 5137 (Fringe Benefit Guide, Office of Federal State and Local Governments)

2. Definitions 2.1. Eligibility – The State employee meets the eligibility requirements for assignment of a State vehicle as provided in this Fiscal Rule. 2.2. State Business – See Fiscal Rule 5-1 (Travel). 2.3. State Fleet – State Fleet Management, in the Division of Central Services, Department of Personnel & Administration. 2.4. Taxability – The use of the State-assigned vehicle may be either taxable or non-taxable, depending on the facts and circumstances. 2.5. Technical Guidance – Technical guidance on the Taxability of Stateassigned vehicles prepared by the Office of the State Controller and based on the Internal Revenue Code and its implementing regulations. 2.6. Transportation – See Fiscal Rule 5-1 (Travel).

3. Rule State Agencies and Institutions of Higher Education shall comply with Eligibility requirements for assigning State-owned vehicles. If a State employee does not meet the Eligibility requirements, the State Agency shall not assign a Stateowned vehicle to that employee.

State Agencies shall comply with the Taxability of assignment of State-owned vehicles included in the Technical Guidance and the Internal Revenue Code and its implementing regulations.

State Agencies shall submit annual documentation of compliance with both Eligibility requirements and Taxability requirements for assignment of stateowned vehicles. 3.1. Eligibility for Assignment of State-owned vehicles 3.1.1. A State employee must meet all of the following conditions to be eligible for assignment of a State-owned vehicle: 3.1.1.1. Assignment of the vehicle is necessary to conduct official and legitimate State Business, defined in Fiscal Rule 5-1 (Travel); 3.1.1.2. Assignment of the vehicle satisfies at least one of the following requirements: 3.1.1.2.1. The vehicle meets the Internal Revenue Service definition of qualified nonpersonal use in 26 CFR 1.274-5(k);or 3.1.1.2.2. The assignment of the vehicle is the most costefficient means of Transportation, as defined in 3.2. Responsibilities of State Agencies 3.2.1. A Chief Executive Officer or designee of a State Agency shall authorize the assignment of a State vehicle to a State employee of that State Agency. 3.2.2. Each State Agency shall maintain documentation of the assignment of the State vehicle, including the Chief Executive Officer’s justification for authorizing the assignment of the vehicle. 3.2.3. Each year, on or before October 1, the Chief Executive Officer of a State Agency, or a designee of that individual, shall review each assignment of a vehicle to ensure the assignment complies with the Eligibility requirements in this Fiscal Rule, the Taxability requirements in the Technical Guidance, and the Internal Revenue Code and its implementing regulations. Each State Agency shall send this information to the Office of the State Controller and to State Fleet. 3.3. Responsibilities of the Department of Personnel & Administration (DPA) 3.3.1. The Office of the State Controller and State Fleet shall review the information submitted by the State Agencies and Institutions of Higher Education for the initial application and for subsequent annual renewals. The Office of the State Controller and State Fleet shall: 3.3.1.1. Verify that the assignment of the vehicles complies with the Eligibility requirements of State vehicles; and 3.3.1.2. Verify that the Taxability complies with the Technical Guidance and the Internal Revenue Code and its implementing regulations. 3.3.2. If the verification process establishes that the assignment of a vehicle no longer complies with the Eligibility requirements of State vehicles, then DPA shall revoke the assignment of the vehicle. 3.4. Cost Analysis 3.4.1. State Fleet has developed a spreadsheet for State Agencies to evaluate whether use of State vehicles or the use of the employee’s personal vehicle is the most cost efficient means of Transportation. 3.4.2. State Agencies shall submit this spreadsheet with the initial application and annual reviews to the Office of the State Controller and State Fleet. 3.5. Taxability of State-Assigned Vehicles 3.5.1. Any Elective Officer or State employee who is assigned a Stateowned vehicle because it is the most cost-efficient means of Transportation receives a taxable fringe benefit and the State Agency shall include the value of this fringe benefit in the income of the Elective Officer or State employee. 3.5.2. The Technical Guidance the Office of the State Controller should be followed by all State Agencies, branches of government, and Institutions of Higher Education. Principal Departments shall follow policies on State-Assigned Vehicles issued by State Fleet and the Office of the State Controller.

Chapter 10: Collections

Rule 10-1: Collection of Debts Due to the State

Rule 10-1: Collection of Debts Due to the State 1. Authority §5-16-105, et.seq, C.R.S. (Colorado Fair Debt Collections Practices Act) §24-30-202, C.R.S (Collection of State Moneys) §24-30-202.4 (Collection of Debts Due the State)

2. Definitions 2.1. Class of Debt – Debt with similar characteristics; classification varies by State Agency. 2.2. Commission – A percentage of the debt balance owed or set amount that may be paid to a Private Collection Agency upon collecting the debt. 2.3. Debt – Any amount of money owed to the state that is past due. 2.4. Fees, Fines and Charges – Amounts that may be added to principal as authorized by statute. 2.5. Interest - Interest may be added as authorized by statute. 2.6. Price Agreement – See Fiscal Rule 3-3 (State Contracts) 2.7. Private Collection Agency (PCA) – A licensed 3rd party contractor authorized to collect on State debt in accordance with the Colorado Fair Debt Collections Practices Act. 2.8. Private Counsel – A licensed 3rd party attorney that is authorized to negotiate and commence legal action for the collection of debt. 2.9. Vendor Offset (See §24-30-202.4, C.R.S.)

3. Rule 3.1. State Agencies shall follow this Fiscal Rule when collecting debts due to the State.

4. State Agency Accounts Receivable Collections Plan State Agencies shall submit the following to the Office of the State Controller by November 1 of each year: 4.1. Collections Plan including significant classes of debt with a description of the characteristics of the debt along with the collection method for each class, notifications procedures for each class, and rationale for that determination; and 4.2. Report, by class of debt, the receivable balance of individual debts, past due balance, and the change in the past due debt balances for the chosen collection method for the preceding fiscal year.

5. Methods of Collecting Debt Due to the State 5.1. Debt may be collected by the following processes: 5.1.1. Internally (by the State Agency) 5.1.2. Utilizing a PCA 5.1.2.1. State Agencies may use one or more licensed PCAs to collect debt that are included in the State Price Agreements. 5.1.2.2. State Agencies shall add the PCA’s commission to the debt collected by the PCA. The commission shall not exceed 18% of the debt collected, or 25% when a Private Counsel is utilized. The PCA shall retain the commission and remit the balance to the State Agency. The remittance shall be the net amount of the debt collected, not the gross amount. 5.1.2.3. State Agencies shall refer to the Fiscal Procedures Manual for accounting for collections using PCAs; and 5.1.2.4. State Agencies shall send debt to PCAs that has been outstanding for 6 years or less, and not debt that has been outstanding for more than 6 years so the PCAs will be in compliance with the Colorado Fair Debt Collections Practices Act. 5.1.3. State tax offset through the Colorado Department of Revenue; 5.1.4. Federal tax offset using the Bureau of the Fiscal Service, Treasury Offset Program (TOP); 5.1.5. Vendor Offset using the OSC’s Central Accounting and Vendor Operations Unit; and 5.1.6. Other means of collection approved by the State Controller.

6. Rule 6.1. State Agencies shall collect debt owed to them in accordance with this Fiscal Rule.

7. Debt Allowance 7.1. State Agencies shall follow the Fiscal Procedures Manual regarding debt allowance.

8. Debt Forgiveness 8.1. Debt may be forgiven by a written request to the Office of the State 8.1.1. Certain debt is not eligible for forgiveness such as bankruptcy, deceased debtors, and certain student loans. 8.1.2. The State Controller shall approve the request, notify the Agency that more information is needed, or disapprove the request. If the State Controller approves the request, the State Controller shall submit the request to the State Treasurer for review. 8.2. Considerations for Forgiveness - The State Controller and the State Treasurer shall use the following considerations when evaluating a debt forgiveness request: 8.2.1. The amount of the debt; 8.2.2. The age and activity of the debt. Forgiveness consideration if the debt is 6 years or greater in age and there has been no (payment) activity, offset or any legal action on the account for 3 years; 8.2.3. The information available on the debt. Forgiveness consideration if information on the debtor is not available, such as full name, social security number, and address; and 8.2.4. The level of effort to collect within available resources. Forgiveness consideration if the State Agency has demonstrated an attempt to collect the debt without success and the estimated cost of collection exceeds the amount of the debt.

9. Exceptions to Rule This Fiscal Rule does not apply to Institutions of Higher Education and any statutorily exempted collection activities.

Editor’s Notes

History

Chapter 5 eff. 09/30/2007.

Rules 2-2, 3-1 eff. 01/01/2009.

Rule 5-1 eff. 08/01/2009.

Entire rule eff. 11/01/2018.

Entire rule eff. 07/01/2022.

Entire rule eff. 07/01/2023.

Entire rule eff. 07/01/2024.

Entire rule eff. 07/01/2026.

1 CCR 101-2 RECOVERY AUDITS [Repealed eff. 10/01/2011] {#sec-1-ccr-101-2 omnilex-key=us-co-regs-official--department-14--1 CCR 101-2}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Finance and Procurement RECOVERY AUDITS - Repealed eff. 10/01/2011 1 CCR 101-2 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 03/30/2011.

Entire rule repealed eff. 10/01/2011.

Annotations The authority for 1 CCR 101-2 is CRS 24-30-203.5(4)(a), which the Legislature revised in HB 11- 1307 to delete rule making for recovery audits. Since the Legislature deleted rulemaking for recovery audits, the State Controller is revoking the rules that were issued pursuant to CRS 24-30-203.5(4)(a).

1 CCR 101-6 ACCOUNTS RECEIVABLE COLLECTIONS ADMINISTRATIVE RULE [Repealed eff. 07/15/2021] {#sec-1-ccr-101-6 omnilex-key=us-co-regs-official--department-14--1 CCR 101-6}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Finance and Procurement ACCOUNTS RECEIVABLE COLLECTIONS ADMINISTRATIVE RULE - Repealed eff. 07/15/2021 1 CCR 101-6 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History Entire rule emer. rule eff. 02/07/2012; expired 06/06/2012.

Entire rule emer. rule eff. 01/17/2013.

Entire rule repealed eff. 07/15/2021.

1 CCR 101-7 STATE EMPLOYEES AND OFFICIALS GROUP INSURANCE RULES [Repealed eff. 12/01/2008] {#sec-1-ccr-101-7 omnilex-key=us-co-regs-official--department-14--1 CCR 101-7}

DEPARTMENT OF PERSONNEL & ADMINISTRATION

Division of Finance and Procurement STATE EMPLOYEES AND OFFICIALS GROUP INSURANCE RULES - Repealed eff. 12/01/2008 1 CCR 101-7 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes Pursuant to § § 24-4-103, Adrienne Benavidez, Division Director, revoked 1 CCR 101-7 State Employees and Official Group Insurance Rules on behalf of the Department of Personnel & Administration. The

authority for 1 CCR 101-7 [CRS 10-8-205(2)] was repealed by the Legislature in 1994.

History Entire rule repealed eff. 12/01/2008.

1 CCR 101-9 Procurement Rules {#sec-1-ccr-101-9 omnilex-key=us-co-regs-official--department-14--1 CCR 101-9}

Department of Personnel and Administration PROCUREMENT RULES 1 CCR 101-9 [Editor’s Notes follow the text of the rules at the end of this CCR Document.]

ARTICLE 101 GENERAL PROVISIONS

PART 1 PURPOSES, CONSTRUCTION AND APPLICATION

R- 24-101-101 General These rules implement the provisions of the Colorado Procurement Code (section 24- 101-101, et seq., C.R.S.) referred to in these rules as the “code”, the Construction Bidding for Public Projects Act (section 24-92-101, et seq., C.R.S.), Construction Contracts with Public Entities (section 24-91-101, et seq., C.R.S.) and the Integrated Delivery Method for Public Projects Act (section 24-93-101, et seq., C.R.S.).

R- 24-101-105 Applicability These rules shall apply to all publicly funded contracts entered into by all governmental bodies of the executive branch of this state; except as otherwise specified in the code.

The procurements are further clarified as follows:

(a) For purposes of subparagraph (1)(a)(VIII) of section 24-101-105, C.R.S., “utilities” does not include telecommunications.

(b) For purposes of subparagraph (1)(a)(X) of section 24-101-105, C.R.S., “subscriptions” does not include software.

(c) For purposes of subparagraph (1)(a)(XII) of section 24-101-105, C.R.S., “clientbased services” includes supplies when supplies are provided in connection with the services being provided by the governmental body to the client.

(d) For purposes of subparagraph (1)(a)(XIII) of section 24-101-105, C.R.S., dues and memberships mean charges paid to an organization at regular intervals to belong or become a member of the organization. Any additional services offered by the organization are not included in this definition.

R- 24-101-107-01 Ethics All individuals who are involved in any aspect of the procurement process within the state of Colorado, regardless of whether they are employed by the state, shall not:

(a) Engage in or give the appearance of unethical or compromising practice in relationships, actions, and communications related to the procurement process.

(b) Solicit or accept money, loans, credits, or prejudicial discounts, and avoid the acceptance of gifts, entertainment, favors, or services from another party which might influence, or appear to influence a procurement decision.

(c) Offer money, loans, credits, prejudicial discounts, gifts, entertainment, favors, or services with the intent to influence, or in such a manner that might influence, a procurement decision.

(d) Make material misrepresentations in any communications related to a procurement process, including, but not limited to, information presented in proposals and bids.

Violation of this rule by an individual acting on behalf of the state may result in removal of the individual from the procurement process and imposition of any applicable remedies. Violation of this rule by a vendor or contractor may result in that vendor’s or contractor’s disqualification from award of any contract that was impacted by the violation, the imposition of contractual remedies under any contract, and/or remedies available in article 109 of the code.

R- 24-101-107-02 Conflicts of Interest All individuals who are involved in any aspect of the procurement process within the state of Colorado, regardless of whether they are employed by the state, shall avoid any actual or apparent, individual or organizational conflict of interest in accordance with department policies and all associated technical guidance.

PART 2 WRITTEN DETERMINATIONS

R- 24-101-201-01 Preparation and Execution Where the code or these rules require a written determination, the procurement official or his or her designee required to prepare the determination may delegate its preparation. The determination is subject to the approval of the procurement official or his or her designee.

R- 24-101-201-02 Content Each written determination shall set out sufficient facts, circumstances, and reasoning to substantiate the specific determination which is made.

R- 24-101-201-03 Supporting Information The procurement official or his or her designee responsible for the execution of a written determination may require other state personnel, including technical personnel and appropriate personnel in the using agency, to furnish, in an accurate and adequate fashion, any information pertinent to the determination.

PART 3 DEFINITIONS

R- 24-101-301 Defined Terms As used throughout these rules, words and terms defined in the code shall have the same meaning as in the code. In addition, for the purposes of these rules, the following terms shall have the meanings set forth below:

(a) “Commodity”, “goods” and “supplies” as used in these rules shall have the same meaning as “product”.

(b) “Electronic procurement systems” means database and notification systems created pursuant to section 24-102-202.5, C.R.S.

(c) “Procurement agent” as used in these rules also may include a procurement official. The procurement official has the authority to perform as the procurement agent.

(d) “Product” means anything that is produced or manufactured and that may be obtained, or needs to be obtained, by the state, either in and of itself, or in conjunction with services.

(e) “Construction project,” for purposes of rule R-24-102-202.5-02, means any procurement that meets the definition of a “public project,” as defined in section 24-92-102(8), C.R.S., or any procurement that meets the definition of “construction” as defined in section 24-101-301, C.R.S.

PART 4 PROCUREMENT RECORDS AND INFORMATION

R- 24-101-401-01 Prior to Award Following the closing time and date for the submission of solicitation responses and prior to award of a contract, the names of the bidders or offerors shall be made available for inspection, upon request. For solicitations where the award is based on the lowest bid or where price is the primary consideration, the amount of each bid or proposal shall be included with the name of the bidder or offeror. For solicitations where the award is based on factors other than the lowest bid or where price is not the primary consideration, the amount of each bid or proposal shall not be made available prior to award. In no event shall a solicitation response be made available publicly prior to award.

R- 24-101-401-02 After Award After award of a solicitation, all documentation related to the solicitation, including bidder or offeror responses, shall be open to public inspection, except to the extent the state has approved a request from a bidder or offeror to classify certain portions of the response as trade secrets or other confidential or proprietary information.

R- 24-101-401-03 Request for Confidentiality A bidder or offeror may submit, as a part of its solicitation response, a written request for classification of certain portions of the response as trade secrets or other confidential or proprietary information. Material for which confidentiality has been requested shall be readily identifiable and separable from other portions of the solicitation to facilitate public inspection of the non-confidential portion of the solicitation response. In no event shall an entire solicitation response be classified as confidential. The procurement official or his or her designee shall determine if the information identified in the request is exempt from disclosure in accordance with section 24-72-204, C.R.S., and shall inform the bidder or offeror in writing of his or her determination. If the bidder or offeror does not agree with the determination of the procurement official or his or her designee, the bidder or offeror may protest the determination in accordance with article 109 of the code.

R- 24-101-401-04 Non-Competitive Procurements The rules applicable to the disclosure of information prior to and after an award and the process for determining if certain information is exempt from disclosure in accordance with section 24-72-204, C.R.S., also shall apply to non-competitive procurements.

R- 24-101-401-05 Confidentiality regarding Cancellation of a Solicitation The reason and documentation supporting the decision to cancel any solicitation, or rejection of bids or proposals, in whole or in part, before a contract is executed shall remain confidential in accordance with section 24-103-301, C.R.S., for the lesser of six months or until the contract at issue is awarded.

PART 5 PROCUREMENT CODE WORKING GROUP

ARTICLE 102 PROCUREMENT ORGANIZATION

PART 1 EXECUTIVE DIRECTOR, DEPARTMENT OF ADMINISTRATION

PART 2 PURCHASING

R- 24-102-201 Chief Procurement Officer The chief procurement officer shall be appointed by the executive director and shall have these powers and duties through delegation from the executive director. Any powers and duties not so delegated remain with the executive director. The executive director and the chief procurement officer have the authority to perform the role of procurement official as needed.

R- 24-102-202-01 Mandatory and Permissive Price Agreements (a) “Price agreement” means a contract negotiated, managed and maintained by the department for commonly sourced supplies and services. These contracts may be used by all governmental bodies, institutions, local governments and nonprofits certified pursuant to section 24-110-207.5, C.R.S.

(b) The chief procurement officer may issue mandatory or permissive price agreements for supplies or services.

(c) Mandatory price agreements shall be used by all governmental bodies if and when the supplies or services are needed. Any governmental body desiring to purchase supplies or services of a similar nature from a source other than a mandatory price agreement must request and receive written authorization to do so from the chief procurement officer or his or her designee.

(d) Permissive price agreements may be used by all governmental bodies if the supplies or services are needed.

(e) If a governmental body does not use mandatory or permissive price agreements to obtain the covered supplies or services, the needs must be submitted for competition as provided by these rules.

R- 24-102-202-02 Purchasing Delegations Recognizing the importance of local control to meet local needs, delegation of purchasing authority is encouraged where efficient. Purchasing delegations will have limits as described in rule R-24-103-201-01, and all associated subsections. A governmental body that receives limited purchasing authority from the executive director or chief procurement officer shall be referred to as a “group I purchasing agency”, and a governmental body that receives a full purchasing delegation shall be referred to as a “group II purchasing agency”. The procurement official may further delegate his or her responsibilities in accordance with the policies of the department.

(a) Minimum criteria to receive a group I purchasing delegation shall include:

(i) a signed delegation agreement between the executive director or chief procurement officer and the procurement official of the governmental body;

(ii) successful completion by staff of training as requested by the department;

(iii) use of an electronic procurement system.

(b) Minimum criteria to receive a group II purchasing delegation shall include:

(i) a signed delegation agreement between the executive director or chief procurement officer and the procurement official of the governmental body;

(ii) demonstrated need;

(iii) demonstrated existing staff competency in state purchasing; and (iv) use of an electronic procurement system.

R- 24-102-202-03 Revocation of Purchasing Delegation If abuses to these rules by a governmental body are discovered, the chief procurement officer may revoke the purchasing authority in its entirety or modify the delegation to prevent future violations.

R- 24-102-202.5-01 Use of Electronic Procurement Systems - Goods and Services An electronic procurement system shall be the notification method for competitive solicitations for goods and services.

R- 24-102-202.5-02 Use of Electronic Procurement Systems - Notice of Construction Projects and Professional Services For all construction projects and for all procurements for professional services (as defined in section 24-30-1402(6), C.R.S.) for which competitive notification or solicitation procedures are required, a notification of the solicitation must be placed on an electronic procurement system, and the award must be posted on the same electronic procurement system.

R- 24-102-206-01 Department – Services Contracts The department will collect the data required by section 24-102-206, C.R.S. for all services contracts, including contracts for construction services.

R- 24-102-206-02 Written Notice and Post of Notice Timeline Pursuant to section 24-102-206(3), C.R.S., a governmental body shall provide written notice to the department within 30 calendar days of the receipt by the governmental body of a vendor’s notice that the vendor or the vendor’s subcontractor will perform services outside of the United States or the state. Pursuant to section 24-102-206(5), C.R.S., the department will post on the department’s official web site, for a period of six months, any written notice that a vendor provides to a governmental body within 30 calendar days of the department’s receipt of such notice.

PART 3 ORGANIZATION OF PUBLIC PROCUREMENT

PART 4 STATE PROCUREMENT RULES

PART 5 COORDINATION

ARTICLE 103 SOURCE SELECTION AND CONTRACT FORMATION

PART 2 METHODS OF SOURCE SELECTION [Not shown: R-24-103-201]

R- 24-103-201 General Rules of Source Selection The following general rules apply to all methods of source selection, unless otherwise specified. For methods of source selection for construction, see rules implementing

article 105 of the code.

R- 24-103-201-01 Purchasing Thresholds (a) Purchases of goods or services may be made without benefit of competition as follows:

(i) A governmental body without delegated purchasing authority may purchase goods or services up to a limit of $5,000;

(ii) A governmental body with delegated purchasing authority may purchase goods or services up to $50,000; and (b) Small purchases are goods and services purchases costing less than $350,000.

Goods and services up to $350,000 may be purchased using a documented quote process, described in rule R-24-103-204-01, or the methods identified in

section 24-103-201, C.R.S. The chief procurement officer may approve or deny a request from a procurement official or his or her designee to allow the purchasing agency to use a documented quote process when the estimated cost would exceed the small purchase threshold.

(c) Invitation for bids, described in rule R-24-103-202-01, request for proposals, described in rule R-24-103-203, and invitations to negotiate, described in rule R- 24-103-208-03, may be used for goods or services estimated to exceed the small purchase threshold of $350,000.

(d) Reverse auctions, described in rule R-24-103-208-01; special circumstance procurements, described in rule R-24-103-208-04; emergency procurements, described in rule R-24-103-206 and rule R-24-105-101.6; and sole source procurements, described in rule R-24-103-205 and rule R-24-105-101.5, may be used at any dollar threshold.

R- 24-103-201-02 Fair and Reasonable Price (a) Small purchases are subject to the requirement that prices paid be fair and reasonable in accordance with section 24-30-202(2), C.R.S.

(b) The individual conducting the acquisition on behalf of the state, to include the procurement official or his or her designee as required by these rules, shall use professional judgment to ensure that the state is receiving maximum value. This

rule does not preclude the option to place the solicitation on an electronic procurement system.

(c) Procurement of services greater than $50,000 must be reviewed by the procurement official or his or her designee to determine if prices or rates are fair and reasonable.

(d) If only one bid or proposal is received in response to a solicitation, an award may be made to the single bidder or offeror if the procurement official finds that the price submitted is fair and reasonable and that other prospective bidders or offerors had reasonable opportunity to respond. If the price submitted is not fair and reasonable and there is not adequate time for re-solicitation, the procurement official may enter into competitive negotiation in accordance with

rule R-24-103-208-02. If responsiveness is a requirement for award, the bid or proposal of the sole prospective bidder or offeror must be responsive before being considered for award. Otherwise, the bid must be rejected.

R- 24-103-201-03 Terminology (a) An “acceptable bid or proposal” means a bid or proposal submitted by any person in response to a solicitation, issued by the state, which is in compliance with the solicitation terms and conditions, and within the requirements of the plans and specifications described and required therein.

(b) “Advantageous” means a judgmental assessment by a governmental body of what is in the best interests of the governmental body.

(c) A “bid or proposal” means a vendor’s response, to a solicitation, also called a response or offer.

(d) A “substitute bid” means an offer submitted by any person in response to a solicitation that is not in substantial compliance with the terms and conditions and specifications of the solicitation as issued. A substitute bid is non-responsive to the requirements of the solicitation. If a substitute bid demonstrates that a different specification could be used to provide the desired or similar product or service, the procurement agent will be responsible for determining whether the alternative specification creates a justification for canceling the solicitation and re-soliciting.

R- 24-103-201-04 Content of Solicitations (a) At a minimum, a solicitation shall include the following:

(i) instructions and information to vendors concerning the bid submission requirements, including the time and closing date for submission of bids or proposals, the address of the office to which bids or proposals are to be delivered, and any other special information; and (ii) specifications or requirements which are not unduly restrictive. Brand name specifications, brand name or equal specifications, or qualified products lists shall only be used in accordance with the provisions of rules implementing article 104 of the code.

(b) The solicitation may incorporate documents by reference provided that the solicitation specifies where such documents can be obtained.

(c) Solicitations shall be conducted only by a procurement official or his or her designee.

R- 24-103-201-05 Solicitation Publication Time Except as provided under emergency procedures, described in rule R-24-103-206 and the rules implementing article 105 of the code, solicitations shall be published on an electronic procurement system as follows:

(a) Documented quotes, as described in rule R-24-103-204-01, shall be published for at least three consecutive business days.

(b) Invitations for bids, described in rule R-24-103-202-02, shall be published for at least 10 consecutive business days.

(c) Requests for proposals, described in rule R-24-103-203, and invitations to negotiate, described in rule R-24-103-208-03, shall be published for at least 30 consecutive calendar days.

(d) The intent to conduct a competitive reverse auction, described in rule R-24-103- 208-01, shall be published for at least 10 consecutive business days.

(e) When special requirements or conditions exist, the procurement official may lengthen or shorten the posting time, but in no case shall the time period be shortened to reduce competition. If a solicitation, other than a documented quote, is posted on an electronic procurement system for less than the publication time required in this rule, the procurement official shall document the reason a reduced publication period was required in the procurement record.

R- 24-103-201-06 Questions and Clarifications (a) In cases where a solicitation may require interpretation, or raises questions or concerns from potential bidders or offerors, all known potential bidders or offerors must be given an opportunity to ask questions and receive answers or clarifications.

(b) This may be accomplished by the use of a pre-bid or pre-proposal conference, a formal inquiry period, or a combination of methods. The solicitation shall state the anticipated method(s) to be used, and shall list corresponding dates, times and locations for any such opportunities.

(c) Pre-bid or pre-proposal conferences may be conducted to explain the procurement requirements. Nothing stated at the pre-bid or pre-proposal conference shall change the solicitation unless a change is made by written amendment, posted on an electronic procurement system. Pre-bid or preproposal conference attendance may be mandatory or optional, but must be stated as such in the solicitation.

(d) If responses to inquiries, regardless of the method of receiving and answering them, result in any material changes to the scope of work or otherwise affect the manner or form of response, the procurement official or his or her designee must notify all known potential bidders or offerors of any such change through modification of the solicitation.

R- 24-103-201-07 Amendments (a) Amendments to solicitations shall be identified as such and may require that the bidder or offeror acknowledge receipt of all amendments issued when submitted its bid or proposal.

(b) Amendments shall reference the portions of the solicitation it amends.

(c) Amendments shall be posted on an electronic procurement system with sufficient time to allow prospective bidders or offerors to consider them in preparing their bids or proposals. If the time set for bid or proposal opening will not permit such preparation, such time shall be increased in the amendment.

R- 24-103-201-08 Mistakes in Bids or Proposals (a) When it appears from a review of the bid or proposal that a mistake has been made, the procurement agent should request that the bidder or offeror confirm the bid or proposal.

(b) Minor informalities are matters of form rather than substance, which are evident from the bid or proposal document, or insignificant mistakes that can be waived or corrected without prejudice to other bidders or offerors; that is, the effect on price, quantity, quality, delivery, or contractual conditions is negligible. The procurement official or his or her designee may waive such informalities or allow the bidder or offeror to correct them depending on which option is in the best interest of the state.

(c) If the mistakes are clearly evident on the face of the bid or proposal document, the bid or proposal may not be withdrawn solely for this reason. Instead, the bidder or offeror may correct the mistakes to reflect the intended bid or proposal.

Examples of mistakes that may be clearly evident on the face of the bid or proposal document are typographical errors, errors in extending unit prices, mathematical errors and transposition errors.

(d) If the mistakes are attributable to an error in judgment, the bid or proposal may not be corrected.

(e) Any decision to permit or deny correction of a bid or proposal under this section shall be supported by a written determination prepared by the procurement official or his or her designee.

R- 24-103-201-09 Withdrawal of Bids or Proposals (a) Any bid or proposal may be modified or withdrawn by written notice to the appropriate purchasing agency prior to the specified bid opening date and time.

(b) The procurement official may allow a bid or proposal to be withdrawn from the appropriate purchasing agency after bid or proposal opening but prior to award provided:

(i) the bidder or offeror provides written notice including evidentiary proof that clearly and convincingly demonstrates that a mistake was made in the costs or other material matter provided or the mistake is clearly evident on the face of the bid or proposal; and (ii) the procurement official determines that it is reasonable to allow the bid or proposal to be withdrawn.

(c) A bid or proposal may not be withdrawn from the purchasing agency after award.

(d) If a bid is withdrawn in accordance with this rule, any bid surety shall be returned to the bidder or offeror in a timely manner.

R- 24-103-201-10 Timeliness of Bids or Proposals Bids or proposals received after the bid or proposal submission time shall not be opened and shall be rejected as a late response. The following exceptions may be permitted by the procurement official:

(a) If a bid or proposal is not delivered by the specified submission date and time, the bid or proposal may be accepted if it can be reasonably determined by the procurement official that:

(i) the postal service, a courier or delivery service outside of the control of the vendor was in possession of the bid or proposal at the specified submission date and time; and (ii) the bid or proposal was originally scheduled for delivery by a courier or delivery service outside the control of the vendor to the purchasing agency by the specified submission date and time; and (iii) the bid or proposal is received by the purchasing agency on the business day following the specified submission date.

(b) A bid or proposal that is in the possession of a purchasing agency’s internal distribution system at the specified opening date and time shall be deemed to be received by the purchasing agency by the specified date and time.

(c) In the event of a labor unrest (strike, work slowdown, etc.) which may affect mail delivery, the executive director or his or her designee is authorized to develop and issue emergency procedures.

(d) In those situations where the late bid or proposal was not in the control of the vendor at the time of the bid or proposal submission date and time, the procurement official shall not accept the late bid or proposal unless he or she further finds that extenuating circumstances justifying acceptance of the late bid or proposal exist and can be documented.

(e) The responsibility for ensuring that the bid or proposal is received on time rests with the vendor, and the reasonably foreseeable problems inherent in the delivery of bids or proposals (e.g. slow messengers, slow mail service, weather, bad directions, mechanical failures, traffic, etc.) are not extraordinary circumstances permitting acceptance of late bids or proposals.

R- 24-103-201-11 Bid or Proposal Submissions (a) Telephone bids from vendors will not be accepted, except for small purchases allowed in section 24-103-204, C.R.S., and emergency procurements under

section 24-103-206, C.R.S., or when the procurement official makes a written determination that market conditions are of such nature that it is in the best interest of the state to solicit telephone bids.

(b) Bids or proposals may be submitted electronically via an electronic procurement system when the terms of the solicitation permit electronic submission.

(c) Bids or proposals may be submitted electronically via means other than an electronic procurement system only if the solicitation permits electronic submission and the method of submission is approved by the department.

(d) Bids or proposal shall allow for a minimum of 180 calendar days for acceptance by the state, unless otherwise specified in the solicitation. The procurement agent may require that bidders or offerors extend the time for acceptance by the state, provided that no other change is permitted.

(e) Bids or proposals that do not comply with rules R-24-103-201-01 through R-24- 103-201-11 will be rejected.

R- 24-103-201-12 Alternate Bids or Offers (a) An alternate bid or proposal means an offer or response submitted in response to a solicitation issued by the state that is in essential compliance with the solicitation terms and conditions but offers an alternate that does not significantly deviate from the required specifications contained in the solicitation. The procurement agent would be responsible for determining whether an alternate bid or proposal is acceptable.

(b) A solicitation may prohibit multiple or alternate bids or proposals. When prohibited the multiple or alternate bids or proposals shall be rejected although a clearly identified base bid or proposal will be considered for award as though it were the only bid or proposal submitted by the bidder or offeror. A solicitation shall specify if multiple or alternate bids or proposals will be allowed and how they will be treated.

(c) Any bid or proposal which is conditioned upon receiving an award under both the particular solicitation for which the bid or proposal is made and another state solicitation shall be deemed nonresponsive and unacceptable.

R- 24-103-201-13 Opening and Recording of Bids and Proposals (a) Upon receipt, all bids and proposals shall be recorded to reflect the date and time they were received by the purchasing agency, but shall not be opened.

(b) Bids and proposals shall be opened publicly, in the presence of one or more witnesses, at the time and place designated in the solicitation. A register of bids and proposals shall be prepared which shall include the name of each bidder or offeror that responded.

(c) The procurement agent shall examine the bids to determine the validity of any requests for nondisclosure of trade secrets and other proprietary data identified in writing in accordance with rules R-24-101-401-01 through R-24-101-401-05.

(d) Documented quotes, described in rule R-24-103-204-01, do not require a public opening and may be opened upon receipt. However, a register of responses shall be prepared.

R- 24-103-201-14 Discussions When permitted by the solicitation type, discussions may be held with bidders or offerors for purposes of clarification.

(a) Bids or proposals may be initially classified as:

(i) acceptable;

(ii) potentially acceptable, that is, reasonable susceptible of being made acceptable; or (iii) unacceptable.

(b) Bidders or offerors shall be accorded fair and equitable treatment. In conducting discussions, auction techniques (except for reverse auctions described in rule R- 24-103-208-01) or disclosure of any information derived from responses submitted by competing bidders or offerors is prohibited.

R- 24-103-201-15 Evaluation and Award (a) Each method of source selection shall have a process for evaluation of bids and proposals as determined by the procurement official or his or her designee.

Specific requirements for evaluation, if any, are addressed in these rules.

(b) An award indicates the state’s selection of a bid(s) or proposal(s) to receive a contract. However, an award does not mean that a contract has been executed.

(c) No property interest of any nature shall accrue until the awarded contract is approved in accordance with section 24-30-202(2), C.R.S.

R- 24-103-201-16 Procurement Records The purchasing agency administering the procurement shall maintain a record of the procurement in accordance with department policies and all associated technical guidance.

R- 24-103-201.5-01 Market Research In addition to requests for information, other sources of market research include, but are not limited to:

(a) Other governmental bodies;

(b) Industry data;

(c) Purchasing networks;

(d) Academic institutions;

(e) Professional associations;

(f) Organizations that gather and analyze research data about business trends; and (g) Internet and database searches.

R- 24-103-201.5-02 Formal Market Research Formal market research is based on a defined need and may be derived from multiple sources. The findings resulting from formal market research should be summarized in a manner that preserves the information and protects any confidential information. Formal market research is encouraged for complex procurements.

R- 24-103-201.5-03 Information Technology Projects Due to the complexity of information technology projects and the emerging technology industry, formal market research is required for major information technology projects pursuant to section 24-37-302(1)(a.5), C.R.S., to ensure that the state is including the most appropriate information technology requirements in its solicitations.

R- 24-103-201.5-04 Valid Procurement Need Solicitations should only be issued when there is a valid procurement need. Solicitations should not be issued to obtain estimates or to “test the water.” A governmental body should use market research as a means to gain information when the procurement need is being assessed.

R- 24-103-202-01 Invitation for Bids A contract may be awarded by an invitation for bids. Unless otherwise specified, the general rules under rule R-24-103-201 shall apply to invitations for bids.

R- 24-103-202-02 Bid Evaluation and Award (a) Following determination of acceptability of goods or services, bids shall be evaluated to determine which bidder offers the lowest cost to the state in accordance with specifications.

(b) Discussions with bidders are permitted only if there has been a mistake in bids in accordance with rule R-24-103-201-08.

(c) In the event an evaluation based on value analysis or other cost formulas will be used, this information shall be set forth in the invitation for bids.

(d) A contract may not be awarded to a bidder submitting a higher quality item than that designated in the invitation for bids unless such bidder is also the lowest bidder as determined by value analysis or life cycle cost formulas as permitted in

section 24-103-202, C.R.S., and this rule.

(e) The provisions of section 24-103-904, C.R.S., which require a preference for environmentally preferable products apply to the award of contracts under this

rule.

(f) The contract shall be awarded to the lowest responsible and responsive bidder whose bid meets the requirements and criteria set forth in the invitation for bids.

R- 24-103-202-03 Multi-Step Invitation for Bids A contract may be awarded by a multi-step invitation for bids. Unless otherwise specified, the general rules under rule R-24-103-201 shall apply to multi-step invitations for bids.

(a) A multi-step invitation for bids is a two-phase process consisting of a technical first phase of one or more steps in which bidders submit un-priced technical bids to be evaluated by the state. Those bidders whose technical bids are determined to be acceptable during the first phase will be eligible to participate in the pricing second phase. The price bids of eligible bidders will be opened and considered during the second phase.

(b) The solicitation for a multi-step invitation for bids may require all bidders to submit both the technical bid and the price bid prior to the solicitation closing date. In the alternative, the solicitation may require all bidders to submit the technical bid prior to the solicitation pricing date. Only those bidders whose technical bids are determined to be acceptable will be asked to submit price bids.

(c) The multi-step invitation for bids method may be used when it is not practical to prepare a definitive description of the items being purchased, which would be sufficient to permit an award based on price.

R- 24-103-202.3 Invitation for Best Value Bids A contract may be awarded by an invitation for best value bids. Unless otherwise specified, the general rules under rule R-24-103-201 shall apply to invitations for best value bids.

R- 24-103-202.3-01 Definitions For purposes of section 24-103-202.3, C.R.S., and rules R-24-103-202.3 through R-24- 103-202.3-03, the following definitions apply.

(a) “Base bid” means the minimum functional requirements set forth in the bid, as issued by the state.

(b) “Enhancements” means components, services, or products that exceed the minimum functional requirements and would improve the quality of the products or services being procured by the state.

(c) “Options” means choices of additional components, services, or products that would provide increased value to the state beyond the base bid.

(d) “Alternatives” means a different product or service that meets or exceeds the functional requirements of the base bid.

(e) “Best value” means the lowest overall cost to the state after taking into consideration costs, benefits, and savings.

R- 24-103-202.3-02 Evaluation (a) Bids shall be evaluated against the minimum functional requirements in the base bid. All bids meeting these requirements shall be determined to be responsive.

(b) The invitation for best value bids shall expressly allow for enhancements, options, and/or alternatives to include pricing. The invitation for best value bid shall set forth the criteria or formula to be used for evaluation. The criteria or formula for evaluation must include objective consideration of the costs and savings and/or benefits associated with the enhancements, options, or alternatives.

R- 24-103-202.3-03 Award Based on the evaluation of the cost of the base bid, the dollar value of enhancements, options, or alternatives, and the determination of which enhancements, options, or alternatives best meet the needs of the state, an award shall be made to the bidder whose bid meets the minimum functional requirements in the base bid and provides the best value to the state.

R- 24-103-203 Request for Proposals A contract may be awarded by a request for proposals. Unless otherwise specified, the general rules under rule R-24-103-201 shall apply to requests for proposals. A request for proposals is intended to solicit proposals from potential vendors to determine the best method for achieving a specific goal or solving a particular problem and identify responsive vendors. The state may determine which of the responsive proposals is most advantageous.

R- 24-103-203-01 Content of Request for Proposals The request for proposals must include, at a minimum, a statement of work or specifications that address the specific goals or problems that are the subject of the solicitation, proposed terms of the resulting contract, and evaluation factors.

R- 24-103-203-02 Evaluation of Proposals The request for proposals shall state all of the evaluation factors, including price. The evaluation shall be based on the evaluation factors set forth in the request for proposals. Numerical rating systems may be used. Factors not specified in the request for proposals shall not be considered. Vendors should submit their most favorable response as the initial response and not assume there will be an opportunity for discussions.

R- 24-103-203-03 Proposal Discussion with Individual Offerors after Opening (a) After proposals have been opened, discussions may be held with responsible offerors whose proposals are determined to be reasonably susceptible to be selected for award to:

(i) promote understanding of the state's requirements and the offerors’ proposals; and (ii) facilitate a contract that will be most advantageous to the state taking into consideration price and the other evaluation factors set forth in the request for proposals.

(b) Offerors shall be accorded fair and equitable treatment in discussion and revision of their proposals. The offeror may make adjustments in goods or services and in costs and/or prices. Any changes to the technical or pricing portions of the proposal, shall be confirmed in writing by the offeror(s).

R- 24-103-203-04 Award (a) Awards shall be made to the responsible offeror whose proposal is determined to be most advantageous to the state based on the evaluation factors set forth in the request for proposals.

(b) The evaluation committee established to evaluate offers shall make such determination and make a recommendation to the procurement official or his or her designee. If the procurement official or his or her designee approves the recommendation, an award shall be made in accordance with the recommendation.

R- 24-103-204 Small Purchases A contract may be awarded by small purchases procedures. Procurements shall not be artificially divided so as to constitute small purchases under this rule.

R- 24-103-204-01 Documented Quotes A contract for small purchases may be awarded by a documented quote. Unless otherwise specified, the general rules under rule R-24-103-201 shall apply to documented quotes.

(a) The deadline for submission of responses to a documented quote is flexible unless otherwise stated in the documented quote.

(b) For goods and services procurements, neither the solicitation nor the vendor’s response constitutes an offer; therefore, responsiveness at the time of receipt is not an absolute criterion. The procurement official or his or her designee may determine whether a response is acceptable and may compare the relative value of competing responses, not solely the price. “Acceptable,” for purposes of this paragraph and paragraphs (c) and (d) below, means that the good or service will meet the state’s needs and that the price is fair and reasonable. The commitment voucher constitutes an offer. The vendor may accept by performance, unless the commitment voucher expressly requires acceptance by written acknowledgment.

(c) The choice of vendor for goods and services must be based on which acceptable response is most advantageous to the state, price/cost being the primary consideration. The basis for the selection must be documented and will be final and conclusive unless determined to be arbitrary, capricious, or contrary to law.

(d) The procurement official or his or her designee may negotiate with any vendor or contractor to clarify its quote or to effect modifications that will make the quote acceptable (including curing a defective bid bond) or more advantageous to the state; provided, that the requirements in the documented quote solicitation may not be negotiated. During the negotiation process, the terms of a vendor’s quote shall not be revealed to a competing vendor. All quotes shall be kept confidential until an award is made on an electronic procurement system.

R- 24-103-205 Sole Source Procurements Contracts may be awarded by use of a sole source procurement only if the following conditions are met:

(a) A sole source procurement is justified when there is only one good or service that can reasonably meet the need and there is only one vendor who can provide the good or service. A requirement for a particular proprietary item (i.e., a brand name specification) does not justify a sole source procurement if there is more than one potential bidder or offeror for that item.

(b) The procurement official or his or her designee shall make a written determination that a procurement is sole source, setting forth the reasons. In cases of reasonable doubt, competition should be solicited. Any request by a using agency that a procurement be restricted to one potential contractor shall be accompanied by an explanation as to why no other contractors will be suitable or acceptable to meet the need.

(c) When a sole source procurement is authorized, the procurement official or his or her designee shall conduct negotiations, as appropriate, as to price, delivery, and terms.

(d) When applicable, the procurement official or his or designee shall publish a notice of the sole source on an electronic procurement system for not less than three business days in accordance with section 24-106-103(5), C.R.S.

R- 24-103-206 Emergency Procurements A contract may be awarded by an emergency procurement when an emergency condition arises.

R- 24-103-206-01 Definition of Emergency Conditions An emergency condition is a situation which creates a threat to public health, welfare, or safety such as may arise by reason of floods, epidemics, riots, equipment failures, or such other reason as may be identified by the using agency and approved by the procurement official or his or her designee. In the event that emergency controlled maintenance funding is requested, the office of the state architect shall also be notified by the next business day. The existence of such condition creates an immediate and serious need for supplies, services, or construction that cannot be met through normal procurement methods and the lack of which would seriously threaten the:

(a) functioning of state government, or its programs;

(b) preservation or protection of property; or (c) health or safety of any person or persons.

R- 24-103-206-02 Scope of Emergency Procurements Emergency procurements shall be limited to supplies, services, or construction items in such quantities as are necessary to meet the emergency.

R- 24-103-206-03 Authority to Make Emergency Procurements Any governmental body may make emergency procurements when an emergency condition arises and the need cannot be met through normal procurement methods; provided, that whenever practical, approval by the procurement official or his or her designee shall be obtained prior to the procurement. In the event an emergency arises after normal business hours, the governmental body shall notify the procurement official or his or her designee on the next business day.

R- 24-103-206-04 Source Selection Methods (a) The procedure used shall be selected to assure that the required supplies, services, or construction items are procured in time to meet the emergency.

Given this constraint, such competition as is practicable shall be obtained.

(b) The procurement official or his or her designee shall make a written determination stating the basis for an emergency procurement and for the selection of the particular contractor or contractors. If approval from the procurement official or his or her designee is not provided prior to the procurement, the written determination shall be made by the individual involved in making the selection of the contractor or contractors on behalf of the state.

Such determination shall be sent promptly to the procurement official or his or her designee.

R- 24-103-208 Other Procurement Methods In addition to the methods of procurement identified in section 24-103-201, C.R.S., the following other procurement methods are allowed:

(a) Competitive reverse auctions;

(b) Competitive negotiation;

(c) Invitation to negotiate; and (d) Special circumstance procurement.

R- 24-103-208-01 Competitive Reverse Auctions Contracts for goods and services may be awarded by competitive reverse auctions if the procurement official determines that adequate competition, as defined in rule R-24- 103-403-01, can be achieved and that the process is likely to result in better pricing.

Unless otherwise specified, the general rules under rule R-24-103-201 shall apply to competitive reverse auctions. Competitive reverse auction means a bidding process through which a pre-established group of vendors may post bids for a defined period of time and change their bids as desired during the bidding period.

(a) An electronic procurement system notice shall include all terms, conditions, and specifications and provide instruction for participating in the process. If the procurement official believes that an electronic procurement system is not likely to yield adequate competition, the purchasing agency may notify potential vendors through additional methods.

(b) All responsible vendors willing to accept the terms and conditions of the procurement and to meet the specifications of the bid shall be eligible to participate. The purchasing agency may conduct a preliminary evaluation to determine vendor responsibility and to ensure the vendor’s responsiveness to terms and specifications.

(c) During the bidding process, the participating vendors shall be identified only by a letter, number, or other symbol to protect their identities. Each bid price and the letter, number, or symbol designation of the vendor shall be made available to all bidding vendors immediately upon receipt by the purchasing agency.

(d) The contract shall be awarded to the lowest responsible bidder whose bid meets the requirements and specifications.

R- 24-103-208-02 Competitive Negotiation Contracts may be awarded by competitive negotiation.

(a) After an unsuccessful solicitation process, a contract may be awarded by competitive negotiation if the procurement official determines that time does not permit re-solicitation.

(b) A solicitation process is unsuccessful if (1) all offers received are unreasonable or not individually competed; (2) the low bid exceeds available funds; (3) the solicitation has been properly cancelled in accordance with the provisions of

section 24-103-301, C.R.S., or part 5 of article 109 of the code (except sections 24-109-503 and 24-109-504, C.R.S., which require prior approval from executive director or his or her designee); or (4) the number of responsive offers is not adequate to ensure adequate competition.

(c) The competitive negotiation process shall include all vendors who responded to the solicitation or any rebid and may include other vendors capable of fulfilling the state’s needs.

(d) The purchasing agency may set reasonable times and locations for participation in the competitive negotiation, reflecting the fact that time constraints are the

basis for the competitive negotiation process.

(e) Each vendor with whom the purchasing agency negotiates shall be given a fair and equitable chance to compete. Negotiations shall be conducted separately and independently with each vendor. In no case shall the terms of any vendor’s offer be communicated to any other vendor until an intent to award notice has been issued. Any change in requirements shall be communicated to all vendors participating in the competitive negotiation.

(f) A vendor may be eliminated from the process upon a determination that its offer is not reasonably susceptible of being selected for award.

(g) The award shall be made to the vendor whose offer is most advantageous to the state, taking into consideration the price and the evaluation factors set forth in the solicitation. The procurement official shall make a written determination that identifies the nature of the discussions with each vendor and that states why the selected offer is the most advantageous to the state.

R- 24-103-208-03 Invitation to Negotiate Contracts may be awarded by an invitation to negotiate. Unless otherwise specified, the general rules under rule R-24-103-201 shall apply to invitations to negotiate. The invitation to negotiate is intended to solicit responses from potential vendors to determine the best method for achieving a specific goal or solving a particular problem to identify one or more responsive vendors with which the state may negotiate to determine the response that is most advantageous.

(a) The invitation to negotiate must include, at a minimum, a statement of work or specifications that address the specific goals or problems that are the subject of the solicitation, proposed terms of the resulting contract, and evaluation factors.

The invitation to negotiate must describe which items can be negotiated and which are non-negotiable. Anything that is identified as non-negotiable is considered mandatory and may not be waived by the state. Evaluation factors are non-negotiable.

(b) The state shall evaluate responses against all evaluation factors set forth in the invitation to negotiate. Numerical rating systems may be used. Prior to determining the competitive range of responses reasonably susceptible of award, the state, in its discretion, may hold discussions with any or all responsible vendors who submit responses for the purpose of clarification to assure understanding of the solicitation requirements and the vendor’s responses.

Vendors shall be accorded fair and equitable treatment. The evaluation, including the results of any discussions, shall result in the determination of a competitive range of responses reasonably susceptible of award.

(c) The state shall commence negotiations with those vendors whose responses are determined to be in the competitive range. The state may discontinue negotiations with a vendor if the state determines that the response is no longer reasonably susceptible of award. The purpose of negotiations is to facilitate a contract that will be most advantageous to the state, taking into consideration price and the other evaluation factors set forth in the invitation to negotiate.

(d) The committee(s) established to evaluate the responses and negotiate with vendors whose proposals are in the competitive range shall make a recommendation to the procurement official or his or her designee. If the procurement official or his or her designee approves the recommendation, an award shall be made in accordance with the recommendation.

(e) The award shall be made to the responsible vendor whose response is determined in writing to be the most advantageous to the state, taking into consideration the price and the evaluation factors set forth in the invitation to negotiate and the result of negotiations. No other factors or criteria shall be used in the evaluation.

(f) The procurement record shall contain the basis on which the award is made along with an explanation of why the award provides the best value to the state.

R- 24-103-208-04 Special Circumstance Procurement A contract may be awarded by use of a special circumstance procurement. A special circumstance exists where competition is required but procurement methods available in the code or these rules are contrary to the public interest or not advantageous to the state. In these situations, the procurement official may initiate a special circumstance procurement.

(a) Examples of special circumstance include, but are not limited to:

(i) the market for providing a good or service is limited based on specific, tangible requirements;

(ii) the market has not matured to the point of providing adequate competition, as defined in rule R-24-103-403-01; or (iii) disclosure of the requirements for the goods or services is contrary to the public interest.

(b) To qualify a procurement as a special circumstance procurement, the procurement official shall provide a written request to the chief procurement officer, stating the reasons the procurement qualifies as a special circumstance.

This request should be supported by sufficient market research and address the requirement of fair and reasonable pricing.

(c) The determination of the chief procurement officer as to whether the procurement qualifies as a special circumstance procurement shall be final.

PART 3 CANCELLATION OF SOLICITATIONS: REJECTION OF BIDS OR

PROPOSALS

R- 24-103-301 Cancellation of Solicitations and Awards The provisions of this rule shall govern the cancellation of any solicitations or other source selection methods, the rejection of bids or proposals in whole or in part, for being non-responsive or non-responsible and the cancellation of awards.

R- 24-103-301-01 Cancellation of Solicitation: Rejection of All Bids or Proposals A solicitation may be cancelled only when there are cogent and compelling reasons to believe that the cancellation of the solicitation is in the state's best interest.

(a) A solicitation may be cancelled, in whole or in part, when the procurement official determines in writing that such action is in the state's best interest. Reasons for cancelling a solicitation include, but not limited to:

(i) the state no longer requires the supplies, services, or construction;

(ii) the state no longer can reasonably expect to fund the procurement;

(iii) prices exceed available funds and it would not be appropriate to adjust quantities or qualities to come within available funds;

(iv) all responsive bids or proposals received are at clearly unreasonable prices;

(v) there is reason to believe that the bids or proposals may not have been independently arrived at in open competition, may have been collusive, or may have been submitted in bad faith;

(vi) the solicitation did not provide for consideration of all factors of significance to the state;

(vii) ambiguous or otherwise inadequate specifications were part of the solicitation; or (viii) proposed amendments to the solicitation would be of such magnitude that a new solicitation is desirable.

(b) When a solicitation is cancelled, a notice of cancellation should be sent to all persons that submitted bids or proposals.

(c) The reasons for cancellation or rejection shall be made a part of the procurement record and shall be confidential for the period of time specified in section 24-103- 301, C.R.S.

(d) When a solicitation is cancelled after bids or proposals are received, the bids or proposals which have been opened shall be retained in the procurement record, or if unopened, returned to the bidders or offerors upon request, at their expense, or otherwise disposed of.

R- 24-103-301-02 Cancellation of Award An award of a contract under a solicitation may be cancelled, in whole or in part, when the procurement official determines in writing that such action is in the state's best interest. Reasons supporting the cancellation of an award include those identified in rule R- 24-103-301-01. The cancellation of an award does not require cancellation of the solicitation. No property interest of any nature shall accrue until the awarded contract is approved in accordance with section 24-30-202(2), C.R.S.

R- 24-103-301-03 Waiver of Non-Material Mandatory Requirements in Solicitations The procurement official has the authority to waive mandatory requirements in a solicitation in the event:

(a) The procurement official has determined that the requirements are not material;

(b) The solicitation discloses that the state has reserved this right;

(c) The mandatory requirements have not been met by any of the respondents to the solicitation;

(d) The waiver does not create a disadvantage to the state;

(e) The waiver does not benefit any individual bidder or offeror; and (f) The waiver does not prejudice any non-winning bidder or offeror or potential bidder or offeror.

PART 4 QUALIFICATIONS AND DUTIES

R- 24-103-401 Responsibility of Prospective Contractors or Vendors A determination of responsibility or non-responsibility shall be governed by these rules.

R- 24-103-401-01 Standards of Responsibility (a) Factors to be considered in determining whether the standard of responsibility has been met include whether a prospective contractor or vendor:

(i) has or can obtain the appropriate financial, material, equipment, facility, personnel resources and expertise to indicate the capability to meet all contractual requirements;

(ii) has a satisfactory record of performance;

(iii) has a satisfactory record of integrity;

(iv) does not appear on any debarred lists;

(v) is qualified legally to contract with the state; and (vi) has supplied all necessary information in connection with the inquiry concerning responsibility.

(b) The prospective contractor or vendor shall supply information requested by the procurement official concerning the responsibility of such contractor. If such contractor or vendor fails to supply the requested information, the chief procurement officer or procurement official shall base the determination of responsibility upon any available information.

R- 24-103-401-02 Ability to Meet Standards The prospective contractor or vendor may demonstrate the availability of necessary financing, equipment, facilities, expertise, and personnel by submitting upon request:

(a) Evidence that such contractor possesses such necessary items;

(b) Acceptable plans to subcontract for such necessary items; or (c) A documented commitment from, or explicit arrangement with a satisfactory source to provide the necessary items.

R- 24-103-401-03 Written Determination of Non-Responsibility Required If a prospective contractor or vendor who otherwise would have been awarded a contract is found to be non-responsible, a written determination of non-responsibility setting forth the basis of the finding shall be prepared by the procurement official. A copy of the determination shall be sent promptly to the non-responsible prospective contractor or vendor. The determination shall be made part of the procurement record.

R- 24-103-402 Prequalification of Suppliers (a) The procurement official may develop pre-qualification procedures for specific solicitations.

(b) Colorado labor shall be employed on a public works project unless a waiver is allowed pursuant to section 8-17-101, C.R.S.

R- 24-103-403-01 Cost or Pricing Data Definitions (a) “Cost data” is factual information concerning the cost of labor, material, overhead, and other cost elements which are expected to be incurred or which have been actually incurred by the contractor in performing the contract.

(b) “Pricing data” is factual information concerning prices for supplies, services, or construction substantially identical to those being procured. Prices in this definition refer to offered or proposed selling prices, historical selling prices, and current selling prices of such supplies, services or construction. The definition refers to data relevant to both prime and subcontract prices.

(c) “Adequate competition” exists if a solicitation has been conducted and at least two responsible and responsive offerors have independently competed to provide the state's needed supplies or services. If the foregoing conditions are met, competition shall be presumed to be “adequate” unless the procurement official or his or her designee determines, in writing that such competition is not adequate.

R- 24-103-403-02 Requirement for Cost or Pricing Data (a) Cost data and pricing data shall not be required where the contract price is based on:

(i) adequate competition;

(ii) established catalog prices;

(iii) law or rule; or (iv) where the requirements are waived by the procurement official.

(b) Unless otherwise specified in these rules, a contractor shall submit cost or pricing data for the pricing of any contract to include sole source procurements, described in rules R-24-103-205 and R-24-105-101.5, where the total contract value is expected to exceed $150,000.

(c) Unless otherwise specified in these rules, a contractor shall submit cost data or pricing data for the pricing of any contract modification which is expected to exceed ten percent of the total contract value.

(d) The procurement official or his or her designee may request cost data or pricing data to be provided within a reasonable time and in a reasonable manner.

(e) Any disputes related to the submission of cost data or pricing data are subject to the contractor's rights in accordance with article 109 of the code.

R- 24-103-403-03 Defective Cost or Pricing Data (a) If cost data or pricing data are found to have been inaccurate, incomplete, or non-current as of the date submitted by the contractor, the state is entitled to an adjustment of the contract price to account for the defect.

(b) Judgmental errors made in good faith concerning the estimated portions of future costs or projections do not constitute defective data.

PART 5 TYPES OF CONTRACTS

PART 6 AUDIT OF RECORDS

PART 7 DETERMINATIONS AND REPORTS

PART 8 SET ASIDES IN STATE PROCUREMENT FOR ALL PERSONS WITH

SEVERE DISABILITIES

R- 24-103-802 Definitions All terms used in rules under this part 8 have the same meaning as defined in section 24-103-802, C.R.S. Section 24-103-802(2), C.R.S., defines “department” as the department of human services, solely for the purposes of part 8 of article 3 of the code.

R- 24-103-803-01 Nonprofit Agencies – Application A nonprofit agency seeking inclusion on the self-certified vendor list shall complete an application describing the services it is able to provide and certifying its eligibility as a self-certified vendor. The department shall make the application form available electronically and shall accept applications for consideration throughout the calendar year. Approved applications will be added the self-certified vendor list in accordance with rule R-24-103-804-01.

R- 24-103-803-02 Self-certified Vendor List – Creation The department shall update the self-certified vendor list to include newly self-certified vendors and remove vendors that have not recertified pursuant to section 24-103- 803(4), C.R.S.

R- 24-103-804-01 Services Set Aside List – Creation, Determination, and Review (a) The department shall review each application for certification as required in

section 24-103-803(2), C.R.S.

(b) The department shall identify a specific date for updating the services set aside list annually with new self-certified vendors and services, if any. As determined by the department, quarterly updates to the services set aside list may be made for new self-certified vendors or services accepted in accordance with section 24- 103-803(2), C.R.S.

R- 24-103-804-02 Services Set Aside List – Publication The department shall provide the services set aside list to the chief procurement officer, who shall make the services set aside list available to all state agencies electronically.

R- 24-103-805 Bid Process (a) If a service is not on the services set aside list, the state agency may proceed with another method of source selection as provided in the code.

(b) Prior to obtaining services through a set aside solicitation, the state agency must comply with the same requirements that must be met for services obtained through other methods of source selection as provided in the code and these rules.

(c) A state agency shall send a statement of work describing the needed services to all self-certified vendors who have indicated they can provide the service in the services set aside list.

(d) The self-certified vendors will have a minimum of three business days to respond, unless otherwise extended by the state agency. Responses from selfcertified vendors must demonstrate their ability to meet the requirements and include pricing.

(e) Responses from self-certified vendors shall be evaluated and a contract will be awarded based on which acceptable response is most advantageous to the state taking into consideration factors other than price alone.

(f) If no responses from self-certified vendors are received within the designated response time, the state agency may proceed with another method of source selection as provided in the code.

PART 9 PROCUREMENT PREFERENCES AND GOALS

R- 24-103-901 Use of Preferences The underlying purposes of this code foster effective broad-based competition within the free enterprise system and ensure the fair and equitable treatment of all persons who deal with the procurement system of the state. In furtherance of these purposes, procurement officials and procurement agents are encouraged to maximize opportunities for small businesses, minority-owned businesses, woman-owned businesses, veteran-owned businesses, and businesses that employ people with disabilities to compete for state contracts. No provision is made in the code for preferences or set asides for minority-owned or women-owned businesses.

R- 24-103-904 Definition “Costs of ownership life cycle analysis” means an accounting of the estimated total cost of ownership, including but not limited to: initial costs; operational costs; longevity; stranded utility costs; and service and disposal costs; along with an assessment of lifecycle environmental; health and energy impacts resulting from new material extraction; transportation; manufacturing; use; and disposal.

ARTICLE 104 SPECIFICATIONS

PART 2 SPECIFICATIONS

R- 24-104-202 Brand Name or Equal Specification: Conditions for Use “Brand name or equal specification” means a specification which uses one or more manufacturer's names or catalogue numbers to describe the standard of quality, performance, and other characteristics needed to meet state requirements, and which allows for the submission of equivalent products. Brand name or equal specifications may be used when it is in the best interest of the state and when the item to be procured is best described by use of such a specification.

R- 24-104-202-01 Brand Name Specifications: Conditions for Use “Brand name specification” means a specification limited to one or more items by manufacturer's names or catalogue numbers. Since use of a brand name specification is restrictive, it may be used when only the brand name or items will satisfy the state's needs. The procurement agent shall seek to identify sources from which the designated brand name or item can be obtained and shall solicit such sources to achieve whatever degree of competition is practicable.

R- 24-104-202-02 Qualified Products List: Conditions for Use “Qualified products list” means an approved list of supplies, services or construction items described by model or catalog numbers, which, prior to competitive solicitation, the state has determined will meet the applicable specification requirements. A qualified products list may be developed with the approval of the procurement official when testing or examination of the supplies or construction items prior to issuance of the solicitation is desirable or necessary to best satisfy the state's requirements.

ARTICLE 105 CONSTRUCTION CONTRACTS [Not shown: R-24-105-101]

PART 1 MANAGEMENT OF CONSTRUCTION CONTRACTING

R- 24-105-101 Selection Methods The following rules apply to state agencies and state institutions of higher education, as defined in section 24-30-1301(17) and (18), C.R.S., for all methods of source selection for construction unless otherwise exempt in accordance with sections 24-30- 1301(15)(b)(II) and (III), C.R.S., or a waiver has been granted by the office of the state architect. Additional methods of source selection in article 103 of these rules may be considered for construction if permitted through delegation and approval of the office of the state architect. However, in the event of a conflict, the rules in article 105 will govern source selection for construction. For methods of source selection for other than construction, see rules implementing article 103 of the code.

R- 24-105-101-01 Terminology (a) The following terms provide a common vocabulary for use in the context of this

rule and for general discussion concerning the construction contracting activities of the state. The methods described are not all mutually exclusive and may be combined on one project. In each project these terms may be adapted to fit the circumstances of that project. However, the procurement official should endeavor to ensure that these terms are defined adequately in the appropriate contracts, are not used in a misleading manner, and are understood by all relevant parties.

Significant deviations from the terms provided in this rule should be explicitly noted in the contract.

(b) “Prime contractor,” as used in this article means a person who has a contract with the state to build, alter, repair, improve, or demolish any public structure or building, or other public improvements of any kind on any public real property.

(c) The “single prime contractor method” of contracting is typified by one person (general contractor) contracting with the state to timely complete an entire construction project in accordance with plans and specifications provided by the state. Often these plans and specifications are prepared by a private architectural firm under contract to the state. Further, while the general contractor must take responsibility for successful completion of the project, much of the work may be performed by specialty contractors with whom the prime contractor has entered into subcontracts.

(d) In a “design-build or turnkey project,” a contractor contracts directly with the state to meet the state's requirements as described in a set of performance specifications by constructing a facility using the contractor’s plans and specifications. Design responsibility and construction responsibility both rest with the design-build contractor. This method can include instances where the designbuild contractor supplies the site as part of the package.

(e) “Construction management” is a team approach to construction. A construction manager/general contractor is a person experienced in construction that has the ability to evaluate and implement plans and specifications as they affect time, cost, and quality of construction and to coordinate the design team (consisting of architect/engineers and other consultants as may be required). The construction manager/general contractor contracts directly with sub-contractors for performance of the construction of the project and, administers change orders.

(f) “Phased design and construction” denotes a method in which construction begins when appropriate portions have been designed, but before substantial design of the entire structure has been completed. This method is also known as “fasttrack” construction.

The above defined methods of construction contracting are not to be construed as an exclusive list. Consult with the office of the state architect for approval of a construction contracting method other than a single prime contractor. In selecting the appropriate construction contracting method, consideration must be given to all appropriate and effective methods, their comparative advantages and disadvantages and how they might be adapted or combined to fulfill state requirements.

R- 24-105-101-02 Purchasing Thresholds Purchases of construction services and supplies may be made as follows:

(a) All agencies may procure construction services and supplies up to $50,000 without benefit of competition.

(b) Small purchases procedures may be used to procure services and supplies for construction projects costing less than $350,000.

(c) Invitations for bids or requests for proposals must be used to procure services and supplies for construction projects estimated to exceed the small purchase threshold of $350,000. [Not Shown: R-24-105-101-03 through R-24-105-101.3-03]

R- 24-105-101-03 Solicitation Publication Time Except as provided under emergency procedures, described in R-24-105-101.6, solicitations shall be published on an electronic procurement system as follows:

(a) Documented quotes, described in rule R-24-105-101.4, shall be published for at least three consecutive business days.

(b) Invitation for bids shall be published for at least 14 consecutive business days.

The posting time for an invitation for bids shall not be reduced to a shorter time.

(c) Requests for proposals shall be published for at least 30 consecutive calendar days. When special requirements or conditions exist, the procurement official may shorten the posting time for a request for proposal, but in no case shall the time period be shortened to reduce competition. The procurement official shall document the reason a reduced time period was necessary in the procurement record.

(d) When special requirements or conditions exist, the procurement official may lengthen the posting time.

R- 24-105-101-04 General Bidding Provisions (a) For purposes of the rules under article 105 of the code, use of the term “bid”, “bids”, “proposal” and “proposals” are interchangeable based on the solicitation method.

(b) After opening bids or proposals, the procurement official may request low bidders to extend the time during which the state may accept their bids or proposals, provided that no other change is permitted. The reasons for requesting such extension shall be documented in the procurement record.

(c) If only one responsive bid or proposal is received in response to a solicitation, an award may be made to the single bidder if the procurement official finds that the price submitted is fair and reasonable and that either other prospective bidders had reasonable opportunity to respond, or there is not adequate time for resolicitation. In the event that all bids for a construction project exceed available funds, as certified by the appropriate fiscal officer, the procurement official is authorized in accordance with section 24-103-202(7), C.R.S., in situations where time or economic considerations preclude re-solicitation of work of a reduced scope, to negotiate an adjustment of the bid price with the low responsible bidder in order to bring the bid within the amount of available funds; except that the functional specifications integral to completion of the project may not be reduced in scope, taking into account the project plan, design, and specifications and quality of materials. Otherwise, the bid must be rejected and:

(i) new bids may be solicited; or (ii) the proposed procurement may be cancelled; or (iii) if the procurement official determines in writing that the need for the construction continues but that the price of the one bid or proposal is not fair and reasonable and there is no time for re-solicitation or re-solicitation would likely be futile, the procurement may then be conducted as a sole source procurement under rule R-24-105-101.5 or an emergency procurement under rule R-24-105-101.6, as appropriate.

(d) An alternate bid or proposal means an offer or response submitted in response to a solicitation issued by the state that is in essential compliance with the solicitation terms and conditions but offers an alternate that does not significantly deviate from the required specifications contained in the solicitation. The procurement official would be responsible for determining whether an alternate bid or proposal is acceptable.

(e) A solicitation may prohibit multiple or alternate bids or proposals. When prohibited the multiple or alternate bids or proposals shall be rejected although a clearly identified base bid or proposal will be considered for award as though it were the only bid or proposal submitted by the bidder or offeror. A solicitation shall specify if multiple or alternate bids or proposals will be allowed and how they will be treated.

(f) Any bid or proposal which is conditioned upon receiving an award under both the particular solicitation for which the bid or proposal is made and another state solicitation shall be deemed nonresponsive and unacceptable.

(g) Affiliates are prohibited from submitting bids for the same contract. An “affiliate” of a bidder or offeror is any person directly or indirectly:

(i) controlling;

(ii) controlled by; or (iii) under common control with the bidder or offeror.

(h) The procurement official may determine whether a supply item or group of supply items shall be included as a part of, or procured separately from, any contract for construction.

(i) All construction bidding and contracting procedures shall utilize standard state forms, which are available on-line from the website of the office of the state architect. Any changes or modifications of the state forms, including general conditions of the contract, shall not be valid unless issued in the form of supplementary general conditions and approved by the office of the state architect.

(j) Invitations for bids or invitation for best value bids may be used for public projects that have no federal funding involved, pursuant to sections 24-92-103 and 24-92- 103.5, C.R.S.

R- 24-105-101-05 Content of Solicitations (a) The notice of the invitation for bids or request for proposals shall include the following information and statements:

(i) date, time and location of the bid opening;

(ii) project number, name and location;

(iii) project time of completion;

(iv) location where bidding documents may be obtained;

(v) deposit required, if any, for a complete set of contract documents;

(vi) preference shall be given to Colorado resident bidders and for Colorado labor as provided by law;

(vii) when the use of federal funds is involved, the rate of wages to be paid for all laborers and mechanics shall be in accordance with the applicable Davis-Bacon rates of wages for the project. Such rates will be specified in the general contract documents.

(b) Solicitations may incorporate documents by reference, provided, that the solicitation specifies where such documents can be obtained.

(c) The solicitation response shall require the acknowledgment of the receipt by the bidder or offeror of all addenda issued to the solicitation.

(d) Bidding time is the period of time between the date of the advertisement for bids and the date set for opening of bids. In each case, the bidding time shall provide bidders a reasonable time to prepare their bids.

(e) Pre-bid conferences may be conducted to explain the procurement requirements.

They shall be announced to all prospective bidders. The conference shall be held long enough after the solicitation has been issued to allow bidders to become familiar with it, but sufficiently before bid opening to allow consideration of the conference results in preparing their bids. Nothing stated at the pre-bid conference shall change the solicitation unless a change is made by written addendum as provided elsewhere in these rules and the solicitation and the notice of the pre-bid conference shall so provide.

R- 24-105-101-06 Public Notice Notice of the solicitation shall be advertised in accordance with the provisions of sections 24-70-101 through 24-70-107, C.R.S., and these rules. The notice will be advertised as described in the solicitation or in an electronic medium approved by the executive director pursuant to section 24-92-103(3), C.R.S. Publication of the notice shall occur twice, one week apart. Nothing in these rules shall prevent the procurement official from advertising or otherwise giving public notice in additional media and locations.

R- 24-105-101-07 Addenda and Clarifications (a) If addenda or clarifications result in any material changes to the scope of work or otherwise affect the manner or form of response, the procurement official or his or her designee must notify all known potential bidders.

(b) Addenda to solicitations shall be identified as such and shall require that the bidder acknowledge receipt of all amendments issued in the bidder’s response.

Each addendum shall reference the portions of the solicitation it amends.

(c) Addenda shall be posted on an electronic procurement system with sufficient time to allow prospective bidders or offerors to consider them in preparing their bids or proposals. If the time set for bid or proposal opening will not permit such preparation, such time shall be increased in the addendum.

(d) Refer to rule R-24-103-201-14, regarding discussions with bidders or offerors.

R- 24-105-101-08 Form of Submissions (a) Bidders and offerors must execute and submit bids and proposals on the form prescribed by the office of the state architect, and as specified by the solicitation.

A bid or proposal received on any other form will be unresponsive.

(b) Electronic bids or proposals shall be in accordance with rule R-24-103-201-11.

R- 24-105-101-09 Mistakes in Bids or Proposals When it appears from a review of the bid or proposal that a mistake has been made, the procurement official should request that the bidder or offeror confirm the bid or proposal and shall take such further action as may be required in rule R-24-103-201-08.

R- 24-105-101-10 Withdrawal of Bids or Proposals Any bid or proposal may be modified or withdrawn by written notice to the appropriate purchasing agency prior to the specified bid opening date and time as described in rule R- 24-103-201-09.

R- 24-105-101-11 Timeliness of Bids or Proposals Bids or proposals received after the bid or proposal opening time shall not be opened, and shall be rejected as a late response. Exceptions may be permitted by the procurement official pursuant to rule R-24-103-201-10.

R- 24-105-101-12 Alternate Bids Alternate bids shall be governed by rule R-24-103-201-12.

R- 24-105-101-13 Opening and Recording of Bids and Proposals (a) Upon receipt, all bids and proposals shall be recorded to reflect the date and time they were received by the purchasing agency, but shall not be opened.

(b) Bids and proposals shall be opened publicly, in the presence of one or more witnesses, at the time and place designated in the solicitation. A register of bids and proposals shall be prepared which shall include the name of each bidder or offeror that responded.

(c) The procurement agent shall examine the bids to determine the validity of any requests for nondisclosure of trade secrets and other proprietary data identified in writing in accordance with rules R-24-101-401-01 through R-24-101-401-05.

(d) Documented quotes, described in rule R-24-103-204-01, do not require a public opening and may be opened upon receipt. However, a register of responses shall be prepared.

R- 24-105-101-14 Bid and Proposal Evaluation and Award (a) The contract shall be awarded to the lowest responsible and responsive bidder whose bid meets the requirements and criteria set forth in the invitation for bids or request for proposals. The invitation for bids or request for proposals shall set forth the requirements and criteria which will be used to determine the acceptability of a response.

(b) Bids and proposals will be evaluated to determine which bidder or offeror offers the lowest cost to the state in accordance with the evaluation criteria set forth in the invitation for bids and request for proposals. Only objectively measurable criteria set forth in the invitation for bids or request for proposals shall be applied in determining the lowest bidder.

(c) Evaluation criteria need not be precise predictors of actual future cost, but to the extent possible such evaluation criteria shall:

(i) provide reasonable estimates based upon information the state has available concerning future use; and (ii) treat all bids equitably.

(d) A contract may not be awarded to a bidder submitting a higher quality item than that designated in the invitation for bids or request for proposals, unless such bidder is also the lowest bidder as determined by value analysis or life-cycle cost formulas as permitted in this rule.

R- 24-105-101-15 Forms All construction contracts and procedural documents shall be executed on standard state of Colorado forms available on-line on the office of the state architect website.

R- 24-105-101-16 Use of Electronic Procurement Systems - Notice of Construction Projects and Professional Services For all construction projects and for all procurements for professional services (as defined in section 24-30-1402(6), C.R.S.) for which competitive notification or solicitation procedures are required, a notification must be placed on an electronic procurement system, and the award must be posted on the same electronic procurement system.

(a) Detailed specifications need not be included in the notice, but all information must be open to public view, without password protection.

(b) Contractors and bidders need not be registered for an electronic procurement system in order to be deemed responsive.

R- 24-105-101.2-01 Multi-Step Invitation for Bids A contract may be entered into by multi-step invitation for bids. Unless otherwise specified, the general rules under rule R-24-103-202-03 shall apply to multi-step invitation for bids.

(a) The multi-step invitation for bid method will be used when it is not practical to initially prepare a definitive scope of work which will be suitable to permit an award based on price. Utilization of this method requires prior approval from the office of the state architect.

(b) The procedure for multi-step invitation for bid will be set forth in office of the state architect policies.

R- 24-105-101.3-01 Invitation for Best Value Bids The use of invitation for best value bids shall follow the requirements in accordance with

rule R-24-103-202.3 and section 24-92-103.5, C.R.S., for construction projects.

R- 24-105-101.3-02 Disclosure An agency choosing between methods of invitation for bids or invitation for best value bids shall disclose the rationale behind its decision in accordance with section 24-92- 103.7, C.R.S.

R- 24-105-101.3-03 Evaluation The criteria for evaluating invitations for best value bids shall be those in section 24-92- 103.5(3), C.R.S.

R- 24-105-101.4 Documented Quotes (a) Services and supplies for construction projects up to $350,000may be purchased using a documented quote process.

(b) The contractor’s response constitutes an offer and is binding if accepted by the state.

(c) The contractor’s response must be on their letterhead or in a format approved by the state.

(d) The award must be made to the low acceptable quote.

(e) Requests for documented quotes must be placed on an electronic procurement system in accordance with these rules. Solicitations must remain posted for at least three business days unless the director or head of a purchasing agency determines in writing that a lesser time is required in order to meet an immediate state need.

(f) The procurement official or his or her designee may negotiate with any vendor or contractor to clarify its quote or to effect modifications that will make the quote acceptable (including curing a defective bid bond) or make the quote more advantageous to the state. However, in the negotiation process, the terms of one vendor’s quote shall not be revealed to a competing vendor, and quotes shall be kept confidential until a commitment voucher is issued.

(g) State agencies and state institutions of higher education, with the approval of the office of the state architect, may utilize a standing order process for projects less than $500,000. An approved process must include open public solicitation (including advertising on an electronic procurement system) for eligible contractors at least once per year, a process for obtaining at least three quotes before awarding a contract to an eligible contractor, and an equitable process for determining which contractors will be given an opportunity to provide quotes.

(h) Bonding and retainage requirements set forth in section 38-26-106, C.R.S.,

section 24-105-201, et seq., C.R.S., and section 24-91-103(1), C.R.S., and rules promulgated thereunder are not affected by this rule. Failure to provide a required bid bond, if not cured, makes the quote unacceptable. State agencies and state institutions of higher education should seek legal advice when bid bonds have been required and the terms of the quote are modified after receipt.

R- 24-105-101.5 Sole Source Procurements Contracts for capital construction or controlled maintenance may be awarded by use of a sole source procurement only after consulting with the office of the state architect and only if the following conditions are met:

(a) A sole source procurement is justified when there is only one service that can reasonably meet the need and there is only one vendor who can provide the service.

(b) The procurement official or his or her designee shall make a written determination that a procurement is sole source, setting forth the reasons in the procurement record. For purposes of this rule, the procurement official is delegated in accordance with section 24-102-302(2), C.R.S.

(c) In cases of reasonable doubt, competition should be solicited. Any request by a using agency that a procurement be restricted to one potential contractor shall be accompanied by an explanation as to why no other will be suitable or acceptable to meet the need.

(d) When a sole source procurement is authorized, the procurement official or his or her designee shall conduct negotiations, as appropriate, as to price, delivery, and terms.

(e) When applicable, the procurement official or his or designee shall publish a notice of the sole source on an electronic procurement system for not less than three business days in accordance with section 24-106-103(5), C.R.S.

R- 24-105-101.6 Emergency Procurements Contracts may be awarded by use of an emergency procurement.

R- 24-105-101.6-01 Definition of Emergency Conditions An emergency condition is a situation which creates a threat to public health, welfare, or safety such as may arise by reason of floods, epidemics, riots, equipment failures, or such other reason as may be identified by the using agency and approved by the chief procurement officer, the procurement official, or a designee of either officer. The existence of such condition creates an immediate and serious need for supplies, services, or construction that cannot be met through normal procurement methods and the lack of which would seriously threaten:

(a) The functioning of state government, or its programs;

(b) The preservation or protection of property; or (c) The health or safety of any person or persons.

R- 24-105-101.6-02 Scope of Emergency Procurements Emergency procurements shall be limited to supplies, services, or construction items in such quantities as are necessary to meet the emergency.

R- 24-105-101.6-03 Authority to Make Emergency Procurements (a) Any governmental body may make emergency procurements when an emergency condition arises and the need cannot be met through normal procurement methods, provided, that whenever practical, approval by the chief procurement officer, the procurement official, or a designee of either officer, shall be obtained prior to the procurement. For purposes of this rule, procurement official is delegated in accordance with section 24-102-302(2), C.R.S.

(b) If emergency controlled maintenance funding is to be requested by the governmental body, the office of the state architect shall be notified no later than the next business day.

(c) In the event an emergency arises after normal business hours, the governmental body shall notify the chief procurement officer, the procurement official, or a designee of either officer, and the office of the state architect no later than the next business day.

PART 2 BONDS

R- 24-105-201 Acceptable Bid Security Bid security is submitted as a guarantee that the bid or proposal will be maintained in full force and effect for a period of thirty (30) days after the opening of the bids or proposals or as specified in the solicitations. Acceptable bid security shall be limited to:

(a) A one-time bid bond underwritten by a company licensed to issue bid bonds in the state of Colorado, and in the form prescribed in section 24-105-203, C.R.S.; or (b) A bank cashier's check made payable to the treasurer of the state of Colorado; or (c) A bank certified check made payable to the treasurer of the state of Colorado.

R- 24-105-202 Exceptions If it is deemed to be in the state's best interest, the procurement official may require, as provided in section 24-105-202(2), C.R.S., a performance bond or other security in addition to those bonds or in circumstances other than those specified in section 24- 105-202(a), (b), C.R.S., as amended.

R- 24-105-203 Bond Forms and Copies All construction contracts and procedural documents shall be executed on standard state of Colorado forms available on the office of the state architect website.

PART 3 CONSTRUCTION CONTRACT CLAUSES AND FISCAL

RESPONSIBILITY

ARTICLE 106 MODIFICATION AND TERMINATION OF CONTRACTS (FOR

OTHER THAN CONSTRUCTION)

R- 24-106-104 Cost-Plus-a-Percentage-of-Cost A cost-plus-a-percentage-of-cost contract is a contract in which the vendor is paid for allowable costs plus a percentage of the allowable costs as profit and the costs are unknown. Cost-plus-a-percentage-of-cost does not include purchases where the cost is known at the time the obligation is incurred, regardless of how the vendor determines those costs.

R- 24-106-105-01 Definition “Multiyear contract” means a contract for the purchase of supplies or services with a performance period of more than twelve months at the time of its initial execution. A contract with a performance period of twelve or fewer months with subsequent renewal options on the part of the state of no more than one year does not constitute a multiyear contract. Written approval by the procurement official or his or her designee is required prior to entering into a multiyear contract.

R- 24-106-105-02 Pre Contract Contracts, including multiyear contracts, for periods in excess of five years, including the initial term and all extensions, shall only be executed with written permission from the chief procurement officer. Where applicable, the maximum approved term must be included in the method of source selection.

R- 24-106-105-03 Post Contract Requests for extensions of contracts, including multiyear contracts, for periods in excess of the term included in the original method of source selection, as described in

article 103 of the code, shall be submitted to the chief procurement officer for approval.

The chief procurement officer will determine if extenuating circumstances support an extension of the contract.

R- 24-106-105-04 Short Term Extensions End of contract extensions, also known as a holdover of a contract, allow for a shortterm extension of a contract at the end of its current term. In contracts where an end of contract extension is permitted, exercising this extension does not require written permission from the chief procurement officer.

R- 24-106-105-05 Conditions for Extensions and Pricing Any contract with allowable extensions shall contain conditions for exercising the extensions. Methods used to determine price escalation or de-escalation shall be part of the original method of source selection and made a part of the resulting contract.

R- 24-106-109 Terms and Conditions in Contracts

Section 24-106-109, C.R.S., applies to all contracts entered into by the state.

ARTICLE 107 COST PRINCIPLES

ARTICLE 108 SUPPLY MANAGEMENT

ARTICLE 109 REMEDIES

PART 1 PRELITIGATION RESOLUTION OF CONTROVERSIES

R- 24-109-102-01 Filing of Protest (a) An aggrieved party may file a written protest at any phase of solicitation or award concerning a material issue(s), including but not limited to specifications, award, or disclosure of information marked confidential in the bid or proposal.

(b) The written protest shall include, at a minimum, the following:

(i) name and address of the aggrieved party;

(ii) appropriate identification of the procurement by solicitation or award number;

(iii) a statement of the material issue(s) giving rise to the protest; and (iv) any available exhibits, evidence, or documents substantiating the protest.

(c) A written protest shall be submitted to the procurement official by mail, hand delivery, electronic submission or other means as approved by the state.

(d) A written protest must be received by the procurement official by the deadline set forth in section 24-109-102, C.R.S., and rule R-24-109-108.

(e) If an action concerning the protest has been commenced in district court, the procurement official shall not act on the protest but shall refer it to the attorney general.

R- 24-109-102-02 Requested Information Any additional information regarding the protest should be submitted within the time period requested by the procurement official in order to expedite resolution of the protest. If any party fails to comply expeditiously with any request for additional information by the procurement official, the protest may be resolved without such information.

R- 24-109-102-03 Decision The written decision issued by the procurement official shall inform the aggrieved party of his or her right to appeal administratively or judicially in accordance with article 109 of the code.

R- 24-109-105-01 Suspension (a) After consultation with the affected using agency, the attorney general, and where practicable, the contractor or potential contractor who is to be suspended, the procurement official may issue a written determination to suspend a person from consideration of contracts pending an investigation to determine whether cause exists for debarment. A notice of suspension, including a copy of the determination, shall be sent to the suspended contractor or prospective contractor. Such notice shall:

(i) state that the suspension will be for the period necessary to complete an investigation into possible debarment, as limited in section 24-109-105, C.R.S.;

(ii) inform the suspended contractor or prospective contractor that bids or proposals will not be solicited from the contractor or prospective contractor and, if received, will not be considered during the period of suspension;

(iii) inform the contractor or prospective contractor of his or her right to appeal administratively or judicially in accordance with article 109 of the code.

(b) A contractor or prospective contractor shall be suspended upon issuance of the notice of suspension. The suspension shall remain in effect during any appeals.

(c) For purposes of this section, the conduct of an individual may impact the suspension of a contractor or prospective contractor based on factors such as the individual’s position with the contractor or prospective contractor to include but not limited to an officer, director, partner, manager, key employee, or other principal of the contractor or prospective contractor.

R- 24-109-105-02 Debarment (a) Following completion of the investigation to determine whether a contractor or prospective contractor has engaged in activities which are a cause for debarment, and after consultation with the affected using agencies and attorney general, the procurement official may debar a contractor or prospective contractor for their department only. A written notice of debarment shall be sent to the debarred person by certified mail, return receipt requested. The notice shall inform the debarred person of his, her or its right to appeal the decision administratively or judicially in accordance with article 109 of the code.

(b) A debarment decision will take effect 20 business days after the date the written notice of debarment is sent by certified mail unless an appeal of the debarment is filed during that time. After the debarment decision takes effect, the person shall remain debarred for the debarment period specified in the decision, unless a court, the executive director, or the procurement official who issued the debarment decision orders otherwise.

(c) If an appeal is filed by the debarred person prior to the effective date of the debarment, the suspension shall remain in effect until the appeal has been resolved. In the event the appeal is denied, the debarment shall be effective on the completion of the initial 20 business day period or upon resolution of the appeal, whichever is later.

(d) For purposes of this section, the conduct of an individual may impact the debarment of a contractor or prospective contractor based on factors such as the individual’s position with the contractor or prospective contractor to include but not limited to an officer, director, partner, manager, key employee, or other principal of the contractor or prospective contractor.

R- 24-109-105-03 Statewide Debarment Following a debarment decision under rule R-24-109-105-02, the procurement official may recommend statewide debarment to the chief procurement officer. The chief procurement officer or his or her designee shall investigate, including consultation with the affected using agencies and attorney general, to determine whether a contractor or prospective contractor has engaged in activities which are a cause for statewide debarment. After the debarment decision takes effect, the person shall remain debarred for the debarment period specified in the decision, unless a court, the executive director, or the chief procurement officer orders otherwise.

R- 24-109-105-04 Lists of Suspended and Debarred Persons (a) The chief procurement officer shall maintain a current list of all debarred and suspended persons and shall share such lists and updates to the procurement officials. The list shall indicate whether the suspension or debarment is specific to a purchasing agency or statewide.

(b) The procurement official or his or her designee shall consider the suspended and debarred list when determining responsibility of prospective contractors for consideration of contracts.

(c) In the event a contractor on the debarred and suspended list has an existing contract with another purchasing agency, the procurement official of the other purchasing agency or his or her designee shall follow the terms of the contract regarding suspension or termination of said contract if deemed in the best interest of the state.

R- 24-109-106-01 Resolution of Controversies The code establishes procedures and remedies to resolve contract and breach of contract controversies between the state and a contractor. It is the state's intent to try to resolve all controversies by mutual agreement through informal discussions without litigation. As used in these rules, the word “controversy” is meant to be broad and allencompassing, including the full spectrum of disagreements from pricing of routine contract changes to claims of breach of contract R- 24-109-106-02 Filing of Controversy (a) A contractor may file a controversy with the procurement official concerning breach of contract, mistake, misrepresentation, or any other cause for contract modification or rescission.

(b) The written request for a decision related to a controversy shall include, at a minimum, the following:

(i) name and address of the contractor;

(ii) appropriate identification of the contract;

(iii) a description of the controversy; and (iv) any available exhibits, evidence, or documents substantiating the controversy.

(c) The controversy shall be submitted to the procurement official or his or her designee in accordance with the terms of the contract or if not specified in the contract, by mail, hand delivery, electronic submission or other means as approved by the state.

R- 24-109-106-03 Decision (a) Before issuing a final decision, the procurement official or his or her designee shall review the facts pertinent to the controversy and secure any necessary assistance from legal, fiscal, and other advisers.

(b) The procurement official or his or her designee shall furnish a copy of the decision to the contractor within the time specified in section 24-109-106(1.5), C.R.S., by certified mail, return receipt requested. The decision shall include:

(i) a description of the controversy;

(ii) a reference to the pertinent contract provision;

(iii) a statement of the factual areas of agreement and disagreement;

(iv) the supporting rationale for the decision; and (v) notice of the contractor's right to appeal the decision administratively or judicially in accordance with the provisions of article 109 of the code.

(c) The amount and interest on the amount determined payable pursuant to the decision, less any portion already paid, should be paid without awaiting contractor action concerning appeal. Such payment shall be without prejudice to the rights of either party. If, on appeal, such payments are required to be returned, interest shall be paid by the contractor from the date of payment.

R- 24-109-108 Timeliness of Submissions For purposes of the rules under article 109 of the code, submissions from an aggrieved party must be received by the executive director, chief procurement officer, or procurement official, or a designee of any such officer, by the deadlines established in

article 109 of the code and the associated rules, unless otherwise agreed upon in writing by the parties. Submissions received after the deadlines specified in article 109 of the code and associated rules or as agreed upon, shall be rejected as late. The following exceptions may be considered when determining the timeliness of a submission:

(a) If an aggrieved party’s submission is not delivered by the deadlines established in article 109 of the code, the submission may be accepted if it can be reasonably determined by the executive director, chief procurement officer, or procurement official, or a designee of any such officer, that:

(i) the postal service, a courier or delivery service outside of the control of the vendor, was in possession of the submission at the specified deadline;

(ii) the submission was originally scheduled for delivery by the postal service, a courier or delivery service outside of the control of the vendor to the purchasing agency by the specified deadline; and (iii) the submission is received by the purchasing agency on the business day following the specified submission date.

(b) A submission that is in the possession of the state’s internal distribution system at the specified submission time shall be deemed to be received by the purchasing agency by the specified submission deadline.

(c) In the event of a labor unrest (strike, work slowdown, etc.) which may affect mail delivery, the executive director or chief procurement officer is authorized to develop and issue emergency procedures.

(d) In those situations where the late submission was not in the control of the aggrieved party at the time of the submission deadline, the procurement official shall not accept the late submission unless he or she further finds that extenuating circumstances justifying acceptance of the late submission exist and can be documented.

(e) The responsibility for ensuring that the submission is received on time rests with the aggrieved party, and the reasonably foreseeable problems inherent in the delivery of submissions (e.g. slow messengers, slow mail service, weather, bad directions, mechanical failures, traffic, etc.) are not extraordinary circumstances permitting acceptance of late submissions.

PART 2 APPEALS

R- 24-109-201 Appeal to the Executive Director – Stay of Procurements At any time an aggrieved party files an appeal to district court in accordance with

section 24-109-205, C.R.S., the stay in subsection (2) of section 24-109-201, C.R.S. shall terminate.

R- 24-109-202-01 Filing of Appeals (a) An aggrieved party may file a written appeal of any decision. Appeals of decisions of the procurement official shall be submitted in writing to the executive director within ten (10) business days of the date a decision is mailed or within twenty (20) business days of a decision regarding a suspension, debarment or contract controversy, in accordance with section 24-109-203, C.R.S. Appeals received after the prescribed time periods shall not be considered (b) The written appeal shall include, at a minimum, the following:

(i) name and address of the aggrieved party;

(ii) appropriate identification of the procurement by solicitation or award number;

(iii) a statement of the material issue(s) or controversy giving rise to the appeal;

(iv) copies of all documents and evidence previously submitted to the procurement official or his or her designee;

(v) the decision rendered by the procurement official or his or her designee or, in the absence of a timely decision under subsection 3 of section 24- 109-102, C.R.S., a statement of this fact; and (vi) any additional relevant information.

(c) The written appeal shall be limited to the material issues raised in the original protest.

(d) A written appeal shall be submitted to the executive director or his or her designee in a manner such as mail, hand delivery, or electronic submission such as email. The means of delivery must be commonly used to reasonably allow for receipt by the executive director or his or designee.

(e) A written appeal must be received by the executive director or his or her designee by the deadline computed in accordance with rule R-24-109-108.

R- 24-109-202-02 Additional Information The executive director or his or her designee may request that the parties submit any additional information necessary to make a decision on the appeal. If any party fails to submit requested information within the time period set by the executive director or his or her designee, the appeal may be considered without such information.

R- 24-109-202-03 Hearing by the Executive Director (a) An aggrieved party bringing an appeal may request in writing that the executive director or his or her designee conduct a hearing on the appeal.

(b) If a hearing is requested, the executive director or his or her designee shall send a written notice of the time and place of the hearing to all parties and the attorney general. Such notice shall be sent by certified mail, return receipt requested.

(c) Hearings shall be as informal as possible under the circumstances. The weight to be attached to any evidence presented shall be within the discretion of the executive director or his or her designee. Stipulations of fact agreed upon by the parties may be used as evidence at the hearing. The executive director or his or her designee may request evidence in addition to that presented by the parties. A hearing may be recorded but need not be transcribed except at the request and expense of the aggrieved party. A record of those present, identification of any written evidence presented, copies of all written statements, and a summary of the hearing shall be sufficient record. The executive director or his or her designee may:

(i) hold informal conferences with one or both of the parties to settle, simplify, or fix the issue or to consider other matters that may aid in an expeditious disposition of the appeal;

(ii) require parties to state their position with respect to the various issues;

(iii) require parties to produce for examination those relevant witnesses and documents under their control;

(iv) regulate the course of the hearing and conduct of participants;

(v) receive, rule on, exclude, or limit evidence and limit lines of questioning or testimony which are irrelevant, immaterial, or unduly repetitious; and (vi) request and set time limitation for submission of briefs.

R- 24-109-204 Decision of the Executive Director (a) The executive director or his or her designee shall issue a final decision on the issue. Copies of the decision shall inform the aggrieved party of his or her rights to judicial appeal in accordance with article 109 of the code. However, if an action concerning the protest, suspension, debarment, or contract controversy has been commenced in court, the executive director or his or her designee shall not act on the matter but shall refer it to the attorney general.

(b) If the executive director or his or her designee refers an appeal to the office of administrative courts in accordance with section 24-109-201(1), C.R.S., the timeline for a written decision may be adjusted based on section 24-4-105, C.R.S.

R- 24-109-205 Appeals to District Court If at any time an aggrieved party files an appeal to district court, the stay of the award imposed by subsection (2) of section 24-109-201, C.R.S., shall terminate.

PART 3 INTEREST

PART 4 SOLICITATIONS AND AWARDS IN VIOLATION OF THE LAW

R- 24-109-404-01 Definitions (a) An “unauthorized purchase” is when a purchase has occurred or a purchase commitment has been issued to a vendor to obtain goods, services, or construction and:

(i) the using agency has not followed the code and rules; or (ii) a purchase or commitment to purchase is made by a person(s) who is not so authorized.

(b) “Ratification” is the approval of an unauthorized purchase by the executive director, chief procurement officer or using agency's procurement official, to the extent authorized under rule R-24-109-404-02, following a review and consideration of all to the facts surrounding the unauthorized purchase.

(c) “Responsible individual(s)” is the person(s) who has made an unauthorized purchase.

R- 24-109-404-02 Authority of the Executive Director, Chief Procurement Officer and Procurement Official (a) The executive director or chief procurement officer, or designee of either officer, after review and consideration of all facts involved in an unauthorized purchase, may ratify the unauthorized purchase in accordance with rules R-24-109-404-04 and -05.

(b) A procurement official, after review and consideration of all facts involved in an unauthorized purchase, may ratify an unauthorized purchase in accordance with rules R-24-109-404-04 and R-24-109-404-05, unless:

(i) ratification requires the approval of the executive director or chief procurement officer in accordance with section 24-109-503, C.R.S.;

(ii) ratification requires the approval of the executive director or chief procurement officer in accordance with section 24-109-504, C.R.S.; and (iii) the original procurement giving rise to the unauthorized purchase required approval of the executive director or chief procurement officer or a designee of either officer.

R- 24-109-404-03 Factors to Be Considered in Ratification of an Unauthorized Purchase.

(a) The procurement official shall consider all factors related to the procurement including, but not limited to, the following in determining whether to ratify an unauthorized purchase:

(i) the facts and circumstances giving rise to the need for the good or service, including the responsible individual's explanation as to why established procedures were not followed, and any lack of information or training on the part of the responsible individual;

(ii) indications of intent to deliberately evade established purchasing procedures;

(iii) whether the purchase, if it had been made according to established procedures, would have been reasonable (prudent) and appropriate;

(iv) the extent to which any competition was obtained;

(v) whether this is the first violation or a repeat violation by the responsible individual;

(vi) whether appropriate written assurances and safeguards have been established by the purchasing agency to preclude a subsequent unauthorized procurement; and (vii) indications as to whether either the purchasing agency or vendor has acted fraudulently or in bad faith.

(b) The procurement official shall consider the above factors as they apply to the purposes of section 24-101-102, C.R.S., and fairness to any vendor who has acted fairly and in good faith.

R- 24-109-404-04 Purchasing Agency Actions - Ratification of Individual’s Action In addition to the action required in rule R-24-109-404-05, after consideration of the factors in rule R-24-109-404-03, the procurement official may take one of the following actions.

(a) If the procurement official determines that the responsible individual operated in good faith, the procurement official may ratify the actions of the responsible individual; or (b) If the procurement official determines that the responsible individual operated in bad faith, the procurement official shall not ratify the actions of the responsible individual.

R- 24-109-404-05 Purchasing Agency Actions - Ratification of Contract In addition to the action required in rule R-24-109-404-04, and after consideration of the factors in rule R-24-109-404-03, the procurement official may take one of the following actions.

(a) The procurement official may ratify the contract and authorize payment if the procurement official determines:

(i) contractor acted in good faith;

(ii) procurement meets substantive requirements of the code; and (iii) violation is only procedural.

(b) The procurement official may ratify the contract and authorize payment if the procurement official determines:

(i) contractor acted in good faith;

(ii) procurement does not meet substantive requirements of the code; and (iii) ratification is in best interest of state.

(c) The procurement official shall not ratify the contract, but may authorize payment in an amount equal to lesser of amount agreed to in unauthorized purchase or contractor’s actual, documented expenses and reasonable profit as determined by the procurement official, when the conditions are:

(i) contractor acted in good faith;

(ii) procurement does not meet substantive requirement of the code; and (iii) ratification is not in best interest of state.

(d) The procurement official shall not ratify the contract or authorize payment if the procurement official determines that the contractor acted in bad faith.

R- 24-109-404-06 Purchasing Agency Actions - In the Event of Denial (a) In the event the procurement official refuses to ratify the unauthorized procurement, he or she shall notify:

(i) the responsible individual, the state controller and the controller for the purchasing agency, that ratification is denied, and that the responsible individual(s) may be held personally liable for payment;

(ii) the affected vendor(s) that the state has denied responsibility for the purchase, in whole or in part, as determined in the ratification review process; and (iii) the chief procurement officer, if the determination is made by a procurement official.

(b) In the event a court action is filed involving a procurement that is undergoing a ratification review, the ratification process shall cease and the matter shall be referred to the attorney general.

R- 24-109-404-07 Written Determination A written determination setting forth the basis for the decision shall be made and included in the procurement record.

PART 5 REMEDIES

ARTICLE 110 INTERGOVERNMENTAL RELATIONS

PART 2 COOPERATIVE PURCHASING

R- 24-110-201 Cooperative Purchasing The chief procurement officer or his or her designee may approve the purchase of goods or services in accordance with section 24-110-201(2), C.R.S., if such purchase is in the best interests of the state, after considering: (1) the interests of Colorado vendors;

(2) the competitiveness of pricing under the cooperative procurement; (3) the ability to effectively meet the state’s business needs; (4) the efficiencies and cost savings of using the cooperative procurement, beyond the savings and administrative convenience achieved from not having to comply with article 103 of the code; and (5) the purposes of the code, as set forth in section 24-101-102, C.R.S.

(a) The procurement official shall make the request through the chief procurement officer or his or her designee addressing the considerations set forth above.

(b) The chief procurement officer or his or her designee may approve a single purchase, make a conditional approval, or approve participation in an on-going program with the external procurement activity or the local public procurement unit. Participation in a cooperative purchasing agreement is limited to the term approved by the chief procurement officer or his or her designee or the term of the agreement, whichever is shorter.

R- 24-110-207.5 Definition “Public benefit nonprofit entity” means an organization that:

(a) Is exempt from federal taxation under 26 U.S.C. section 501 (c) (3) of the federal “Internal Revenue Code of 1986”, as amended;

(b) Does not possess 501 (c) (4) status under the federal “Internal Revenue Code of 1986”, as amended, 26 U.S.C. section 501 (c) (4); and (c) Receives funds from federal, state, or local governmental sources.

PART 3 CONTRACT CONTROVERSIES

ARTICLE 111 PREFERENCES IN AWARDING CONTRACTS - FEDERAL

ASSISTANCE REQUIREMENTS

ARTICLE 112 EFFECTIVE DATE - APPLICABILITY

R- 24-112-101-01 Effective Date - Applicability Rules implementing the Colorado Procurement Code, as amended by HB17-1051, shall become effective October 1, 2018. All contracts solicited or entered into after October 1, 2018, shall be in accordance with the Code and these rules.

COLORADO PROCUREMENT RULES

Editor’s Notes

History Rules R-24-103-01, R-24-103-202a-10, R-12-103-202.5, R-24-103-204-03 eff. 11/01/2007.

Rule R-24-103-204-03(a) emer. rule eff. 08/13/2010; expired 12/11/2010.

Rules R-24-102-206, R-24-103-101-01, R-24-103-202b-01, R-103-202.3, R-24-103- 402-01, R-24-111-102-02 eff. 01/01/2014.

Entire rule eff. 08/31/2015.

Rule R-24-105-301, Appendix A emer. rules eff. 11/18/2015; expired 03/17/2016.

Entire rule eff. 10/01/2018.

Rules R- 24-103-201-01, R- 24-103-201-02 R-24-105-101-02, R- 24-105-101.4 eff. 07/01/2023.

Rules R-24-103-201-01, R-24-105-101-02, R- 24-105-101.4 eff. 07/01/2026.

102 State Buildings Division

1 CCR 102-1 Leasing Real Property on Behalf of State Government {#sec-1-ccr-102-1 omnilex-key=us-co-regs-official--department-14--1 CCR 102-1}

DEPARTMENT OF PERSONELL AND ADMINISTRATION

State Buildings Division LEASING REAL PROPERTY ON BEHALF OF STATE GOVERNMENT 1 CCR 102-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ I. Statement of Basis and Purpose A. On July 1, 1979, the General Assembly transferred the powers, duties and functions related to State buildings to the Department of Administration from the Office of State Planning and Budgeting.

One of those responsibilities was that of negotiating and executing real property leases on behalf of State government as provided in 24-30-1303 (1)(a), C.R.S. 1973, as amended.

Responsibility for administration of the above statute is assigned to the State Buildings Division.

Promulgation of certain rules was deemed necessary to administratively carry out these responsibilities. These rules will apply principally to each State agency that presently leases or desires in the future to lease land, buildings, office or other space.

B. The purpose of these rules is:

1. To obtain more favorable leases for the State by:

a. Providing agencies with the services of experienced lease negotiators;

b. Creating a single leasing entity which has significant presence in the real estate leasing market;

c. Developing a more positive image in the real estate community.

2. To protect agencies from agreeing to contract terms not in their best interest or not competitive in the marketplace.

3. To allow for the possible advantage of negotiating master leases to provide for the needs of several agencies in one building.

4. To provide an organized format for accomplishing the State's overall real property leasing function by:

a. Providing published instructions on how to obtain lease space;

b. Providing an administrative method to most effectively and efficiently handle the statutory directives within the resource constraints of the State Buildings Division;

c. Providing an avenue for state office space planning, especially in Metro-Denver;

d. Creating a single communications point and information source between agencies, brokers, and owners.

5. To insure as much uniformity as practical in lease terms and space planning.

6. To reduce the number of incorrect, incomplete, and/or unacceptable lease contracts, and to provide an increased awareness of the State Fiscal Rules regarding lease contracts.

II. Leases of Real Property A. Definitions 1.0 Lease An agreement under which a tenant receives the possession and use of real property for a certain period of time and the landlord receives the payment of rent and/or the performance of other conditions. For the purposes of these rules, the word “lease” is meant to include sub-leases and inter-agency leases. 2.0 Lessor The party who conveyed a right or estate in realty to the lessee under a lease; commonly referred to as the landlord. 3.0 Lessee The party who possesses a right or estate in realty, holding under a lease; also commonly referred to as the tenant. 4.0 Real Property Land; the surface of the earth and whatever is erected, growing upon, or affixed to the land; including that which is below it and the space above it; synonymous with “land”, “realty”, and “real estate”. For the purposes of these rules, land under the jurisdiction of the State Board of Land Commissioners and leases of land held by the Division of Wildlife or the Division of Parks and Outdoor Recreation are excepted.

(reference 24-30-1303 (2), C.R.S. 1977, as amended) 5.0 Agency Any State-owned university, college, institution, department or division. 6.0 Agent Any person, partnership, association, or corporation authorized or employed by another, called the principal (owner), to act for, on behalf of, and subject to the control of the latter. 7.0 Real Estate Broker As defined in 12-61-101, C.R.S. 1973, as amended. 8.0 Real Estate Marketplace The intangible arena in which all real estate transactions take place that together form a market.

B. Rules for Leasing Real Property 1.0 Agencies shall notify the Department of Administration, State Buildings Division (SBD), of need and intent to lease real property. 1.1 This notification shall occur prior to any contact or negotiation with potential lessors (building owners or agents) or real estate brokers. 1.2 Agencies shall submit their request to lease real property on Form SBD 43–80, “Lease Action Request” which will include complete justification needed to evaluate the staff and equipment to be housed, the program functions to be performed and any special requirements. 1.3 The Lease Action Request shall also be used for requests to renew, terminate, extend or amend a lease contract, or to exercise a lease contract option, or whenever a request will result in a contract document requiring execution by the Department of Administration. 2.0 Upon receipt of a Lease Action Request, SBD will review and evaluate the request as soon as possible and will then contact the requesting agency to discuss its findings. 3.0 Upon approval by SBD, a packet of instructions will be sent to the requesting agency outlining what steps they are to perform and including such information as the physical requirements a building must contain, guidelines for working with real estate brokers, and guidelines in negotiating lease terms in conformance with requirements of the Attorney General and the State Controller, good business practice, and true representation of the Agency's needs and desires. 3.1 SBD will review and approve bids for lease space obtained by the agency and review, assist, and make recommendations during the negotiation of lease terms. 3.2 When deemed appropriate, SBD will become directly involved in the bidding and negotiating process as Leasing agent for the State. 4.0 Agencies must rely on the services of their assigned attorney(s) in the Department of Law if such services are required to draft a contract or review a contract as to form. (Please refer to Chapter 3, State Fiscal Rules) 5.0 Lease contract routing will follow those procedures as provided for in Chapter 3, State Fiscal Rules. _________________________________________________________________________ Editor’s Notes

History

103 State Administrative Support Services

1 CCR 103-1 Central Services Rules {#sec-1-ccr-103-1 omnilex-key=us-co-regs-official--department-14--1 CCR 103-1}

DEPARTMENT OF PERSONNEL & ADMINISTRATION

CENTRAL SERVICES RULES

1 CCR 103-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Preamble Unless otherwise noted in a specific provision, the Division Rules were adopted and made effective by the Executive Director on December 1, 2007.

This version reflects rulemaking by the Executive Director of the Department of Personnel & Administration as follows: to update references to the Division of Central Services to the Department of Personnel & Administration and update references to the interagency motor pool to the State Fleet pool ; to modify Chapter 1 regarding waiver requests; modify Chapter 2 regarding State Fleet handling of citations, tickets, tolls, and taxable commuting; repeal Chapter 3 regarding taxability of commuter vehicles and directing drivers and agencies to the applicability of State Controller guidance over taxability; modify

Chapter 4 regarding acquisition of vehicles, underutilization of vehicles, vehicle availability, grant vehicles, and allowable vehicle logos; modify Chapter 5 regarding assignment of vehicles, and revocations; and

Chapter 6 regarding utilization, effective February 1, 2019 1.00 Department Waiver Type .1 Service Equipment and Software Related to Services Service equipment procurement that require waivers include, but is not limited to, postage meters, mail slitters, candlers, addressing equipment, folding equipment, microfilm equipment, desktop scanners, high speed scanners, large format scanners, hand held scanners, printing presses, plate makers of any type, bindery equipment office copiers, desktop copiers, multi-function copiers, multi-function printers, desktop printers, network printers, mobile printers, and facsimile devices. A waiver is also required to procure any software required to use such service equipment; this waiver is required even if the agency has already acquired the service equipment. .2 Personal Services Personal services related functions that require waivers include, but are not limited to, hiring personnel, whether full time, temporary, or an agency, to perform services related to printing, imaging, binding, mail, microfilm, scanning, data entry, document conversion, document management, graphic arts, and fleet management. .3 Services Services requiring waivers include, but are not limited to, printing, bindery, imaging, mail related services, microfilm, scanning, data entry, document conversion, document management related services, graphic arts and fleet management. 1.10 Requests .1 Agencies must request permission in writing for a waiver from the Department of Personnel & Administration. .2 Requests are reviewed on a request specific basis. .3 Requests must include the key financial, quality or service rationale for the request as well as enough backup documentation to allow for an adequate evaluation. 1.20 Approvals .1 Approval will be provided to the requesting agencies in writing. .2 Approvals are time limited on a request specific basis. .3 Approvals are subject to periodic review by the Department of Personnel & Administration and subject to reporting requirements by the responsible agency. .4 Other conditions and requirements associated with the approval will be outlined in the written approval. 1.30 Denials Denials will be provided to the requesting agency in writing and will include the rationale for the denial and alternative solutions. 2.00 Department of Personnel & Administration Responsibilities The Department of Personnel & Administration shall be responsible for the provision of vehicles in good operating condition, for use by state agencies at a competitive cost. 2.10 State Agency Responsibilities .1 General Requirements Employees of the state entrusted with State Fleet pool vehicles are responsible for the proper care, operation, maintenance, and protection of the vehicle while the vehicle is under rental by the employing and using agency. It is the responsibility of the requesting agency to ensure that the agency's employees who use a State Fleet pool vehicle are fully acquainted with the requirements of these rules. .2 Driver's License Assignment of State Fleet pool vehicles will be made only to state employees who hold a valid U.S. driver's license. It is the responsibility of the requesting agency to verify the license. 2.20 Operator Responsibilities A state employee who operates a State Fleet pool vehicle assumes full responsibility for the vehicle until its return to the State Fleet pool. The operator assumes all the responsibilities outlined in section 4.20 through 4.43. This includes personal possession of a valid U.S. driver's license, proper care of the vehicle, storage charges, and personal responsibility for parking traffic violations, tolls and any taxable commuting. State employees issued a vehicle are responsible for exercising reasonable diligence in the care of the vehicle at all times. Failure to take proper care of a State Fleet pool vehicle may be justification to refuse further vehicle issuance and may result in the agency being billed directly for services. 2.30 Use Charges Use charges will be billed to the user agencies when the vehicle is returned to the State Fleet pool or on a monthly basis if the vehicle is being used for on an extended basis. These use rates will be as currently in effect and published by the Department of Personnel & Administration. 3.00 Commuting Use of State-Owned Motor Vehicles by State Officers and Employees Must adhere to the Office of the State Controller’s Fiscal Rule and corresponding Technical Guidance regarding taxable commuting. 4.00 Size of Fleet The size of the state fleet may be increased only as a result of authorized new or expanded programs. 4.10 Additional/Replacement Vehicles Requests from any state agency for additional or replacement vehicles will be handled as follows: .1 Additional Vehicles. State agencies requesting an additional vehicle on permanent assignment from State Fleet Management (SFM) will be required to complete a Vehicle Request Form.

Supporting data should be submitted with the completed form and should include copies of recent legislation, Long Bill and any other supporting data specifically addressing the new or expanded program for which vehicle support is requested. An endorsement by the agency’s fiscal officer, or a written approval from the agency’s OSPB analyst may be required. Prior to submission of the Vehicle Request Form the agency will review their Underutilized vehicles under their use for reassignment and reallocation to maximize the use of state resources. .2 Short-term Requirements. Short-term needs, such as seasonal requirements, if approved, will be met with existing vehicle inventory and prioritized with all state-wide needs. Requests for shortterm assignments will be made by the requesting agency in a format compatible with procedures established by SFM. When existing vehicles are assigned on a temporary basis, every effort will be made to assign safe operating vehicles appropriate for the intended use. Short-term assignments will typically not exceed 12-months. .3 Vehicle Rotations. If a used vehicle is requested as an addition, or a rotation (for accidents, uneconomical repair, change in use requirements, etc.), that vehicle will then be treated as any other permanently assigned vehicle. .4 Vehicle Availability. If requests for short-term assignments are approved, but the vehicles are not available within the existing fleet, SFM will work with the requesting agency to acquire the vehicle through the appropriate financial mechanism for a specified time period. The agency’s fiscal officer may need to verify that funds are available to cover the costs of any lease. SFM cannot guarantee the availability of additional vehicles when required. .5 Grant Funded Vehicles. Agencies will notify SFM of those grants that will have a material impact on fleet acquisition. Agencies are responsible for compliance with all Grant specifications and requirements. Grant vehicles will be titled and registered as State Fleet owned vehicles, or, as specified by the grant. .6 Fiscal Responsibility. Each agency must work with SFM to ensure that adequate funding levels are determined, requested, and adhered to once approved. When vehicles are replaced, the agency will be held fiscally responsible for any fixed term obligations unless otherwise agreed upon with SFM. Fiscal planning and responsibility will include monthly fixed payments to cover the fixed term obligations for the cost of the vehicle and attachments plus a monthly fixed management fee. Operating costs to cover fuel, maintenance, and vehicle damage expenses are charged by SFM on a monthly cost per mile basis. .7 Out of Cycle Replacements. Situations that require vehicles to be replaced “out-of-cycle” such as a unique, mission critical vehicle destroyed in an incident, will be addressed on a case-by-case

basis, and may require OSPB approval. 4.11 Minimum Utilization Per Year SFM will not acquire (purchase or lease) any vehicle for permanent assignment unless it can be demonstrated that each vehicle requested will meet the minimum required utilization for the utilization classification corresponding to the vehicle’s intended work function. 4.12 Purchasing Rules .1 All vehicle acquisitions, whether by purchase or lease, will be made in compliance with the State's existing purchasing procedures and rules. Vehicles in use that do not continue to meet this minimum threshold of utilization will require justification from the operating agency submitted to State Fleet Management. If the proper justification is not received from the agency the vehicle may be removed from the operating agency and evaluated for reassignment. .2 SFM will provide each agency, through its designated Fleet Coordinators, various reports to identify vehicles for replacement as part of the annual state budget cycle. Each year, by a date specified by SFM, all pending vehicle purchases for the current fiscal year will be finalized. Any changes (vehicle types, options, etc.) to this list will not be accepted by SFM after this date, unless extraordinary circumstances support change requests. .3 In addition to vehicle replacements, agencies will submit and identify additional vehicle needs requests that may result from expanded programs or additional funding. These requests will be reviewed by SFM and may be subject to legislative approval for permanent assignment. Agencies will notify SFM immediately upon receiving approval for additional vehicle funding. 4.13 Size of Vehicles The size of any motor vehicle shall not be greater than is necessary to accomplish its purpose. All efforts will be directed toward acquiring cost-effective vehicles. 4.14 Vehicle Selection/Life-Cycle Costing .1 The primary consideration in selecting the appropriate vehicles is to match the vehicle to the job it is expected to perform. Vehicles that meet usage requirements as well as service and maintenance requirements will be given preference. .2 Aside from the initial cost of the vehicle when purchased new, other factors may be considered, including:

a. Operating and Maintenance Costs. The anticipated cost of fuel and maintenance.

b. Resale Value. The resale value (salvage value) of the vehicle, after its useful life is exhausted.

c. Fuel Economy. Low energy consumption shall be a favorable factor in determining the low responsible bidder.

d. Environmental impact. State initiatives supporting the continued quality of the environment may impact vehicle purchase decisions. 4.15 Vehicle Specifications .1 Vehicle specifications will be written with the goal of standardizing vehicle purchases as much as possible. .2 Vehicle purchases shall be based on specifications as requested by the state agency, developed in cooperation and consultation with the Department and the Motor Vehicle Advisory Council and must comply with all fiscal and procurement rules. .3 SFM will provide base level vehicles with agency-justified options. 4.16 License Plates, Titles, and Registrations .1 As new vehicles are received into the Program, these vehicles will be registered with the Department of Revenue, and license plates issued by the Department of Revenue will be assigned and attached to each vehicle. .2 “Undercover plates” will be issued only for vehicles directly involved in undercover law enforcement activities, where the employee's identity must be kept anonymous, or as otherwise allowed by Department of Revenue policy. .3 Personalized plates are not authorized for state-owned vehicles, regardless of who pays for the plates. .4 Assigned license plates may not be moved from one vehicle to another. .5 In the event license plates are lost or stolen, the Agency will have new plates issued, at their own cost, with a new number, and will notify SFM of the change immediately. SFM’s records will be adjusted to reflect the change, and a new fuel card will be ordered. .6 All vehicle titles, regardless of ownership, will be kept by SFM. Titles to vehicles owned by other state agencies will be returned to the state agency for purposes of vehicle disposal. Following such disposal, appropriate sale data, including date of sale, sale price, and name of buyer, will be promptly reported to SFM. The title to any unsold vehicle will be returned to SFM and corrected in the database. Agencies authorized to dispose of their own vehicles are responsible for meeting all requirements as the seller of a motor vehicle in Colorado. .7 Annually, the Department of Revenue, Motor Vehicle Division, will mail to the vehicle user a registration renewal notice. The registration renewal and, where required, the emissions test will be the responsibility of the agency to which the vehicle is assigned.

a. If the location to which a vehicle is assigned is changed, SFM and the Department of Revenue, Motor Vehicle Division, must be notified of the change and given a new mailing address to which future renewal notices may be sent. Such notification will be the responsibility of the using agency. 4.17 Branding and Logos Only official state decals may be applied to state vehicles. Other decals, Logos and bumper stickers, etc. are prohibited. 4.18 Alternative Fueled Vehicles As requirements are set forth to implement increased usage of alternative fueled vehicles (AFV's), each agency will work with SFM to use and promote AFV's to the extent practicable to meet State and Federal requirements. 4.19 Use of State-Owned Vehicles State-owned vehicles are to be used for official state business only, and not for personal purposes. 4.20 Commuting The use by a State employee of any State-owned vehicle for commuting must be required by the employing agency and approved in accordance with the Office of the State Controller’s motor vehicle commuting rules (see rule 3.00). 4.21 Traffic Rules All state employees are expected to operate the vehicle in a courteous manner and are required to comply with existing traffic laws. Any traffic citations issued to the driver, as a result of non-compliance, are the responsibility of the driver. 4.22 Alcohol/Drugs No state-owned vehicle will be operated by any individual who is under the influence of alcohol or drugs.

Section 42-4-1301, C.R.S. (2004). Smoking, or other tobacco use, is not permitted in state vehicles. 4.23 Driver’s License All authorized drivers of state-owned vehicles enrolled in the SFM Program must have in their possession a valid U.S. driver’s license. 4.24 Driver's Responsibilities .1 Drivers of state-owned vehicles must assume certain basic responsibilities with regard to the vehicle with which they are entrusted. These responsibilities include proper care, operation, maintenance and security of the vehicle, required emissions inspections, fueling, maintaining tire pressure, checking fluid levels, cleaning, safety, etc. Drivers and agency vehicle coordinators are responsible for checking PM (Preventative Maintenance) schedules for each vehicle they operate or oversee to ensure that regularly scheduled maintenance is performed in a timely fashion. .2 State-owned vehicles may not be used for personal errands, including transporting family members or pets. An exception to transporting family members may be granted in those instances where that family member is functioning in an official state capacity. Operators of stateowned vehicles may not pick up hitchhikers or provide transportation for any unauthorized individual. In situations where public safety is a concern, as determined by a state employee on official state business, unauthorized individuals may be provided assistance including transportation to the nearest location where there is no longer an unsafe situation. .3 State-owned vehicles may not be loaned to or driven by any unauthorized individual. .4 Drivers are responsible for safe and legal operation of vehicles operated on behalf of official state business. Unlawful use of these vehicles that result in a ticket or citation is the responsibility of the driver. Furthermore, parking fees and tolls acquired while in the use of the vehicle, not preauthorized by the drivers employing agency are the driver’s responsibility to pay. .5 All drivers and/or Vehicle Coordinators are expected to read and become familiar with the contents of the Manufacturer's Operator's Manual, and the SFM Vehicle Operator’s Manual, both of which are furnished with each SFM vehicle. The Vehicle Operator’s Manual contains a more detailed discussion of driver’s responsibilities. 4.25 Taking State-Owned Vehicles Out of the State or Out of the Country .1 When approved by the agency employing the driver, state-owned vehicles may be taken out of the State, as required in the performance of official duties. .2 Vehicles may not be taken out of the United States without prior written notification and explanation from the state agency to the State Fleet Manager. Agencies taking vehicles out of the United States will be responsible for obtaining any necessary additional liability and collision insurance, at their expense, before the vehicle is taken across the border. Should the vehicle become inoperable (either because of accident damage or mechanical problems) while out of the country, the operator should contact his/her employing agency and SFM for assistance. Agencies will be responsible for any additional repair or service costs that are in excess of typical costs.

(Travel to Mexico is discouraged.) 4.26 Fuel Purchases All drivers of state-owned motor vehicles are expected to comply with the following regarding the purchase of fuel for state vehicles. .1 State fueling systems shall be used wherever practical. In the absence of such facility, selfservice islands of retail outlets shall be used wherever available. Exceptions to this policy may be granted because of driver's physical limitations or emergency needs. The driver's supervisor shall document such exceptions. All purchased fuel should be of an appropriate grade of gasoline when available. Premium grades may be purchased when within compliance of the SFM policy on Premium fuels. .2 State agencies with fuel dispensing capability are required to bill SFM on a regular, monthly

basis. All invoices will contain individual transactions by license and/or asset number, date of fueling, number of gallons, price per gallon, and total cost. .3 SFM also furnishes a fuel card with each vehicle assigned. This card is honored by most major oil companies and can be used for purchasing fuel at commercial outlets, or as specified by SFM.

Personal items may not be purchased with the fuel card. The fuel card is valid only for the vehicle described on the front of the card, and the cards may not be interchanged. No other State agency is authorized to issue fuel cards for vehicles in the SFM Program. .4 Where necessary, an employee may pay for fuel using personal funds and receive reimbursement from SFM through his/her own agency. Such reimbursement will be made only when a properly itemized and signed receipt is provided. .5 Fuel Cards are not to be used for services other than to purchase “top off” oil, washer fluid, wiper blades, or fuel station car washes. 4.27 Accident Reporting Drivers of state vehicles shall exercise every precaution to prevent damage to the vehicle. The driver of the vehicle is responsible for notifying the following persons immediately, either in person or by telephone, of any accident in which the vehicle is involved: State Fleet Management; employee's official supervisor; and state, county, and local authorities as required by law. The vehicle driver shall record information pertaining to the accident the roadside incident form DRM-01 as provided in the SFM Vehicle Packet. This form must be completed by the driver and submitted to the vehicle driver's official supervisor for review within 48 hours of the accident. This form, as filed by the driver and signed by the supervisor, shall be used to complete the States online form and turned in to the State Fleet Management and the Division of Risk Management within 72 hours of the accident. Accidents involving personal injuries must be reported to law enforcement immediately and to SFM within 24 hours of the accident (or on the next regular business day) by telephone and followed up with a written report. 4.28 Preventative Maintenance All state-owned vehicles will be serviced on a regular basis, at frequencies and intervals appropriate for the vehicle assignment as determined by SFM. Every effort must be made by the driver and vehicle coordinator to service the vehicle at or near the established service interval. Repairs required because of failure to follow the scheduled preventative maintenance may be the responsibility of the agency to which the vehicle is assigned. SFM will authorize those services deemed necessary based on vehicle service records. Vehicles more than 50% beyond the established schedule shall be deemed as “overdue” and will be reported to the agency vehicle coordinator for resolution. Continued overdue services may be reported to the agency leadership for resolution. 4.30 Statewide Price Agreements In areas of the State where they are available statewide price agreements such as replacement tires and glass, must be utilized for all covered repairs and services. Any exceptions to this policy must be approved by SFM. 4.40 Vehicle Condition No state employee is expected to drive a State vehicle if the condition of the vehicle is determined to be unsafe. If an unsafe mechanical condition is discovered, it should be reported and corrected immediately.

The driver should refer to the Vehicle Operator’s Manual for instructions on how to report vehicle mechanical problems, instructions on after hours emergencies, and procedures for transport and towing. 4.41 Procedure for Obtaining Repair Authorization .1 If the vehicle's preventative maintenance schedule is adhered to, many otherwise needed repairs can be avoided. If repairs are needed, the driver should consult the Vehicle Operator’s Manual, furnished with each vehicle. The Vehicle Operator’s Manual, prepared by SFM, contains specific instructions for obtaining the necessary authorization for repairs. Neglecting reasonable maintenance practices may result in repairs billed directly to the agency or the driver. .2 Calls from private vendors requesting repair authorization must be made to the general SFM call center number. The request for repair authorization must be made--and authorization given— before any repairs are begun. The cost of work performed without proper pre-authorization, will be subject to review, and if found to be inappropriate, may be denied or billed to the using agency.

Private vendor mechanics may, for the purposes of repair and diagnosis, operate a state vehicle provided the garage meets the generally accepted requirements for liability insurance. Agencies are encouraged to develop their own internal security procedures for law enforcement vehicles including the use of “Out-of-Service” covers on light bars. .3 State garages are generally not required to obtain pre-authorization through SFM for vehicles assigned to their own agency (or institution), but will be expected to follow general procedures for state garages as established by SFM. State garages and state mechanics are expected to exercise good judgment when determining whether repairs are necessary and cost effective. All work submitted for payment may be reviewed for appropriateness by the State Fleet Call Center.

Any work considered unnecessary or overcharged may be questioned and fully or partially denied payment. State garages are encouraged to pre-authorize if there is some doubt as to the appropriateness or cost effectiveness of the repair. Car washes performed at state garages will not be paid for by State Fleet Management. .4 Pre-authorization is required for work done on vehicles assigned outside the garage’s agency (or institution), and the prices quoted will be subject to competitive scrutiny. In this regard, state garages will be treated in the same fashion as a private vendor. 4.42 Process for Determining if Repairs Are Justified Prior to authorizing any major mechanical repairs or major body repairs, SFM will make a determination as to whether the cost of the repair is economical and in the best interest of the State. Technicians in the Call Center will use their knowledge and experience in making this decision as well as other criteria including: the book value of the vehicle, the demand for uninterrupted vehicle support, the availability of a suitable used rotation vehicle from inventory, the anticipated remaining life of the vehicle due to age, mileage, and/or scheduled replacement, etc. 4.43 Selection of Repair Facility SFM will refer drivers to authorized state owned or private repair facilities. In the case of an emergency occurring during hours that SFM is not available, the driver may obtain the minimum repairs necessary to safely continue the trip or wait until regular business hours. Drivers should be aware that obtaining repair services after regular business hours may not be possible. If repairs have NOT been performed properly, the driver must contact SFM immediately so that the Call Center staff can discuss the service quality with the vendor and negotiate remedies. 4.50 Disposal Criteria SFM will review and approve all requests for vehicle disposal. One or more of the following shall be used in considering the disposal of state motor vehicles: .1 No Longer Needed - The State no longer has a need for the vehicle. .2 Minimum Replacement Criteria - State-owned vehicles will not normally be replaced until they meet the replacement criteria established by the State Fleet Management Program (considering mileage, cost, safety, and other relevant criteria). .3 Uneconomical to Repair - Vehicles that have sustained extensive damage or vehicles that require substantial mechanical repairs, may be disposed of earlier, if it can be shown that the cost of repairs would be uneconomical and the State's interests would be better served by disposing of the vehicle rather than repairing it. 4.51 Methods of Disposal After a vehicle has met disposal criteria, the vehicle may be disposed of by public auction. If other methods of disposal are required because of unusual circumstances (out-of-state location, etc.) the method of disposal must be approved in advance by SFM. 4.52 Vehicle Turn-In Requirements Prior to turning a vehicle in to SFM, the Agency must: .1 Assure that the vehicle is reasonably clean and has at least a 1/4 tank of fuel. .2 Remove two-way radios, phones, hands-free equipment, security cages, law enforcement lighting, and other special equipment. .3 Remove all decals and undercover plates (replace with the regular state plate). .4 If vehicle is assigned in a full emissions test area, an emissions test must be valid for at least two months after the turn-in date. .5 Not meeting the minimum turn-in requirements may result in fees being assessed to the operating agency to accomplish this required work. 4.60 Fleet Coordinator Reporting Requirements .1 Each agency will be required to designate an individual or individuals, who is/are knowledgeable about the agency's vehicle fleet, to serve as Fleet Coordinators. Such designation will be at the Agency level if possible, but additional designations may be arranged by mutual agreement with SFM. The individuals so designated will be the contact persons through whom SFM will communicate Fleet related matters. .2 The Fleet Coordinators will be the key contacts in coordinating the following (but not limited to):

a. Routine and special reports.

b. Vehicle damage reports.

c. Preventative maintenance and repairs.

d. Replacements and Additional Vehicle.

e. Verifying and/or correcting vehicle data.

f. Vehicle assignments, transfers, and terminations.

g. Vehicle needs and specifications.

h. DOR registrations and emissions compliance.

i. Monthly mileage reporting.

j. Communicating with internal agency fiscal officers to ensure that agency funding levels for vehicle expenses are properly managed.

k. In the event of an accident where the driver is at fault, the coordinator will be responsible for determining via agency leadership if the Driver/Operator was operating within the course and scope of their duties. 4.61 Monthly Vehicle Odometer Reporting .1 For each vehicle permanently assigned, the using agency is required to furnish SFM with an accurate monthly odometer reading by a date specified by SFM. Failure to report odometer readings accurately may invalidate maintenance requirement alerts, and may subject the operating agency to additional repair charges. .2 If the odometer reading is not furnished to SFM by the specified monthly reporting date, the agency to whom the vehicle is assigned may be billed a default mileage. These odometer readings will be recorded through an on-line reporting tool or other method specified and approved by SFM. 4.62 Preventative Maintenance Reporting .1 Each agency is responsible for assuring that the preventative maintenance prescribed by SFM is followed for the vehicle(s) assigned to that agency. .2 Each Agency is responsible for reporting any work performed by repair facilities on SFM operated vehicles. 4.63 Emissions Test .1 All state-owned vehicles assigned to areas within the emissions program area are subject to the emissions testing requirements of the State's emissions program. .2 If an emissions test is required and the state vehicle fails the emissions test, it will either be brought into compliance or the vehicle will not be driven. SFM will pay for the expenses incurred to bring a vehicle into compliance only if such repairs are deemed economically feasible or reasonable alternatives are not available. .3 Each agency is responsible for monitoring the expiration date of the emissions status on the vehicle and getting the emissions test performed when it is due. SFM will pay for required emissions tests. 4.64 Responsibility Citations and fees issued for expired emissions compliance are the responsibility of the operating agency. 4.70 Accountability State agencies and/or individual employees may be held financially accountable for all costs resulting from the violation of these rules relating to the misuse of state-owned motor vehicles. It is the duty of all state employees to report fraudulent or illegal actions that do not comply with State rules and regulations.

Failure to comply can result in personal liability or revocation of SFM services. 4.71 Revocation of Assignment Noncompliance with these rules may be grounds for revocation of vehicle assignment. 4.72 Disciplinary Action At the discretion of the employing agency, corrective and/or disciplinary action may be appropriate for State employees found to be in violation of these rules. 4.73 Other Fees and Charges SFM reserves the right to charge an administrative fee, or the full cost of repairs or service, for any of the following: .1 Improper use of the fuel card. .2 Failure to follow Turn in Requirements. .3 Actions that void the vehicle warranty. .4 Other substantial rule or procedural infractions as determined by SFM. 4.80 Acquisition by Operation of Law Agencies are notified that motor vehicles acquired by operation of law are, pursuant to section 24-30- 1101, C.R.S., “State-owned motor vehicles” and are subject to Fleet Management Program oversight. 4.81 Forfeiture .1 The head of any state department, institution, or agency that comes into possession of a motor vehicle of the type described in section 24-30-1102, C.R.S. by operation of law including but not limited to seizure, confiscation, or forfeiture under sections 33-6-102, 16-13-506, C.R.S. or other law, shall report the following to SFM within 10 days of the vehicle's judicial forfeiture order or perfection of the State's right and interest in the vehicle:

a. Location of the motor vehicle.

b. A copy of the perfected Certificate of Title.

c. The contact information of the responsible official within the agency.

d. License plate number.

e. Planned usage of the motor vehicle to include time lines. 5.00 Permanent Assignment of Vehicle A permanent assignment is defined as the issuing by State Fleet Management of a motor vehicle to any state agency for a period expected to exceed twelve continuous months. A short term assignment may exceed twelve months only if approved by SFM in advance. 5.10 Restrictions on Assignment of Vehicles .1 Favoritism Requests for assignment or reassignment of motor vehicles shall not be honored when the purpose of the assignment or reassignment is to provide a newer or lower mileage vehicle to a state officer or employee on the basis of rank, position, management authority, length of service, or other nonessential purpose. .2 Number of Vehicles Requests for additional vehicles will not be honored unless the request is based on documentation as specified and required by SFM that demonstrates the expanded need. 5.20 Basis for Revocation Revocation of assignment may occur when it has been reasonably determined by the State Fleet Manager that: .1 Unofficial Use The vehicle has been used for purposes other than official state business; .2 Failure to File Reports An agency fails to submit required reports or when the required reports that have been filed fail to meet the established standards as published by the Division, and such deficiencies are not cured within thirty calendar days after receiving notification from State Fleet Management of such deficiency; .3 False Information False information has knowingly and willfully been supplied on an application for permanent assignment, commuting reimbursement form, or other required report or form; .4 Required Signature An individual required to do so fails to sign all reports or forms submitted for vehicles permanently assigned and fails to cure the deficiency within thirty calendar days after receiving notification from State Fleet Management of such deficiency; .5 Abuse A State-owned motor vehicle has been abused; .6 Violation of Other Rules A violation of other rules or regulations promulgated by the Department has occurred which warrants revocation of assignment as specified in those rules and regulations. .7 Low Utilization Failure of vehicles to meet the minimum annual utilization criteria based on the appropriate utilization classification. 4.30 Notice of Suspected Violation If the Director of the Division within which State Fleet Management resides determines that there is sufficient cause for revocation, a written notice will be sent to the affected agency. The notice will identify the vehicle involved, outline the suspected violations which are considered causes for revocation, and request the affected agency to correct the situation within 30 calendar days. 5.40 Revocation If, within 30 calendar days, the operating agency fails to correct the conditions outlined in the written notice, the Director of the Division within which State Fleet Management resides, will notify the affected agency that the assignment of the vehicle is being revoked. If so notified, the affected agency will immediately return the vehicle to State Fleet Management. Revocation of the vehicle may not nullify applicable assigned charges associated with ownership of the vehicle. Every reasonable effort will be made to locate the proper reassignment for the vehicle. 5.50 Appeals If the affected agency feels that revocation is unwarranted, the executive director, University or College President, or designee of such agency may appeal the decision to the Executive Director, Department of Personnel & Administration, who will respond in writing with a decision within 30 calendar days. This decision will be binding and final. 5.60 Reassignment of Revoked Vehicle Requests for reassignment of a vehicle, following the revocation of assignment, shall not be honored until State Fleet Management is reasonably assured through formal documentation that the violation for which a vehicle was previously revoked will not recur. If the revoked vehicle has been reassigned to another agency, then the vehicle slot must be formally requested through the vehicle request process. 6.00 Annual Verification of Minimum Utilization .1 Minimum Annual Utilization A state-owned motor vehicle shall not be permanently assigned to any agency, state officer, or state employee if the vehicle is not likely to meet the minimum required utilization for the utilization classification associated with the vehicle’s intended work function. .2 Utilization Reports Following the close of each fiscal year (using June 30 data), State Fleet Management will prepare and distribute, to each state agency, a listing of vehicles that have not met the required annual utilization for the appropriate utilization classification. Vehicles that have not been in their present use assignment long enough to establish a utilization pattern will not be included in the report. 6.10 Low Utilization .1 For each and every state-owned motor vehicle that does not meet the minimum use for the designated utilization classification, the operating agency shall furnish State Fleet Management with justification for continued retention of the vehicle. .2 If the responsible state agency cannot reasonably justify such lower utilization, permanent assignment may be revoked immediately. .3 The following may be considered as justification for low utilization:

a. Partial year classification to a higher or lower utilization code.

b. Errors - Coding or mileage reporting error that can be validated through documentation.

c. Economics - Low utilization, but more cost effective than alternatives.

d. Disposal Pending - Vehicle will not remain on inventory records for more than six months.

e. Vehicle Not Available – Vehicle could not be driven for extended period due to driver illness or due to very lengthy repair time.

f. Other Unique Situations – SFM will work with the MVAC to evaluate unique situations on a case-by-case basis. 7.0 Opting Out of the State Fleet Program (Higher Education)

An institution of higher education may withdraw from the State Fleet Management (SFM) Program by meeting the following requirements: .1 The head of the institution must notify the Executive Director of the Department of Personnel & Administration in writing of the institution’s wish to withdraw at least six months prior to the end of the current fiscal year. .2 The institution must complete all of the necessary transition requirements established by State Fleet Management so that the effective date of withdrawal from the Program may take place on July 1 of the following fiscal year. _________________________________________________________________________ Editor’s Notes

History

Section 20.00 eff. 12/01/2007.

Section 3.00 eff. 03/31/2011.

Section 3.00 eff. 11/30/2011.

Preamble, section 1.10.01 eff. 10/30/2015. Sections 20.00-20.30 repealed eff. 10/30/2015.

Entire rule eff. 02/01/2019.

1 CCR 103-2 Capitol Complex Parking Rules {#sec-1-ccr-103-2 omnilex-key=us-co-regs-official--department-14--1 CCR 103-2}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

CAPITOL COMPLEX PARKING RULES

1 CCR 103-2 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Preamble Unless otherwise noted in a specific provision, the Division of Central Services Capitol Complex Parking Rules were adopted and made effective by the Executive Director on October 28, 2005.

This version reflects rulemaking by the Executive Director of the Department of Administration as follows: to modify Rule 1.1 regarding bicycle lockers, modify Rule 3.1 terminology, modify Rule 4.1 regarding Capitol Circle space allocation, modify Rule 4.8 regarding “sublease”, add Rule 4.9 regarding subleasing parking spaces, modify Rule 4.10 numbering, modify Rule 4.11 numbering, modify Rule 6.1 (b) to annual, modify Rule 7.1 strike if “if required” and terminology, modify Rule 7.2 regarding charges and added 7.2.1, modify 9.2 regarding personal check payee and charges, modify Rule 9.3 regarding court fee amount, modify Rule 9.4 numbering and regarding collections information. 1.0 Generally 1.1 The Department of Personnel & Administration (DPA), Division of Central Services, is responsible for the management, maintenance, and administration, including the establishment of rules, regulations, rental fees, and charges, regarding all State-owned parking facilities in the Capitol Complex, including:

• State Capitol circle drive at 201 E. Colfax Avenue • Parking structure at 1350 Lincoln Street • Parking lot at 1325 Sherman Street • Parking lot at 1520 Lincoln Street (including alley)

• Parking lot at 1530 Sherman Street • Parking lot at 1570 Grant Street • Any other parking lots or facilities within the Capitol Complex.

• Bicycle locker parking at 1525 Sherman or any other facilities within the Capitol Complex 1.2 The State-owned parking facilities at 690/700 Kipling Boulevard, 1881 Pierce Street, 1001 E. 62nd Avenue, 780 Grant Street, and the State Office Building in Grand Junction also shall be managed by DPA pursuant to these rules, except that rules 5, 6, 8, and 9 shall not apply. All other State-owned parking facilities shall be managed by the primary agency using the facility, and shall not be subject to these rules. 2.0 Definitions 2.1 “Agency space” means a location assigned to a state agency or institution for the placement of agency fleet vehicles. Agency spaces may not be used for the placement of personally-owned vehicles, or issued by agencies for use by individual employees. 2.2 “Assignee” means an agency or individual state employee who has been assigned a parking space. 2.3 “Capitol Complex” means the area encompassing state-owned buildings and grounds within the area bounded by 16th Avenue, Broadway, 11th Avenue, and Logan Street in the City and County of Denver. 2.4 “Carpooler” means a person registered as a driver or passenger in a carpool or vanpool, and working in the Downtown Denver Area. 2.5 “Downtown Denver Area” means the area within a 1.2 mile radius of the Colorado State Capitol Building. 2.6 “Individual space” means a location assigned to a particular state employee for his or her personal use. 2.7 “Waiting list” means those employees who have applied for, but not yet received, individual parking spaces in a State-owned parking facility. 3.0 Applications 3.1 The head of each state agency or institution, or their delegate, may request in writing agency spaces to be used for agency fleet vehicles, in accordance with rule 2.1. 3.2 Any state employee who works at least half-time may apply for an individual space using the approved form. It is an employee’s continuing responsibility, while either on the waiting list or assigned a parking space, to update the contact and/or vehicle information by submitting a Parking Information Update Form to the Capitol Parking Authority within five (5) working days of any change. 4.0 Assignments 4.1 Spaces in the State Capitol circle drive are allocated by joint resolution of the General Assembly pursuant to § 2-2-321, C.R.S. Authorized individuals parking in the State Capitol circle drive shall not be subject to rule 3. 4.2 All parking spaces other than those allocated in accordance with rule 4.1 shall be allocated by DPA pursuant to § 24-82-103, C.R.S. If an employee is offered a space but declines, the employee will be moved to the end of the waiting list. 4.3 Heads of principal departments shall each be provided one space in the Lincoln Street parking structure without charge. Additional spaces will be provided in accordance with rule 3.1 and billed for in accordance with rule 5.2. 4.4 An employee requesting disabled access parking must provide a copy of either the disabled access permit card issued by the Division of Motor Vehicles, or the registration showing that the vehicle has disabled access license plates. 4.5 Motorcycles and scooters may be parked in the Lincoln Street parking structure and the parking lot at 1325 Sherman Street. Another type of vehicle, such as a car or truck, may not be parked in a motorcycle/scooter space. However, employees that have been assigned a regular space may use that space to park a motorcycle or scooter. Only scooters and bicycles may be parked without charge at any bicycle rack provided at a State parking facility. 4.6 DPA reserves the right to retain, eliminate, or reassign parking spaces, or to change public access upon 30 days’ notice, or without notice due to security measures determined necessary by DPA or the Department of Public Safety. A displaced agency or individual parking customer shall have a preference when another space becomes available. 4.7 All vehicles are parked in state facilities at the risk of the owners, drivers, and passengers.

Neither the State of Colorado, nor any of its agents or employees, shall have any liability or obligation to anyone for any damage or loss with respect to any vehicle or its contents while parked at any state facility. 4.8 Neither agencies nor employee assignees may reassign parking spaces. Agency spaces may not be used for the placement of personally-owned vehicles, nor may agency spaces be issued by agencies to individual employees. 4.9 Capitol Complex may approve an assignee to sublease individual parking spaces, in accordance with the terms and conditions of the parking agreement. 4.10 A state agency space is reserved at all times, and an individual space is reserved during normal state business hours. On Saturdays, Sundays, and holidays, a state employee with an assigned individual space is guaranteed a space in their assigned facility, but not necessarily their particular reserved space. 4.11 The Executive Director of DPA may authorize the lease of all or a portion of the spaces in any parking facility to local governments or private entities in connection with community, civic, or commercial purposes outside of normal state business hours. Every such lease shall contain provisions requiring the lessee to, without reservation, indemnify and hold harmless the State of Colorado, DPA, and all state officers and employees. 5.0 Fees 5.1 Each year, DPA conducts a survey of similar parking facilities surrounding the Capitol Complex, and uses that information to set parking rates, pursuant to § 24-82-103(2), C.R.S. 5.2 DPA will bill for agency spaces on a current basis within the same month as the accounting period through an internal exchange transfer through the Colorado Operations Resource Engine (CORE). An agency must provide any changes in billing information to the Capitol Parking

Authority by the first business day of each month. 5.3 An employee must authorize a monthly payroll deduction to pay for an individual parking space before the space will be assigned. Individual parking fees are deducted from the same month’s salary. 5.4 All refunds are made through the payroll system and will be pro-rated based upon the number of calendar days in the month in which parking is commenced or terminated. The termination date used will be the date the Authority receives the parking permit and remote facility opener, if applicable. 5.5 All fees, penalties, or other funds received pursuant to these rules shall be deposited pursuant to § 24-82-103, C.R.S. 6.0 Carpool and Vanpool Discounts 6.1 A driver of a carpool or vanpool is eligible for a reduced parking rate based on the number of passengers, and by meeting all of the following requirements:

(a) The driver who has been assigned the space must be a state employee.

(b) All carpoolers must ride to and from work together at least four days per week excluding sick, annual, or other approved leave time.

(c) No person may be claimed in more than one carpool or vanpool, nor may any person be assigned an individual space while participating in a carpool or vanpool.

(d) All carpoolers must complete the approved Carpool/Vanpool form, and complete an updated confirmation of the information at least annually.

(e) All carpoolers must work in the Downtown Denver area, as verified on the required carpool/vanpool forms. 6.2 The amount of the reduced parking rate depends upon the number of persons participating in the carpool or vanpool. With two carpoolers, a 25% discount shall apply. With three carpoolers, a 50% discount shall apply. With four carpoolers, a 100% discount shall apply. 6.3 Should the carpool or vanpool fail at any time to comply with the requirements of rule 6.1, the assignee will no longer qualify for reduced parking rates. 7.0 Permits and Parking Access Devices 7.1 A numbered parking permit in the form of a plastic tag indicating facility and/or a parking access device will be issued for each assigned space. The permit must be displayed in the front windshield so that the number is in plain view. When an assignee leaves state employment, the permit and/or parking access device must be returned to the Capitol Parking Authority. Parking permits and/or parking access devices must be returned whenever an assignee changes or relinquishes a space. 7.2 A charge will be assessed to replace a lost, stolen, broken, or unreturned parking permit tag and/or access device. Payments for permits and parking access devices maybe made in cash, by personal check payable to the State of Colorado, or by credit card as provided by Capitol Complex. No refund or credit will be made for the return of a lost, stolen, broken, or previously unreturned permit or parking access device after a new permit or device has been issued. If a permit or device that has been reported lost or stolen is found in use, the individual using the permit or device may be subject to appropriate civil, criminal, and personnel action. 7.2.1 The charges assessed to replace a lost, stolen, broken, or unreturned parking permit tag and/or access device will be published on the Capitol Complex website. 8.0 Violations 8.1 Administrative penalties will be assessed for each of the following violations:

(a) Failure to display a valid permit (b) Parking in a loading zone (c) Improper parking so as to hinder vehicle or pedestrian traffic (d) Unauthorized parking in an assigned space (e) Failure to maintain current assignee or passenger information, if applicable (f) Double parking (g) Parking in or blocking a crosswalk (h) Parking in or blocking a driveway (i) Parking in a prohibited zone (j) Falsification, duplication, fabrication, or alteration of a parking permit (k) Unauthorized parking in a disabled access space (pursuant to 42-4-1208 C.R.S. [2014]). 8.2 The owner of any vehicle found to be in violation of any of the above shall be responsible for the payment of any administrative penalty and towing or storage charges, if applicable. 8.3 The administrative penalty schedule for these violations will be published on the Capitol Complex Web site. Administrative penalties will comply with existing state and local statutes, and shall not exceed the fees or penalties described therein. 9.0 Enforcement 9.1 Only authorized DPA personnel may issue citations or authorize the towing of vehicles at state facilities for violations of these rules. 9.2 Each citation will include a date and time for the respondent to appear before an administrative law judge at the Office of Administrative Courts. A respondent not wishing to contest a citation may pay the assessed penalty by sending a check made payable to the State of Colorado at 1525 Sherman Street, B-15, Denver, Colorado 80203. An additional fee will be added for any check returned for insufficient funds. 9.3 A respondent may contest an assessed penalty by appearing personally or through legal counsel at the date and time specified on the citation at the Office of Administrative Courts, 1525 Sherman Street, Fourth Floor, Denver, Colorado, 80203. A hearing fee shall be assessed, which shall be waived if the respondent prevails at the hearing. If the respondent fails to appear for the hearing, the judge will enter a final decision against the respondent. 9.4 A citation that remains unpaid for thirty days after issuance, or in the case of a contested citation, for thirty days after an unappealed decision of an administrative law judge or the Division Director, shall be deemed delinquent. When a citation becomes delinquent, the amount due shall double and be referred to Collections as determined by Capitol Complex for further action. This process shall be published on the Capitol Complex website. _________________________________________________________________________ Editor’s Notes

History Preamble, rules 2.0-9.0 eff. 10/30/2015.

Preamble, rules 1.1, 3.1, 4.1, 4.2, 4.8-4.11, 6.1(d), 7.0, 9.0 eff. 01/14/2021.

1 CCR 103-3 State Capitol Buildings Group Grounds Permit Regulations {#sec-1-ccr-103-3 omnilex-key=us-co-regs-official--department-14--1 CCR 103-3}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

STATE CAPITOL BUILDINGS GROUP GROUNDS PERMIT REGULATIONS

1 CCR 103-3 [Editor’s Notes follow the text of the rules at the end of this CCR Document] _________________________________________________________________________ Preamble Unless otherwise noted in a specific provision, the Division of Central Services Capitol Complex Grounds Permit Rules were adopted by the Executive Director and made effective on May 2, 2004.

This version reflects rulemaking by the Executive Director of the Department of Administration as follows: to repeal Rule 1.11; modify Rule 1.12 for grammar, numbering; modify Rule 1.13 for numbering; modify

Rule 2.3 to clarify time; add Rule 2.8 regarding cleaning of site; modify numbering of Rule 2.9 and add

Rule 2.9.1 regarding public safety and other restrictions; modify Rule 4.7 regarding donations; add Rule 4.7.1 regarding donation schedule; modify Rule 6.2 and 6.3 to clarify applications; add Rule 8.4 regarding denials.

Statement of Basis, Purpose, and Authority The purpose of these rules is to establish standards for the acceptance, processing, review and disposition of permit applications for demonstrations and special events at the State Capitol Complex Buildings and Grounds. Statutory authority exists in § §24-30-102(2)(a), 24-82-101, and § §24-82-105, C.R.S. 1.0 Definitions 1.1 “Commercial enterprise” means any activity that may be considered or reasonably interpreted as being for the advertisement, promotion, sale, or transfer of products or services, or the participation in a commercial venture of any kind. 1.2 “Event” includes picketing, speechmaking, marching, holding vigils or religious services, press conferences, historical reenactments, celebrations, entertainments, exhibitions, parades, fairs, pageants, sporting events, and all other similar activities which involve the communication or expression of views or ideas, engaged in by one or more persons, the conduct of which has the effect, intent, or propensity to draw a crowd or onlookers, but does not include casual use by visitors or tourists. 1.3 “Event Marshal” refers to those persons within the group or organization planning an event who are responsible for maintaining order within their group, including making sure that traffic is still able to flow through the State Capitol parking circle during the event. 1.4 “Executive Director” means the Executive Director of the Department of Personnel & Administration, or the Executive Director's designee. 1.5 “Limitation” includes, but is not limited to, the size of a group. 1.6 “Lincoln Park” refers to the area bounded by Lincoln Avenue, Broadway, Colfax Avenue, and 14th Avenue in the City and County of Denver. 1.7 “Solicitation” means any in-person, face-to-face request or demand for monetary contributions or offers to sell expressive materials, such as bumper stickers or buttons, made to passers-by or members of the public in a continuous or repetitive manner. 1.8 “State Capitol Complex Buildings and Grounds” means the area encompassing State-owned buildings and grounds within the area bounded by 16th Avenue, Broadway, 11th Avenue, and Grant Street in the City and County of Denver. 1.9 “State Capitol Grounds” refers to the area bounded by Grant Street, 13th Avenue, Lincoln Avenue, and Colfax Avenue in the City and County of Denver that may be permitted for an event. 1.10 “Festival” means an event that is open to the general public, featuring commercial vendors, booths and stages. 1.11 “Event Coordinator” means the person who submitted the application, was granted the permit, and is responsible for returning the site to the way it was presented to them, including clean up and liability for any damage. 1.12 “Extraordinary Event” means a time period during which a large-scale special event of national or international significance is occurring within the City and County of Denver and for which a large number of permit applications are anticipated. 2.0 General Requirements 2.1 All Event activities shall be conducted at the permitted location on the State Capitol Grounds or in Lincoln Park. Permits do not extend into the buildings unless otherwise authorized to do so. 2.2 Event activities shall not result in damage to or destruction of state property, including, but not limited to buildings, statues, fixtures, and lawns. 2.3 All Event activities must align with the City and County of Denver’s curfew rules which prohibit Events occurring during the hours of 11:00 pm through 5:00 am 2.4 Event activities shall provide ten (10) feet of undisturbed space at all entrances to State buildings to allow for ingress and egress, and shall not otherwise impede or block entrances or vehicle or pedestrian traffic into or around buildings, unless prior authorization to do so has been granted by the Executive Director or the ranking police supervisory official present at an event. 2.5 Sound systems are allowed unless the Executive Director finds that a system would unreasonably interfere with other lawful activities occurring in the area. 2.6 It is the responsibility of any permitted group or organization to identify an Event Coordinator. The Event Coordinator must be present during the entire Event. If there are multiple Event Coordinators, a roster of all Event Coordinators must be provided prior to the Event. The roster must include the name of each Event Coordinator, their scheduled shift(s) and emergency contact telephone numbers, where they may be reached during their shift(s). 2.7 It is the responsibility of any permitted group or organization to select one or more Event Marshal and inform them of the content of these regulations, law enforcement contacts, and any other conditions or limitations affecting the Event. Each Event Marshal must have identification provided by the Event Coordinator identifying them as an Event Marshal. Although it is not the Event Marshals' responsibility to conduct law enforcement duties, it is their responsibility to know who to contact regarding law enforcement needs. 2.8 It is the responsibility of any permitted group or organization to return the event site to the condition in which it was presented to them at the onset of the Event. Permitted groups or organizations are required to conduct adequate clean-up of the Event site on the same day as the permitted event, and remove any and all equipment, signage, garbage or other materials related to the Event. Failure to perform adequate clean-up may result in liability for damage, and/or denial of additional permits. 2.9 The Executive Director may impose any other reasonable time, place, and manner restrictions deemed necessary for the protection and the safety of the participants, the public and the State. 2.9.1 Additional required provisions may include but are not limited to fencing, portable toilets, garbage receptacles and/or service, and security services. 3.0 State Capitol Grounds 3.1 Permits will only be approved and issued for one Event at a time in one of the following locations:

West Capitol Steps, Pearl Harbor Memorial, Closing Era Monument, Armenian Garden, U.S.S.

Colorado Memorial, Civil War Monument, and Sand Creek Plaque. 3.2 Events and Solicitation may be conducted on the State Capitol Grounds only within a 100-foot external radius of the site defined by a permit. Solicitation is not allowed on State Capitol Grounds except during a permitted Event. No other Solicitation is allowed on the State Capitol Grounds, except on the perimeter sidewalks. 3.3 Commercial Enterprise authorized by a permit holder may be conducted on the State Capitol Grounds only on grassy areas within a 100-foot radius of the site defined by a permit. No other Commercial Enterprise is allowed on the State Capitol Grounds, except on the perimeter sidewalks. 3.4 Camping is not allowed on the State Capitol Grounds. 3.5 Nothing shall be attached to State property including, but not limited to rope, tape, stakes, and people. 3.6 No vehicles shall be parked on the hardscape pavers located at the west entrance of the Capitol. 3.7 All incendiary devices are prohibited on the State Capitol Grounds, excluding cigarette lighters. 3.8 In accordance with State Risk Management standards, Festivals must provide proof of liability insurance including general, personal injury and automobile liability (including bodily injury, personal injury and property damage) must be provided to the program prior to receiving the approved permit. 4.0 Lincoln Park 4.1 Permits will only be approved and issued for one Event at a time in Lincoln Park. 4.2 Solicitation is allowed in Lincoln Park during a permitted event. 4.3 Commercial Enterprise authorized by a permit holder may be conducted only on grassy areas in Lincoln Park pursuant to a permit. No other Commercial Enterprise is allowed in Lincoln Park, except on the perimeter sidewalks. 4.4 Camping is not allowed in Lincoln Park. 4.5 Nothing shall be attached to State property including, but not limited to rope, tape, stakes, and people. 4.6 Candles may be used only in grassy areas and used only with cups or other containers that prevent wax from dripping onto State buildings or grounds. Cigarette lighters are permissible. All other incendiary devices are prohibited. 4.7 For Events in Lincoln Park, permit holders must make a donation, which is used for the maintenance and preservation of the monuments in Lincoln Park. 4.7.1 The donation schedule for Events in Lincoln Park shall be published on the Capitol Complex Web site. 4.8 In accordance with State Risk Management standards Festivals must provide proof of liability insurance including general, personal injury and automobile liability (including boldly injury, personal injury and property damage) must be provided to the program prior to receiving the approved permit. 5.0 Other State Buildings and Grounds 5.1 Solicitation and Commercial Enterprise within State buildings and on grounds other than the State Capitol Grounds and Lincoln Park are not allowed except on the perimeter sidewalks, when in conjunction with Department of Human Services business enterprise activities pursuant to § §26- 8.5-101, et seq., C.R.S., or in the useable space of an agency occupying a building as an approved tenant when the head of the agency approves the Event in writing and takes full responsibility for the Event. 6.0 Permit Applications 6.1 Events may be conducted on the State Capitol Grounds and in Lincoln Park only with a permit issued by the Executive Director. 6.2 Applications to conduct an Event at the State Capitol Complex Grounds may be submitted on the approved form. Applications will not be accepted more than 180 days nor less than 30 days before a proposed Event is scheduled to occur. Applications must be legible and complete, and on the approved form. 6.3 Applicants may apply for a waiver from the requirement of a minimum of 30-day notice prior to an event. The Executive Director may grant a waiver if it appears that, under the circumstances, it will be possible to adequately protect the public safety, health, and welfare. To request a waiver, applicants complete the “Request for Waiver of 30-Day Notification” section of the application. 6.4 The Executive Director will approve or deny an application for an Event within 20 days of receipt of a legible and complete application. 7.0 Conflicting Applications 7.1 When more than one application for a permit is received on the same business day for the same date and location, the following criteria will be used in the order listed to determine which request is granted: 7.1.1 Events classified as “Historic Usage,” meaning the same applicant has been granted a permit at a particular date, time and location for more than five (5) consecutive years unless the date, time or location was changed by the Executive Director due to a conflict. 7.1.2 If the Historic Usage rule does not apply, conflicting applications submitted on the same business day requesting the same date for a permit shall be part of a lottery process. 7.1.3 A lottery shall be conducted as follows: no later than ten (10) days after the conflicting applications are received, the Executive Director, in a public meeting, shall draw at random from the applications received for permits for the date at issue. Only one application per organization will be submitted for the drawing. The first application drawn at random shall be issued a permit and have first choice of the time slot, as specified in the application. The second application drawn at random shall be granted the permit for the second choice time slot available for the same day. This process shall continue until all applications are granted a time slot. If any of the applications for a permit on a given day indicate an unwillingness to conduct an Event in the remaining time slots available, the Executive Director shall select another application for the remaining time slots at random, and continue in this fashion until the remaining available time slots are filled. 7.2 If the Event qualifies as an Extraordinary Event, the process described in 7.1 will be applicable. If designated as an Extraordinary Event, the application receipt period will be extended ten (10) days past the 180 day deadline established in regulation 6.2. The lottery will then take place within ten (10) days of the deadline and will include all applications received within the application receipt period. 8.0 Permit Denials A permit may be denied in writing by the Executive Director on the following grounds: 8.1 The Executive Director determines that the permit application is incomplete, or that the information submitted in the application is false or misleading. 8.2 A completed application for an Event for the same time and place has already been received from another applicant, and a permit has been or will be granted for the event. In such a case, an alternative date, if available, will be proposed by the Executive Director. 8.3 The proposed Event is of such a nature that it cannot reasonably be accommodated in the particular area applied for or during the particular time applied for. In that case, the Executive Director shall propose an alternate time or place to the applicant, if available for the activity, taking into account possible damage to the area, including trees, shrubbery, other plantings, installations and statues. 8.4 The individual, group or organization applying for an Event permit has previously held an Event which was not in compliance with any of the rules contained herein. 9.0 Permit Revocation 9.1 A permit issued for an Event at the State Capitol Complex Buildings and Grounds is revocable if the permit holder or participants violate these regulations or the laws of the United States or State of Colorado in the course of the Event and the violation(s) pose a direct, immediate, and significant threat to public safety or public property. 9.2 During the conduct of an Event, the ranking law enforcement official in charge may revoke a permit if it reasonably appears that continuation of the Event is likely to incite or produce imminent lawless action. Law enforcement officials may direct counter-demonstrators to alternative locations in order to preserve the permit holder's privileges and to protect public health, safety, and welfare. 10.0 Cancellations The permit holder must notify the Executive Director 24 hours in advance of any cancellation of an Event.

The Executive Director may cancel a scheduled Event when necessary to protect public safety in the case of a threat to the State Capitol Grounds, as determined by the President, the Governor, the U.S.

Department of Homeland Security, or the Colorado Office of Preparedness, Security, and Fire Safety. 11.0 Appeals All appeals and hearings which are required by law regarding denial, suspension, revocation, limitation, or modification of a permit shall be requested, provided, and conducted in accordance with the requirements of Article 4 of Title 24, C.R.S. _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 05/02/2004.

Rule 1-11 emer. rule eff. 02/25/2008; expired 05/25/2008.

Entire rule eff. 07/01/2010.

Preamble, Sections 1.11 – 1.12, 2.3, 2.8 - 2.9.1, 4.7 – 4.7.1, 6.2 – 6.3, 8.4 eff. 10/30/2015.

1 CCR 103-4 State Use of Colorado Convention Center Display Space {#sec-1-ccr-103-4 omnilex-key=us-co-regs-official--department-14--1 CCR 103-4}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Central Services STATE USE OF COLORADO CONVENTION CENTER DISPLAY SPACE 1 CCR 103-4 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ 1.0 BASIS, AUTHORITY, AND RESPONSIBILITY 1.1 BASIS AND PURPOSE: To establish rules by which the Colorado convention center display space will be used to promote Colorado tourism, business, education, agriculture and products in the State. 1.2 AUTHORITY: Title 24, Article 83 of the Colorado Revised Statutes directs the Executive Director of the Department of Administration to promulgate rules and regulations for suitable display space in the Colorado Convention Center to be provided by the City and County of Denver. 1.3 RESPONSIBILITY: It is the responsibility of the Executive Director, manager and all users of the display space to ensure compliance with the rules.

2.0 APPLICABILITY AND DEFINITIONS 2.1 APPLICABILITY: Applies to all those requesting use of the display space.

2.2 DEFINITIONS: .01 AGENCY means institution, department, board, commission, section or unit of state government, including institutions of higher education. .02 COMMERCIAL means any for profit organization. .03 COLORADO PRODUCTS AND BUSINESS means a Colorado company which produces, manufactures, grows, raises or substantially enhances a Colorado product or provides a service associated with Colorado products. .04 DEPARTMENT means the Colorado Department of Administration. .05 DISPLAY SPACE means the area located in Concourse A of the Colorado Convention Center for use by the state of Colorado. .06 EXECUTIVE DIRECTOR means the Director of the Department of Administration. .07 PRIVATE NON-PROFIT means any organizations with a 501c3 status or registered as a non-profit in the State of Colorado. .08 PRODUCT means a product manufactured in Colorado. .09 TIME-SHARE means the method by which the display space will be used by organizations and regions to promote Colorado tourism, education, business, agriculture and products.

3.0 MANAGEMENT OF DISPLAY SPACE 3.1 GRADUATED FEE SCHEDULE - A fee schedule will be developed by the Executive Director of the Department. The fees may be charged to private non-profit or commercial entities only and will not exceed those necessary to manage and purchase equipment for the display space. State agencies, counties and municipalities shall not be subject to fees. Fees will be based on ability to pay. 3.2 CONTRACT MANAGEMENT - The management of the space may be contracted out to any public or private entity. A display space manager will be assigned by the Department or by the contracting entity.

4.0 SCHEDULING DISPLAY SPACE 4.1 PERMANENT DISPLAY - Any permanent display will be created, built and maintained with donations from public or private entities, loans from the state treasury, or other gifts, grants or loans. The department will establish a mechanism to provide opportunity for Colorado organizations promoting Colorado tourism, education, businesses, agriculture and products to use a portion of the display space created for such displays. 4.2 TIME SHARE PROMOTIONS - Displays which are not permanent may be used to promote geographic regions, economic sectors, enterprise zones, or other ad hoc or officially designated regions of the State. The regional displays could include tourism, education, manufactured products, business and agriculture. 4.3 SCHEDULING - Use of the space for time share promotions will be determined each calendar year per convention center event by the following priorities: First preference will be given to statewide exhibits organized by the Department of Agriculture, Colorado Tourism Board, Colorado Commission on Higher Education, Department of Education and the Colorado Office of Business Development. Second priority will be given to organizations which form a cooperative group based on suggestions in section 4.2. Third priority will be given to exhibits representing individual organizations.

5.0 RESPONSIBILITY OF EXHIBITOR: 5.1 A deposit of $500.00 will accompany each application to use the display space for each convention center event at which the entity wishes to exhibit. The deposit will be returned in full when the exhibitor has met all requirements of the agreement or if the exhibitor is not selected. The deposit will not be returned if the exhibitor fails to use the space at the designated time and no other exhibitor is found as a replacement. Selection will be based on the priorities listed in 4.3. 5.2 Displays may be set up and dismantled only when the conventionis not in session. The times considered appropriate will be determined by the convention manager, convention center representatives and the display space manager. 5.3 The exhibitor is solely responsible for set up, dismantling, staffing, equipment, supplies, upkeep of display and promotional materials. 5.4 The exhibitor will keep the area clean and neat and in a professional appearance. 5.5 Promotional materials and displays must be reviewed by the display space manager before use. 5.6 The exhibitors will abide by the rules and regulations of the Colorado Convention Center.

6.0 RESPONSIBILITY OF STATE: 6.1 A designated display space manager will receive requests for scheduling time share promotions, provide convention center schedules when requested, and act as liaison with Colorado Convention Center staff. 6.2 Develop and raise funds for a permanent display which benefits all of the state. 6.3 Keep interested parties informed regarding Convention Center activities. _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 05/30/1992.

1 CCR 103-5 Leasing Rules for Capitol Complex Tenants {#sec-1-ccr-103-5 omnilex-key=us-co-regs-official--department-14--1 CCR 103-5}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Central Services LEASING RULES FOR CAPITOL COMPLEX TENANTS 1 CCR 103-5 [Editor’s Notes follow the text of the rules at the end of this CCR Document] _________________________________________________________________________

Statement of Basis, Purpose and Authority The purpose of these rules is to establish occupant rules in relationship to space assigned to State agencies in the Capitol Complex Program of the Division of Central Services (DCS) of the Department of Personnel & Administration (DPA). Statutory authority exists in §24-30-1303, C.R.S. 1.0 Definitions 1.1 “Capitol Complex Program” means the Program established under section § §24-1-136.5, 34-30- 1303, 24-82-101 through 103 and 18-9-117 C.R.S. 1.2 “DPA Tenant Handbook” means the handbook developed by DPA and the Capitol Complex Program that provides information regarding building services, requests, processes, contact names, telephone numbers and forms. 1.3 “Premises” means usable space assigned to a particular agency. 1.4 “Building” means the particular structure within the Capitol Complex program where an Occupant is assigned space. 1.5 “Office Space” means any function or use associated with the Occupant or its programs. 1.6 “Occupant” means the State Agency receiving Common Policy Allocations to use for Leased Space Payments of Office Space. 1.7 “Leased Space Payments” are payments made by Occupant to Owner for assigned Office Space.

Leased Spaced Payments are calculated by DPA and based on each Building’s particular composition of square footage, number of tenants, and operating costs. 1.8 “Owner” means the Capitol Complex Program. 1.9 “Common Policy Allocation” means the funds allocated to State agencies to make Leased Space Payments by Colorado’s Office of State Planning & Budget and the Joint Budget Committee. 2.0 Responsibilities of Occupant 2.1 Use of Premises: 2.1a Occupant agrees that the Premises shall be used and occupied only as Office Space in a careful, safe and proper manner, and that it will pay on demand for any damage of the Premises caused and the misuse of same by its guest, invitees, agenda or employees. 2.1b Occupant agrees that they will not assign or sublet any portion of the Premises without prior written approval from the Owner. 2.1c Occupant shall not use or permit the Premises to be used for any purposes prohibited by the laws or regulations of the United States or the State of Colorado, the ordinances of the City and County of Denver, or other governmental entity with jurisdiction. 2.1d Occupant shall not permit any nuisance in the Premises. 2.1e Occupant will not use utility rooms, janitorial closets, electrical or telephone rooms or similar spaces as Office Space. 2.1f Occupant and its guests, invitees, agents, contractors and employees agree to comply with the rules, procedures and other requirements contained in the Capitol Complex Program’s Tenant Handbook. 2.2 Payment: 2.2a Common Policy Allocation for Leased Space Payments is established by DPA based upon historic data established in common policy. Any changes to square footage use of an Occupant must be initiated by the Occupant according to Termination Rule 7.0. 2.2b Occupant must verify that the approved Common Policy Allocation is accurate for the agency’s assigned Office Space prior to June 30 of each year. 2.2c Occupant must provide correct accounting codes to the Capitol Complex Program prior to June 30 of each year. 2.3 Alterations to Premises: 2.3a Occupant shall not make any structural or non-structural changes or alterations to the Premises without the prior written approval of Owner in accordance with the process outlined under Tenant Improvements in the DPA Tenant Handbook. 2.4 Occupancy of Premises 2.4a Occupant shall pay the cost of all improvements and tenant finish to the Premises prior to occupancy, upon the approval of the Capitol Complex Program. 2.5 Content of Office Space: 2.5a Occupant shall be responsible for all agency acquired property and must maintain updated contents values through DPA’s Risk Management Section. 4.0 Responsibilities of Owner 4.1 Services provided by the Owner are outlined in the DPA Tenant Handbook. 5.0 Fiscal Funding: 5.1 Financial obligations of both Owner and Occupant after the current fiscal year are contingent on funds for that purpose being appropriated, budgeted, and otherwise made available by the State of Colorado 6.0 Hold Over: 6.1 If the Occupant is required to remain on the Premises longer than fiscal funding allows, the Occupant will be responsible for making Leased Space Payments to the Capitol Complex Program at the current rates. 7.0 Termination: 7.1 The Lease or assignment of Office Space may be terminated by either party with written notice to the other party on or before June 1st of each calendar year, to be effective on June 30th the following calendar year. The Occupant may also terminate the Lease or assignment of Office Space by providing the Owner with a 90 day written, Notice to Terminate. In the event the Occupant exercises this option, the Occupant agrees to continue making Leased Space payments until the June 30 that is not less than 12 months from the date Owner received the Notice to Terminate, or until the Owner is able to secure new Occupants with reasonable diligence, whichever occurs first. 8.0 Appeals: 8.1 All appeals and hearings which are required by law regarding these rules, provided and conducted in accordance with the equipments of article 4 of Title 24, C.R.S. Citing the specific statute range(s). _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 07/01/2010.

1 CCR 103-6 Address Confidentiality Program Rules {#sec-1-ccr-103-6 omnilex-key=us-co-regs-official--department-14--1 CCR 103-6}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Central Services ADDRESS CONFIDENTIALITY PROGRAM RULES 1 CCR 103-6 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _______________________________________________________________________________ The purpose of the Address Confidentiality Program rules is to implement the provisions of HB 11-1080, administer the Address Confidentiality Program, clarify for the Address Confidentiality Program stakeholders, including the general public and any organizations that may be affected by the program, of the transfer of authority from the Secretary of State to the Division of Central Services, and provide transparency as to any modifications or changes to previous rules governing the program which may affect stakeholders.

Preamble:

Unless otherwise noted in a specific provision, the Address Confidentiality Program (ACP) rules were adopted by the Department of Personnel & Administration pursuant to a Statement of Basis & Purpose dated April 10, 2014. This version of the rules reflects promulgation of the rule found at 1 CCR 103-6 in its entirety. Such rules and procedures were effective July 15, 2014. 1.0 Introduction The proposed rules are necessary for the administration and implementation of the Address Confidentiality Program Act as set forth in §24-30-2101 et seq., and for implementing the provisions of HB11-1080, which amended the Act and moved the program from the Office of the Secretary of State to the Department of Personnel and Administration. 1.1 Authority These regulations are adopted pursuant to the authority in §24-30-2101 et seq., C.R.S., (The “Address Confidentiality Program”) and are intended to be consistent with the requirements of the State Administrative Procedure Act, §24-4-101, et seq. (the “APA”). 1.2 Scope and Purpose These rules are intended to clarify and carry out the provisions of the Address Confidentiality Program Act [§24-30-2101, et seq.]. 1.3 Specific Authority Specific authority for rule-making is provided by §24-30-2113, C.R.S. 2.0 Definitions 2.1 “The state” means the State of Colorado. 2.2 “Residential, work or school address” means a residential, work or school address located within the State of Colorado. 2.3 “Co-applicant” means a person certified into the program as a participant pursuant to §24-30- 2105(3)(j), C.R.S. 2.4 The term “program participant” or “participant” includes co-applicant participants. 2.5 “Program” refers to the Address Confidentiality Program. 2.6 “Written notification” means a declaration to the program from a participant that is signed by the participant. 3.0 Application Assistant Designation 3.1 The Application Assistant training and designation process consists of:

a) Completing an in-person or online training which is conducted or approved by the Address Confidentiality Program and;

b) Submitting a completed Application Assistant Agreement. 3.2 The Application Assistant designation is valid for a two-year period and may be renewed by submitting a new Application Assistant Agreement prior to the end of the two-year term. 3.3 Application Assistants must provide the Address Confidentiality Program with current employer and contact information. 3.4 Application Assistants who change employment may retain their designation as long as they continue to meet the statutory criteria for the Application Assistant designation and submit an updated Application Assistant Agreement. 3.5 The Address Confidentiality Program will notify Application Assistants prior to the expiration of their designation using the contact information on record with the program. 3.6 An Application Assistant designation will expire if the Application Assistant fails to submit a new Application Assistant Agreement before the end of their two year term. 3.7 An Application Assistant may cancel his or her designation at any time by notifying the Address Confidentiality Program. 4.0. Program Application 4.1 Application Assistants who are interested in personal program enrollment must meet with another designated Application Assistant. 5.0 Participant Telephone Number and Address Changes 5.1 Participants must notify the Address Confidentiality Program of any changes in address or telephone number in writing. Participants may use the “Change of Information Form” provided by the program or any other written format, so long as the notification contains the signature of the participant (or the parent or guardian of the participant) requesting the change. 6.0 Program Cancellation 6.1 A program participant may withdraw certification of a co-applicant participant by providing the program with written notification that the co-applicant participant is no longer residing with the participant pursuant to §24-30-2105(3)(j), C.R.S. 6.2 The program shall follow the cancellation process set forth in §24-30-2107(2), C.R.S. for coapplicant participants. 6.3 A program participant who relocates to another state will be cancelled from the program:

a) 60 days after the relocation; or b) Upon the participant’s request to withdraw pursuant to §24-30-2107(1)(a), C.R.S. or;

c) Upon the program’s receipt of written notification that the participant has enrolled in another state’s confidential address program. 6.4 The program will provide cancelled participants with notice regarding the right to appeal the cancellation as well as appeal process instructions. 7.0 Appeal of Program Cancellation 7.1 After cancellation, and during the 30 day appeal period, any first-class mail addressed to a cancelled participant will be returned the sender, and service of process will be refused. 7.2 To appeal program cancellation, a participant must provide the program with a written statement as to their views, arguments, and reasons why they should not be cancelled from the program. 7.3 If a participant was cancelled for failure to provide a current address or contact information, the appeal letter must contain a statement explaining why the program was not provided with this information and how that problem will be avoided in the future. 7.4 The appeal statement does not need to be any particular length or format, but the appeal must provide a current address, phone number or contact number, and must be signed and dated by the program participant. 7.5 The appeal statement can be mailed, faxed, or sent by email. Any appeal must be received by the program before the appeal period ends. The appeal period end date is provided in the Cancellation Notice. 7.6 After the 30 day appeal period, a cancelled or withdrawn participant may reapply for program enrollment through a new application process. 8.0 Expedited release of Participant Information to Criminal Justice Officials or Agencies 8.1 Expedited release of participant information shall be granted in response to a written request setting forth the reason(s) requiring the expedited release of information to the criminal justice agency. The request must be on agency letterhead and signed by the employee of the criminal justice agency requesting such information and his or her direct supervisor, or acting supervisor if the employee’s direct supervisor is unavailable. 8.2 In accordance with §24-30-2110(12), C.R.S., the request must be accompanied by a notarized statement certifying that the information requested is required pursuant to a criminal justice trial, hearing, proceeding, or investigation involving a program participant, and that the participant’s actual address will be protected from the public and personnel who are not involved in the trial, hearing, proceeding or investigation. In lieu of the statement, a criminal justice agency or official may submit a notarized “Emergency Disclosure of Information” form available on the address confidentiality program website. 9.0 School Enrollment and Record Transfers 9.1 At the request of an enrolling school, the Address Confidentiality Program will determine the student/participant’s school district eligibility based on the current residential address listed in the participant’s program file. 9.2 The Address Confidentiality Program will notify the enrolling school of district eligibility in writing. 9.3 The Address Confidentiality Program will request a student’s records for the purpose of transferring such records from one school to another upon receiving the written request and authorization from the student’s parent or legal guardian. _______________________________________________________________________________ Editor’s Notes

History Entire rule eff. 11/30/2011.

Entire rule eff. 07/15/2014.

Annotation Entire rule was not extended by House Bill 12-1086 and therefore expired 05/15/2012.

104 Office of Administrative Courts

1 CCR 104-1 Procedural Rules {#sec-1-ccr-104-1 omnilex-key=us-co-regs-official--department-14--1 CCR 104-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

PROCEDURAL RULES

1 CCR 104-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Preamble Unless otherwise noted in a specific provision, the Office of Administrative Courts Procedural Rules were adopted in their entirety by the Department of Personnel & Administration on February 2, 2009.

This version reflects rulemaking by the Director to amend the Office of Administrative Courts Procedural Rules as follows: changes to Rule 1.B.3., 1.B.4.,1.E.; Rule 5; Rule 7; Rule 8.A., 8.B.; Rule 9.C., 9.D.; Rule 10B; Rule 13A, 13B, 13C; Rule 22; Rule 23.A.; Appendix A, VIII; and added the following Rule and

Appendix: Rule 28; Appendix B effective September 30, 2014.

Rule 1. Scope of Rules.

A. Except as otherwise ordered by the administrative law judge and except as excluded below, these rules apply to the conduct of all cases before the Office of Administrative Courts, Colorado Department of Personnel, whether contested or not.

B. These rules do not apply to:

1. Juvenile and adult parole proceedings.

2. Disputes concerning workers’ compensation.

3. Permanency hearings pursuant to Sec. 475 (5)(C) of the Social Security Act, 42 U.S.C. 675.

C. Rules 4-6, 8-17, 19, 21 and 26 are excluded from application to cases before the Colorado Department of Human Services, the Colorado Department of Health Care Policy and Financing, or any County Department of Social or Human Services pertaining to appeals by applicants for or recipients of public assistance, medical assistance (“Medicaid”) or food stamps and to intentional program violation proceedings.

D. Rule 4 does not apply to cases before the State Department of Human Services concerning confirmed reports of child abuse and neglect as described in 12 C.C.R. 2509-3.

E. Unless otherwise ordered by the administrative law judge, Rules 4 and 13 do not apply to the following cases:

1. Campaign and political finance cases pursuant to Colo. Const., art. XXVIII, and the Fair Campaign Practices Act, Section 1-45-101 et seq., C.R.S.

2. Proceedings pursuant to the Individuals with Disabilities Education Act, 20 U.S.C.

Sections 1400 et seq.

3. Cases pursuant to the Teacher Employment, Compensation, and Dismissal Act, Section 22-63-101 et seq., C.R.S.

F. When a statute, rule or regulation of any agency on whose behalf a hearing is being conducted by an administrative law judge is in conflict with or inconsistent with these rules, the statute, rule or regulation of the agency shall take precedence.

Rule 2. Definitions and Rules of Construction.

A. As used in these rules, the following words have the following meanings:

1. “Agency” shall have the same meaning as set forth in Section 24-4-102(3), C.R.S.

2. “OAC” means the Office of Administrative Courts created in the Colorado Department of Personnel and Administration by Section 24-30-1001(1), C.R.S.

3. “Administrative law judge” means an administrative law judge appointed pursuant to

Section 24-30-1003, C.R.S.

4. “Expanded media coverage” means any photography, video or audio recording of proceedings.

B. As used in these rules the following rules of construction shall apply unless the context otherwise requires:

1. Words in the singular shall include the plural and words in the plural shall include the singular.

2. These rules shall be liberally construed to secure the just, speedy and inexpensive determination of all matters presented to the OAC.

3. Appendices to these rules are considered to be part of these rules.

4. References in agency rules to the OAC’s former name, the Division of Administrative Hearings, will be treated as references to the OAC.

Rule 3. Referral and Assignment of Cases.

Where an agency is given statutory authority to appoint an administrative law judge, to have its hearings conducted by an administrative law judge or in any way to refer a matter to an administrative law judge, the agency’s action, or a party’s action pursuant to statute or regulation, in filing pleadings with the OAC or in requesting a setting of any hearing dates by the OAC will be considered the appointment of or referral to an administrative law judge. Administrative law judges will be assigned to cases by the Director of the OAC or by the designee of the Director.

Rule 4. Setting of Hearings or Other Proceedings.

When any party requests a hearing before the OAC, it shall be the responsibility of the agency or its counsel promptly to file and serve a notice to set a hearing on the merits, unless otherwise ordered by the administrative law judge. The agency or its counsel shall obtain a setting date from the OAC. When a statute or rule requires a more expedited setting, or at the discretion of the administrative law judge, the hearing on the merits may be set at any time. A notice to set any proceeding made by any party must be filed with the OAC and served upon all persons entitled to notice of the setting at least 5 days prior to the date of the setting. For the purpose of setting any matter, a party or a party’s representative may appear at the OAC at the time established for the setting or may telephone the OAC at such time. Hearing dates will be set whether or not the parties participate at the setting. A prompt hearing on the merits will be set within 90 days from the setting date, unless otherwise ordered.

Rule 5. Entry of Appearance and Withdrawal of Counsel.

Entries of Appearance and Withdrawals of Counsel shall be in conformance with C.R.C.P. 121 § 1-1. Any out-of-state attorney shall comply with C.R.C.P. 221.1. Rule 5 does not apply to a substitution of counsel if new counsel enters an appearance at the same time as prior counsel withdraws.

Rule 6. Expanded Media Coverage.

1. Expanded media coverage of cases before the OAC may be permitted at the discretion of the administrative law judge, under such conditions as the administrative law judge may designate. In determining whether expanded media coverage should be permitted, the administrative law judge shall consider the following factors:

A. Whether there is a reasonable likelihood that expanded media coverage would interfere with the rights of the parties to a fair hearing;

B. Whether there is a reasonable likelihood that expanded media coverage would unduly detract from the solemnity, decorum and dignity of the proceedings;

C. Whether expanded media coverage would create adverse effects that would be greater than those caused by traditional media coverage.

Rule 7. Consolidation.

A party seeking consolidation of two or more cases shall file a motion to consolidate in each case sought to be consolidated. If consolidation is ordered, and unless otherwise ordered by the administrative law judge, all subsequent filings shall be in the case first filed and all previous filings related to the consolidated cases shall be placed together under that case number. Consolidation may be ordered on an administrative law judge’s own motion.

Rule 8. Default Procedures.

A. A person who receives notice of an agency adjudicatory hearing is required to file a written answer within 30 days after the service or mailing of notice of the proceeding. If a person receiving such notice fails to file an answer, an administrative law judge may enter a default against that person. Section 24-4-105(2)(b), C.R.S.

B. An administrative law judge will not grant a motion for entry of a default under this statutory provision unless the following requirements are met:

1. The motion for entry of a default must be served upon all parties to the proceeding, including the person against whom a default is sought.

2. The motion shall be accompanied by an affidavit establishing that both the notice of the proceeding and the motion for entry of default have been personally served upon the person against whom a default is sought, or have been mailed by first class mail to the last address furnished to the agency by the person against whom the default is sought.

3. Any motion for entry of default requesting a fine or civil penalty shall set forth the legal

authority for the claim and any applicable calculation thereof.

Rule 9. Discovery.

A. To the extent practicable, C.R.C.P. 26 through 37 and 121, Section 1-12 and the duty to confer at

Section 1-15(8) apply to proceedings within the scope of these rules, except to the extent that they provide for or relate to required disclosures, or the time when discovery can be initiated.

Discovery may be conducted by any party without authorization of the administrative law judge.

B. C.R.C.P. 16 does not apply to proceedings before the OAC.

C. In addition to the requirements of C.R.C.P. 36, a request for admission shall explicitly advise the party from whom an admission is requested that failure to timely respond to the request may result in all of the matters stated in the request being deemed established unless the administrative law judge on motion permits withdrawal or amendment of the admission. The failure to comply with this rule may result in the matters contained in the request being deemed denied.

D. Discovery requests and responses should not be filed with the OAC, except to the extent necessary for the administrative law judge to rule upon motions involving discovery disputes.

E. Either party may move to modify discovery deadlines and limitations pursuant to Rule 13.

Rule 10. Determination of Motions.

A. Any motion involving a contested issue of law shall be supported by a recitation of legal authority.

References to agency rules shall include the appropriate Colorado Code of Regulations citation.

References to any superceded rules shall be accompanied by a copy of such rules. A responding party shall have 10 days from service or such lesser or greater time as the administrative law judge may allow in which to file and serve a responsive brief. Reply briefs will be permitted only upon order of the administrative law judge. If so ordered, the reply brief must be filed within 5 days of the order of the administrative law judge.

B. If facts not appearing of record before the administrative law judge are to be considered in disposition of the motion, the parties may file affidavits at the time of filing the motion or responsive or reply brief. Copies of such affidavits and any documentary evidence used in connection with the motion shall be served on all other parties.

C. If the moving party fails to incorporate legal authority into the motion and fails to file a separate brief with the motion, the administrative law judge may deem the motion abandoned and may enter an order denying the motion. Failure of the responding party to file a responsive brief may be considered a confession of the motion.

D. If possible, motions will be determined upon the written motion and briefs submitted. The administrative law judge may order oral argument or evidentiary hearing on the administrative law judge’s own motion or on request of a party. If any party fails to appear at an oral argument or hearing without prior showing of good cause for non-appearance, the administrative law judge may proceed to hear and rule on the motion.

E. An expedited hearing on any motion may be held at the instance of the administrative law judge.

If any party requests that a motion be determined immediately with or without a hearing, or that a hearing be held on a motion in advance of a previously set motions date, that party shall:

1. Inform the administrative law judge in writing of said request.

2. Contact all other parties, determine their position on the motion, and indicate on the face of the motion whether other parties oppose the motion and whether they will request a hearing on the motion.

3. If a hearing is desired by any party and authorized by the administrative law judge, the moving party, upon advance notice to the administrative law judge or the docket clerk, shall notice in all other parties to set the matter directly with the administrative law judge on an expedited basis.

F. Parties shall comply with C.R.C.P. 12 unless otherwise ordered by the administrative law judge for good cause shown.

Rule 11. Place of Hearing.

All cases within the scope of these rules will be heard at the OAC in Denver. The administrative law judge for good cause shown may change the place of hearing when the convenience of witnesses and parties and the ends of justice will be promoted by the change.

Rule 12 Mediation Conferences.

At any time after a proceeding is initiated, any party may file with the administrative law judge and serve upon all other parties a request for a mediation conference. If the request is granted, the conference shall be conducted by any available administrative law judge other than the assigned administrative law judge.

All of the discussions at the mediation conference shall remain confidential and shall not be disclosed to the administrative law judge assigned to the case. Statements at the mediation conference shall not be admissible evidence for any purpose in any other proceeding. Participation in a mediation conference shall constitute an agreement by all parties and attorneys not to call the administrative law judge conducting the mediation as a witness to the matters discussed in the mediation conference in any subsequent proceeding. An administrative law judge may require a mediation conference on the administrative law judge’s own motion.

Rule 13. Prehearing Procedures, Statements and Conferences.

A. Unless otherwise ordered by the administrative law judge, each party shall file with the administrative law judge and serve on each other party a prehearing statement in substantial compliance with the form as outlined in Appendix A to these rules. Prehearing statements shall be filed and served no later than 30 days prior to the date set for hearing or such other date established by the administrative law judge. Exhibits shall not be filed with prehearing statements, unless ordered by the administrative law judge. Exhibits shall be exchanged between the parties by the date on which prehearing statements are to be filed and served on such other date as ordered by the administrative law judge.

1. The authenticity of exhibits, statutes, ordinances, regulations or standards set forth in the prehearing statement shall be admitted unless objected to in a written objection filed with the administrative law judge and served on other parties no later than 10 days prior to hearing.

2. The information provided in a prehearing statement shall be binding on each party throughout the course of the hearing unless modified to prevent manifest injustice. New witnesses or exhibits may be added only if the need to do so was not reasonably foreseeable at the time of filing of the prehearing statement and then only if it would not prejudice other parties or necessitate a delay of the hearing. An agency shall use numbers to identify exhibits and any opposing party shall use letters.

3. In the event of noncompliance with this rule, the administrative law judge may impose appropriate sanctions including, but not limited to, the striking of witnesses, exhibits, claims and defenses.

B. Prehearing conferences may be held at the request of either party or upon motion of the administrative law judge.

C. A case management conference shall be held at the request of either party or at the discretion of the administrative law judge. The party requesting the case management conference shall confer with all other parties as necessary upon the content of the proposed case management order. An example of a format for a case management order appears at Appendix B. The party requesting the case management conference shall submit the proposed case management order to the OAC no later than 3 days before the case management conference.

Rule 14. Rules of Evidence.

To the extent practicable, the Colorado Rules of Evidence apply in all hearings conducted by the OAC.

Unless the context requires otherwise, whenever the word “court”, “judge” or “jury” appears in the Colorado Rules of Evidence such word shall be construed to mean an administrative law judge. An administrative law judge has the discretion to admit evidence not admissible under such rules, as permitted by Section 24-4-105(7), C.R.S. or other law.

Rule 15. Rules of Civil Procedure.

To the extent practicable, and unless inconsistent with these rules, the Colorado Rules of Civil Procedure apply to matters before the OAC. Unless the context otherwise requires, whenever the word “court” appears in a rule of civil procedure, that word shall be construed to mean an administrative law judge.

The following do not apply:

A. C.R.C.P. 16.

B. The filing deadlines for motions and cross motions for summary judgment set forth in C.R.C.P. 56(c).

Rule 16. Files and Hearings Open to the Public.

All files shall be open to public inspection, unless otherwise prohibited by law, regulation or court order, or when upon motion and order the agency or administrative law judge otherwise has the authority or discretion to prohibit public inspection. All hearings shall be open to the public unless prohibited by law,

regulation or court order or closed by order of the administrative law judge or the agency.

Rule 17. Motions for Continuance.

A. Continuances shall be granted only upon a showing of good cause. Motions for continuance must be filed in a timely manner. Stipulations for a continuance shall not be effective unless and until approved by the administrative law judge.

B. Good cause may include but is not limited to: death or incapacitation of a party or an attorney for a party; a court order staying proceedings or otherwise necessitating a continuance; entry or substitution of an attorney for a party a reasonable time prior to the hearing, if the entry or substitution reasonably requires a postponement of the hearing; a change in the parties or pleadings sufficiently significant to require a postponement; a showing that more time is clearly necessary to complete authorized discovery or other mandatory preparation for the hearing; or agreement of the parties to a settlement of the case which has been or will likely be approved by the final decision maker.

C. Good cause normally will not include the following: unavailability of counsel because of engagement in another judicial or administrative proceeding, unless the other proceeding was involuntarily set subsequent to the setting in the present case; unavailability of a necessary witness, if the witness’s testimony can be taken by telephone or by deposition; or failure of an attorney or a party timely to prepare for the hearing.

Rule 18. Subpoenas.

A. Upon oral or written request of any party or of counsel for any party, an administrative law judge shall sign a subpoena or subpoena duces tecum requiring the attendance of a witness or the production of documentary evidence, or both, at a deposition or hearing. Unless otherwise provided by agency statute, rule or regulation, practice before the OAC regarding subpoenas shall be governed by C.R.C.P. 45.

B. Staff persons of the OAC are authorized to use a stamp signature or to otherwise duplicate the signature of an administrative law judge on subpoenas completed by the parties. However, no other party or person may duplicate the signature of an administrative law judge. Subpoenas issued in contravention of this rule are invalid and may subject the party using them to sanctions.

C. Any attorney representing a party to a proceeding before the OAC may issue a subpoena or subpoena duces tecum requiring the attendance of a witness or the production of documentary evidence, or both, at a deposition or hearing.

Rule 19. Settlements.

Parties shall promptly notify the administrative law judge of all settlements, stipulations, agency orders or any other action eliminating the need for a hearing. An agency shall file a motion to dismiss when a case has settled.

Rule 20. Ex Parte Communications.

With the exception of scheduling or other purely administrative matters, and with the exception of mediation processes, a party or counsel for a party shall not initiate any communication with an administrative law judge pertaining to a matter before the OAC unless prior consent of all other parties or their counsel has been obtained. Copies of all pleadings or correspondence filed with the OAC or directed to an administrative law judge by any party shall be served upon all other parties or their counsel.

Rule 21. Procedure in Summary Suspension Matters.

A. All deadlines and procedures set forth herein or in the Colorado Rules of Civil Procedure may be modified as necessary to afford the right to a prompt hearing.

B. In all matters involving a summary suspension, the agency shall immediately file a charging document and a Notice to Set the hearing on the merits with the OAC. The Notice to Set shall contain a setting date obtained from the OAC that provides advance notice to the opposing party at least 5 days but no more than 10 days from the Notice to Set.

C. The Notice to Set shall provide the telephone number and address of the OAC. The Notice to Set shall prominently inform the opposing party of its right to an expedited hearing and of the option to request a prehearing conference before an administrative law judge.

D. Either party may request in writing a prehearing conference before an administrative law judge in a summary suspension case. The purpose of the prehearing conference shall be to arrange for expedited disclosures, discovery schedules, motion dates, and further prehearing conferences as necessary.

E. In any case in which hearing is set 45 days or fewer from the date of the setting, the OAC will set a prehearing conference.

Rule 22. Computation and Modification of Time.

In computing any period of time prescribed or allowed by these rules, the provisions of C.R.C.P. 6 shall apply. The time periods of these rules may be modified at the discretion of the administrative law judge.

Rule 23. Filing of Pleadings and Other Papers.

A. Pleadings and other papers may be filed by mail, by e-mail, or by facsimile subject to Rule 24.

B. After the OAC has assigned a case number to a matter, all pleadings and papers filed with the OAC shall contain that case number.

Rule 24. Filing of Pleadings and Other Papers by Facsimile Copy.

A. The facsimile capabilities of the OAC are limited. Parties are encouraged to avoid filing pleadings by facsimile copy, except when reasonably required by time constraints.

B. Subject to the limitations of Rule 24(C), facsimile copies may be filed with the OAC in lieu of the original document. If a facsimile copy is filed in lieu of the original document, the attorney or party filing the facsimile copy shall retain the original document for production to the administrative law judge, if requested. If an original or copy of a pleading in addition to the facsimile filing is filed with the OAC the additional copy or original may be discarded and not made part of the OAC file.

C. Pleadings or other documents in excess of 10 pages (excluding the cover sheet) may not be filed by facsimile copy in lieu of the original document unless otherwise ordered by the administrative law judge.

D. Facsimile copies shall be accompanied by a cover sheet that states the title of the document, case number, number of pages, identity and voice telephone number of the transmitter and any instructions.

Rule 25. Service of Pleadings and Other Papers.

A. Service of pleadings or other papers on a party or on an attorney representing a party may be made by hand delivery, by mail to the address given in the pleadings, by facsimile transmission to a facsimile number given in the pleadings, or to the party’s last known address, or with agreement of the parties, by e-mail. When a party is represented by an attorney, service shall be made on the attorney.

B. Pleadings or other papers sent to the OAC must contain a certificate of service attesting to service on the opposing party and in the case of service by mail providing the address where pleadings or other papers were served.

C. Attorneys and parties not represented by attorneys must inform the OAC and all other parties of their current address and of any change of address during the course of the proceedings.

Rule 26. Testimony by Telephone or Other Electronic Means.

A. Upon motion of any party the administrative law judge may conduct all or part of a hearing by telephone or videophone. The motion must be filed sufficiently prior to hearing to permit a response and ruling pursuant to OAC Rule 10.

B. All arrangements for the taking of testimony by telephone or videophone shall be made by the party requesting such testimony, who shall be responsible for all costs associated with the testimony.

C. Exhibits and other documents that will be used or referred to during all or part of a hearing conducted by telephone or other electronic means must be filed with the OAC and, unless previously supplied, provided to all other parties at least two days before the hearing. Exhibits necessary to the testimony of a witness must be provided to the witness prior to the witness’s testimony.

Rule 27. Court Reporters.

A. The OAC does not supply court reporters. If any party wishes to have all or a portion of a proceeding transcribed by a court reporter, that party may make private arrangements to do so at that party’s own expense. The recording of any proceeding made electronically by the OAC shall be the official record.

B. A request to the OAC for a recording must be in writing and must contain the case number and the date and time of the hearing or conference.

Rule 28. Exhibit Notebooks Whenever a party is represented by an attorney, that party shall supply an exhibit list and three notebooks of tabbed exhibits at the commencement of every merits hearing. The notebooks shall be for the administrative law judge, the opposing party and the testifying witness. All documentary exhibits listed in such party’s prehearing statement, unless they are too lengthy, shall appear in the exhibit notebooks.

APPENDIX A OUTLINE FOR PREHEARING STATEMENT

The following shall be included in each party’s Prehearing Statement:

I. PENDING MOTIONS. A list of all outstanding motions that have not been ruled upon by the administrative law judge.

II. STATEMENT OF CLAIMS AND DEFENSES. A concise statement of all claims or defenses asserted by all parties, together with all matters in mitigation or aggravation.

III. UNDISPUTED FACTS. A concise statement of all facts that the party contends are or should be undisputed.

IV. DISPUTED ISSUES OF FACT. A concise statement of the material facts that the party claims or concedes to be in dispute.

V. POINTS OF LAW. A concise statement of all points of law that are to be relied upon or that may be in controversy, citing pertinent statutes, regulations, cases and other authority. Extended legal argument is not required but may be reserved for a trial brief at the option of the party.

VI. WITNESSES. The name, address and telephone number of any witness or party whom the party may call at hearing, together with a detailed statement of the content of that person’s testimony.

VII. EXPERTS. The name, address and brief summary of the qualifications of any expert witness a party may call at hearing, together with a statement that details the opinions to which each expert is expected to testify. These requirements may be satisfied by the incorporation of an expert’s resume or report containing the required information.

VIII. EXHIBITS. A description of any physical or documentary evidence to be offered into evidence at the hearing. An agency shall use numbers to identify exhibits and any opposing party shall use letters.

IX. STIPULATIONS. A listing of all stipulations of fact or law reached, as well as a listing of any additional stipulations requested or offered to facilitate disposition of the case.

X. TRIAL EFFICIENCIES. An estimate of the amount of time required to try the case.

APPENDIX B OUTLINE FOR CASE MANAGEMENT ORDER

A case management conference was held on ________at which the following schedule and deadlines were ordered:

Hearing:

The hearing has been scheduled for ______through_____at the Office of Administrative Courts starting at 9:00 a.m..

Discovery:

1. Discovery cutoff, including completion of expert and fact witness depositions and receipt of all written discovery:___________ 2. The numerical limits on interrogatories, requests for production, and requests for admission set forth in C.R.C.P. 26 (b)(2) are/are not adopted. The numerical limits in depositions set forth in C.R.C.P. 26 (b)(2)(A) are/are not adopted.

2. Other discovery issues Expert Disclosures:

3. The Agency’s initial disclosure of expert witnesses:_______________ 2. The opposing party’s initial disclosure of expert witnesses:______________ 3. Rebuttal experts:______________ 4. Expert disclosures shall be filed with the administrative law judge, as well as served on the opposing party.

Prehearing Statements:

(Set out any modifications to the content of the prehearing statements.)

Motions Deadline:

1. Dispositive motions: _________________ Responses:___________________ 2. All other prehearing motions to the extent that the basis for the motion is reasonably known: _________________ Response:__________________ Service:

(Set out any agreement or order as to the method of service, i.e., by e-mail, mail, or other method. Set out whether extra time for mailing is permitted.)

Filing:

(Set out any agreement or order as to the method of filing, i.e., by e-mail, mail, or other method. Set out whether extra time for mailing is permitted.)

Prehearing Conference:

A motions hearing/final prehearing conference is set for _________________at _____a.m./p.m. at the Office of Administrative Courts.

DONE AND SIGNED

(date) _______________________________ (NAME)

Administrative Law Judge _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 02/02/2009.

Entire rule eff. 09/30/2014.

1 CCR 104-2 Judicial Conduct for Administrative Law Judges {#sec-1-ccr-104-2 omnilex-key=us-co-regs-official--department-14--1 CCR 104-2}

DEPARTMENT OF Personnel and Administration Office of Administrative Courts JUDICIAL CONDUCT FOR ADMINISTRATIVE LAW JUDGES 1 CCR 104-2 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ PREAMBLE AND STATEMENT OF POLICY Pursuant to Section 24-30-1003(4)(a), C.R.S. (1994), the Division of Administrative Hearings has adopted the Code of Judicial Conduct for Administrative Law Judges of State Central Panels. The Code of Judicial Conduct for Administrative Law Judges of State Central Panels is intended to establish basic ethical conduct standards for administrative law judges or any other hearing officials, whatever their title, in any state with a central panel administrative hearing system. The Code is intended to govern the conduct of these administrative law judges and to provide guidance to assist state central panel judges in establishing and maintaining high standards of judicial and personal conduct. This Code is based upon the Model Code of Judicial Conduct as adopted by the ABA on August 7, 1990 and the February 1989 Model Code of Judicial Conduct for Federal Administrative Law Judges.

The text of the Canons is authoritative. The Commentary, by explanation and example, provides guidance with respect to the purpose and meaning of the Canons. The Commentary is not intended as statement of additional rules. When the text uses “shall” or “shall not,” it is intended to impose binding obligations the violation of which can result in disciplinary action. When “should” or “should not” is used, the text is a statement of what is or is not appropriate conduct, but not as a binding rule under which a judge may be disciplined. When “may” is used, it denotes permissible discretion or, depending on the context, it refers to action that is not covered by specific proscriptions. The terms administrative law judge or judge are intended to include all hearing officers in any central panel state.

The Canons are rules of reason. They should be applied consistent with constitutional requirements, statutes, administrative rules, and decisional law and in the context of all relevant circumstances. The Code is to be construed so as not to impinge on the essential independence of judges in making judicial decisions.

The Code is designed to provide guidance to administrative law judges and to provide a structure for regulating conduct. It is not intended, however, that every transgression will result in disciplinary action.

Whether disciplinary action is appropriate, and the degree of discipline to be imposed, should be determined through a reasonable and reasoned application of the text and should depend on such factors as the seriousness of the transgression, whether there is a pattern of improper activity, and the effect of the improper activity on others or on the administrative system. The Code is not designed or intended as a basis for civil liability or criminal prosecution. Furthermore, the purpose of the Code would be subverted if the Code were invoked by lawyers for mere tactical advantage in a proceeding.

CANON 1

AN ADMINISTRATIVE LAW JUDGE SHALL UPHOLD THE INTEGRITY AND INDEPENDENCE OF

THE ADMINISTRATIVE JUDICIARY

An independent and honorable administrative judiciary is indispensable to justice in our society.

An administrative law judge should participate in establishing, maintaining, and enforcing, high standards of conduct, and shall personally observe those standards so that the integrity and independence of the administrative judiciary will be preserved. The provisions of this Code are to be construed and applied to further that objective.

Commentary: Deference to the judgments and rulings of administrative proceedings depends upon public confidence in the integrity and independence of administrative law judges. The integrity and independence of administrative law judges depends in turn upon their acting without fear or favor.

Although judges should be independent, they must comply with the law, including the provisions of this Code. Public confidence in the impartiality of the administrative judiciary is maintained by the adherence of each administrative law judge to this responsibility. Conversely, violation of this Code diminishes public confidence in the administrative judiciary and thereby does injury to the system of government under law.

CANON 2

AN ADMINISTRATIVE LAW JUDGE SHALL AVOID IMPROPRIETY AND THE APPEARANCE OF

IMPROPRIETY IN ALL ACTIVITIES

A. An administrative law judge shall respect and comply with the law and at all times shall act in a manner that promotes public confidence in the integrity and impartiality of the administrative judiciary.

Commentary: Public confidence in the administrative judiciary is eroded by irresponsible or improper conduct by judges. An administrative law judge must avoid all impropriety and appearance of impropriety.

An administrative law judge must expect to be the subject of constant public scrutiny. An administrative law judge must therefore expect, and accept restrictions on the administrative law judge's conduct that might be viewed as burdensome by the ordinary citizen, and should do so freely and willingly.

The prohibition against behaving with impropriety or the appearance of impropriety applies to both the professional and personal conduct of a judge. Because it is not practicable to list all prohibited acts, the proscription is necessarily cast in general terms that extend to conduct by administrative law judges that is harmful although not specifically mentioned in the Code. Actual improprieties under this standard include violations of law, court rules, or other specific provisions of this Code. The test for appearance of impropriety is whether the conduct would create in reasonable minds a perception that the administrative law judge's ability to carry out judicial responsibilities with integrity, impartiality, and competence is impaired.

See also Commentary under Canon 2C.

B. An administrative law judge shall not allow family, social, political, or other relationships to influence the judge's judicial conduct or judgment. An administrative law judge shall not lend the prestige of the office to advance the private interests of the administrative law judge or others; nor shall an administrative law judge convey or permit others to convey the impression that they are in a special position to influence the judge. An administrative law judge shall not testify voluntarily as a character witness.

Commentary: Maintaining the prestige of the administrative judiciary is essential to a system of government in which the administrative judiciary must to the maximum extent possible, function independently of the executive and legislative branches. Respect for the office facilitates the orderly conduct of legitimate administrative judicial functions. Administrative law judges should distinguish between proper and improper use of the prestige of office in all of their activities. For example, it would be improper for an administrative law judge to allude to his or her judgeship to gain a personal advantage such as deferential treatment when stopped by a police officer for a traffic offense. Similarly, official letterhead must not be used for conducting an administrative law judge's personal business.

An administrative law judge must avoid lending the prestige of the office for the advancement of the private interests of others. For example, a judge must not use the judge's judicial position to gain advantage in a civil suit involving a member of the judge's family.

Although an administrative law judge should be sensitive to possible abuse of the prestige of the office, an administrative law judge may, based on the judge's personal knowledge, serve as a reference or provide a letter of recommendation.

An administrative law judge must not testify voluntarily as a character witness because to do so may lend the prestige of the office in support of the party for whom the administrative law judge testifies. Moreover, when an administrative law judge testifies as a witness, a lawyer who regularly appears before the judge may be placed in the awkward position of cross-examining the judge. An administrative law judge may, however, testify when properly summoned. Except in unusual circumstances where the demands of justice require, an administrative law judge should discourage a party from requiring the judge to testify as a character witness.

C. An administrative law judge shall not hold membership in any organization that practices invidious discrimination on the basis of race, sex, religion, or national origin.

Commentary: It is inappropriate for a judge to hold membership in any organization that practices invidious discrimination on the basis of race, sex, religion, or national origin. Membership of an administrative law judge in an organization that practices invidious discrimination may give rise to perceptions that the judge's impartiality is impaired. Canon 2C refers to the current practices of the organization. Whether an organization practices invidious discrimination is often a complex question to which judges should be sensitive. The answer cannot be determined from a mere examination of an organization's current membership rolls, but rather depends on how the organization selects members and other relevant factors, such as, that the organization is dedicated to the preservation of religious, ethnic, or cultural values of legitimate common interest to its members, or that it is in fact and effect an intimate, purely private organization whose membership limitations could not be constitutionally prohibited. Absent such factors, an organization is generally said to discriminate invidiously if it arbitrarily excludes from membership on the basis of race, religion, sex, or national origin persons who would otherwise be admitted to membership. See New York State Club Ass'n Inc. v. City of New York, 487 U.S. 1,108 S.Ct. 2225, 101 L. Ed. 2d 1 (1988); Board of Directors of Rotary International v. Rotary Club of Duarte, 481 U.S. 537, 107 S.Ct. 1940, 95 L. Ed. 2d 474 (1987); Roberts v. United States Jaycees, 468 U.S. 609, 104 S.Ct. 3244, 82 L. Ed. 2d 462 (1984).

Although Canon 2C relates only to membership in organizations that invidiously discriminate on the basis of race, sex, religion, or national origin, an administrative law judge's membership in an organization that engages in any discriminatory membership practices prohibited by the law of the jurisdiction also violates Canon 2 and Canon 2A and gives the appearance of impropriety. In addition, it would be a violation of Canon 2 and Canon 2A for an administrative law judge to arrange a meeting at a club that the judge knows practices invidious discrimination on the basis of race, sex, religion, or national origin in its membership or other policies, or for the judge to regularly use such a club. Moreover, public manifestation by an administrative law judge of the judge's knowing approval of invidious discrimination on any basis gives the appearance of impropriety under Canon 2 and diminishes public confidence in the integrity and impartiality of the administrative judiciary, in violation of Canon 2A.

When a person who is an administrative law judge at the time this Code becomes effective [in the jurisdiction in which the person is a judge] learns that an organization to which the judge belongs engages in invidious discrimination that would preclude membership under Canon 2C or under Canon 2 and Canon 2A, the administrative law judge is permitted, in lieu of resigning, to make immediate efforts to have the organization discontinue its invidiously discriminatory practices, but the judge is required to suspend participation in any activities of the organization. If the organization fails to discontinue its invidiously discriminatory practices as promptly as possible (and in all events within a year of the judge's first learning of the practices), the administrative law judge is required to resign immediately from the organization.

The language within the brackets should be deleted when the jurisdiction adopts this provision.

CANON 3

AN' ADMINISTRATIVE LAW JUDGE SHALL PERFORM THE DUTIES OF THE OFFICE IMPARTIALLY

AND DILIGENTLY

The judicial duties of an administrative law judge take precedence over all other activities. Judicial duties include all the duties of the office prescribed by law. In the performance of these duties, the following standards apply:

A. Adjudicative responsibilities:

(1) An administrative law judge shall hear and decide matters assigned to the judge except those in which disqualification is required.

(2) An administrative law judge shall be faithful to the law and maintain professional competence in it. A judge shall be unswayed by partisan interests, public clamor, or fear or criticism.

(3) An administrative law judge shall maintain order and decorum in proceedings before the judge.

(4) An administrative law judge shall be patient, dignified, and courteous to litigants, witnesses, representatives, and others with whom the judge deals in an official capacity, and shall require similar conduct of representatives, staff members, and others subject to the judge's direction and control.

Commentary: The duty to hear all proceedings fairly and with patience is not inconsistent with the duty to dispose promptly of the business of the judge. Judges can be efficient and businesslike while being patient and deliberate.

(5) An administrative law judge shall perform judicial duties without bias or prejudice. A judge shall not, in the performance of judicial duties, by words or conduct manifest bias or prejudice, including but not limited to bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation, or socioeconomic status, and shall not permit staff and others subject to the judge's direction and control to do so.

Commentary: A judge must refrain from speech, gestures, or other conduct that could reasonably be perceived as sexual harassment and must require the same standard of conduct of others subject to the judge's direction and control. Facial expression and body language, in addition to oral communication, can give to parties or lawyers in the proceeding, the media, and others an appearance of bias. A judge must be alert to avoid behavior that may be perceived as prejudice.

(6) An administrative law judge shall accord to all persons who are legally interested in a proceeding, or their representative, full right to be heard according to law, and except as authorized by law, neither initiate nor consider ex parte or other communications as to substantive matters concerning a pending or impending proceeding. A judge may obtain the advice of a disinterested expert on the law applicable to a proceeding before the judge, by amicus curiae or as otherwise authorized by law, if the judge affords the parties reasonable opportunity to respond. A judge may with the consent of the parties, confer separately with the parties and their lawyers in an effort to mediate or settle matters pending before the judge. A judge may initiate or consider any ex parte communications when expressly authorized by law to do so.

Commentary: The proscription against communications concerning a proceeding includes communications from lawyers, law teachers, and other persons who are not participants in the proceeding except as authorized by law, but does not preclude a judge from consulting with other judges or subordinate personnel whose function is to aid the judges in carrying out adjudicative responsibilities. To the extent reasonably possible, all parties or their lawyers shall be included in communications with a judge.

(7) An administrative law judge shall dispose of all judicial matters promptly, efficiently, and fairly.

Commentary: In disposing of matters promptly, efficiently, and fairly, a judge must demonstrate due regard for the rights of the parties to be heard and to have issues resolved without unnecessary cost or delay. Prompt disposition of the judge's business requires a judge to devote adequate time to his or her duties, to be punctual in attending hearings and expeditious in determining matters under submission, and to insist that other subordinate officials, litigants, and their representatives cooperate with the judge to that end.

(8) An administrative law judge shall abstain from public comment about a pending or impending proceeding before any judge in the administrative process that might reasonably be expected to affect its outcome or impair its fairness or make any nonpublic comment that might substantially interfere with a fair trial or hearing and shall require similar abstention on the part of personnel subject to the judge's direction and control. This subsection does not prohibit judges from making public statements in the course of their official duties or from explaining for public information the hearing procedures of agencies.

Commentary: “Agency personnel” does not include the lawyers in a proceeding before a judge. The conduct of lawyers is governed by rules of professional conduct. This subsection is not intended to preclude participation in an association of judges merely because such association makes public comments about a pending or impending proceeding in the administrative process. The subsection is directed primarily at public comments by a judge concerning a proceeding before another judge.

(9) An administrative law judge shall not disclose or use, for any purpose unrelated to judicial duties, nonpublic information acquired in a judicial capacity.

B. Administrative responsiblities:

(1) An administrative law judge shall diligently discharge assigned administrative responsibilities, maintain professional competence in judicial administration, and facilitate the performance of the administrative responsibilities of other administrative law judges.

(2) An administrative law judge shall require staff and other persons subject to the judge's direction and control to observe the standards of fidelity and diligence that apply to the judge.

(3) An administrative law judge shall take or initiate appropriate disciplinary measures against a judge or a lawyer for unprofessional conduct of which the judge may become aware.

(4) An administrative law judge with supervisory authority for the judicial performance of other judges shall take reasonable measures to assure the prompt disposition of matters before them and the proper performance of their other judicial responsibilities.

Commentary: Disciplinary measures may include reporting a lawyer's misconduct to an appropriate disciplinary body. Internal agency procedure which routes the complaint can be utilized as long as the judge remains responsible for initiation of the action.

C. Disqualification:

(1) An administrative law judge shall disqualify himself or herself in any proceeding in which the judge's impartiality might reasonably be questioned, including but not limited to instances where:

Commentary: By decisional law, the rule of necessity may supersede the rule of disqualification. For example, a judge might be required to participate in judicial review of a judicial salary statute, or might be the only judge available in a matter requiring immediate judicial action. In the latter case, the judge must disclose on the record the

basis for possible disqualification and use reasonable efforts to transfer the matter to another judge as soon as practicable.

(a) the judge has a personal bias or prejudice concerning the proceeding;

(b) in private practice the judge served as a lawyer in the matter in controversy, or a lawyer with whom the judge previously practiced law served during such association as a lawyer concerning the matter, or the judge or such lawyer has been a material witness concerning it;

Commentary: A lawyer in a governmental agency does not necessarily have an association with other lawyers employed by that agency within the meaning of this subsection.

(c) the judge has served in governmental employment and in such capacity participated as counsel, advisor, or material witness concerning the proceeding or expressed an opinion concerning the merits of the particular case in controversy;

(d) the judge knows that he or she, individually or as a fiduciary, or his or her spouse or child wherever residing, or any other member of the judge's family or a person treated by the judge as a member of the judge's family residing in the judge's household, has a more than de minimis financial interest in the subject matter in controversy or in a party to the proceeding, or any other more than de minimis interest that could be substantially affected by the outcome of the proceeding;

(e) the judge or the judge's spouse, or a person within the third degree of relationship to either of them, or the spouse of such a person:

(i) is a party to the proceeding, or an officer, director, or trustee of a party;

(ii) is acting as a lawyer or other representative in the proceeding;

Commentary: The fact that a lawyer in a proceeding is affiliated with a law firm with which a lawyer-relative of the judge is affiliated does not of itself disqualify the judge. Under appropriate circumstances, the fact that “the judge's impartiality might reasonably be questioned” under Canon 3C(1), or that the lawyer-relative known by the judge to have an interest in the law firm that could be “substantially affected by the outcome of the proceeding” under Canon 3C(1)(d)(iii) may require the judge's disqualification.

(iii) is known by the judge to have a-more than de minimis interest that could be substantially affected by the outcome of the proceeding;

(iv) is to the judge's knowledge likely to be a material witness in the proceeding.

(2) A judge shall inform himself or herself about the judge's personal and fiduciary financial interests, and make a reasonable effort to inform himself or herself about the personal financial interests of his or her spouse and minor children residing in the judge's household.

(3) For the purposes of this Code the following words or phrases shall have the meaning indicated:

(a) the degree of relationship is calculated according to the civil law system;

Commentary: According to the civil law system, the third degree of relationship test would, for example, disqualify the judge if the judge's or his or her spouse's parent, grandparent, uncle or aunt, brother or sister, or niece or her husband, nephew or his wife were a party or lawyer in the proceeding, but would not disqualify the judge if a cousin were a party or lawyer in the proceeding.

(b) “fiduciary” includes such relationships as executor, administrator, trustee, and guardian;

(c) “financial interest” means ownership of a more than de minimis legal or equitable interest, or a relationship as director, advisor, or other active participant in the affairs of a party, except that:

(i) ownership in a mutual or common investment fund that holds securities is not a “financial interest” in such securities unless the judge participates in the management of the fund;

(ii) an office in an educational, religious, charitable, fraternal, or civic organization is not a “financial interest” in securities held by the organization;

(iii) the proprietary interest of a policy holder in a mutual insurance company, or a depositor in a mutual savings association, or a similar proprietary interest, is a “financial interest” in the organization only if the outcome of the proceeding could substantially affect the value of the interest;

(iv) ownership of government securities is a “financial interest” in the issuer only if the outcome of the proceeding could substantially affect the value of the securities.

(d) “proceeding” includes prehearing or other stages of litigation.

D. Remittal of disqualification:

An administrative law judge disqualified by the means of Canon 3C may, instead of withdrawing from the proceeding, disclose on the record the basis of the disqualification. If, based on such disclosure, the parties and representatives, independently of the judge's participation, all agree in writing that the judge's relationship is immaterial, the judge is no longer disqualified, and may participate in the proceeding. The agreement, signed by all parties and representatives, shall be incorporated in the record of the proceeding.

Commentary: Canon 3D is derived from the ABA model code with amendments conforming to 28 U.S.C. 455. The procedure is designed to minimize the chance that a party or representative will feel coerced into an agreement. When a party is not immediately available, the judge without violating this section may proceed on the written assurance of the lawyer that his or her party's consent will be subsequently filed.

CANON 4

AN ADMINISTRATIVE LAW JUDGE SHALL REGULATE EXTRA-JUDICIAL ACTIVITIES TO MINIMIZE

THE RISK OF CONFLICT WITH JUDICIAL DUTIES

A. Extra-judicial activities in general:

An administrative law judge shall conduct all of the judge's extra-judicial activities so that they do not:

(1) cast reasonable doubt on the judge's capacity to act impartially as a judge;

(2) demean the judicial office; or (3) interfere with the proper performance of judicial duties.

Commentary: Complete separation of a judge from extra-judicial activities is neither possible nor wise; a judge should not become isolated from the community in which the judge lives.

Expressions of bias or prejudice by a judge, even outside the judge's judicial activities, cast reasonable doubt on the judge's capacity to act impartially as a judge. Expressions which may do so include jokes or other remarks demeaning individuals on the basis of their race, sex, religion, national origin, disability, age, sexual orientation, or socioeconomic status.

B. Avocational activities:

An administrative law judge may speak, write, lecture, teach, and participate in other extrajudicial activities concerning the law, the legal system, the administration of justice, and non-legal subjects, subject to the requirements of this Code.

Commentary: As a judicial officer and person specially learned in the law, a judge is in a unique position to contribute to the improvement of the law, the legal system, and the administration of justice, including the revision of substantive and procedural law. To the extent that time permits, a judge is encouraged to do so, either independently or through a bar association, judicial conference, or other organization dedicated to the improvement of the law.

C. Governmental, civic, and charitable activities:

(1) An administrative law judge shall not appear at a public hearing before, or otherwise consult with, an executive or legislative body or official except on matters concerning the law, the legal system, or the administration of justice or except when acting pro se in a matter involving the judge or the judge's interests.

Commentary: The judge has a professional obligation to avoid improper influence.

(2) An administrative law judge shall not accept appointment to a governmental committee or commission or other governmental position that is concerned with issues of fact or policy on matters other than the improvement of the law, the legal system, or the administration of justice. A judge may, however, represent a country, state, or locality on ceremonial occasions or in connection with historical, educational, or cultural activities.

Commentary: Canon 4C(2) prohibits a judge from accepting any governmental position except one relating to the law, legal system, or administration of justice. The appropriateness of accepting extra-judicial assignments must be assessed in light of the demands on judicial resources created by crowded dockets and the need to protect the judge from involvement in extra-judicial matters that may prove to be controversial. Judges should not accept governmental appointments that are likely to interfere with the effectiveness and independence of the administrative judiciary.

(3) An administrative law judge may participate in civic and charitable activities that do not reflect adversely upon impartiality or interfere with the performance of judicial duties. A judge may serve as an officer, director, trustee, or non-legal advisor of an educational, religious, charitable, fraternal, or civil organization not conducted for the economic or political advantage of its members, subject to the following limitations:

(a) A judge shall not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before the judge or will be regularly engaged in adversary proceedings before the central panel in which the judge serves.

Commentary: The changing nature of some organizations and of their relationship to the law makes it necessary for a judge to reexamine regularly the activities of each organization with which he or she is affiliated to determine if it is proper to continue his or her relationship with that organization.

(b) An administrative law judge as an officer, director, trustee or non-legal advisor, or as a member, or otherwise:

(i) may assist such an organization in planning fund-raising and may participate in the management and investments of the organization's funds, but shall not personally participate in the solicitation of funds or other fund-raising activities, except that a judge may solicit funds from other judges over whom the judge does not exercise supervisory authority;

(ii) may make recommendations to public and private fund-granting organizations on projects and programs concerning the law, the legal system, or the administration of justice;

(iii) shall not personally participate in membership solicitation if the solicitation might reasonably be perceived as coercive or, except as permitted in Canon 4C(3)(b)(i), if the membership solicitation is essentially a fund-raising mechanism;

(iv) shall not use or permit the use of the prestige of judicial office for fundraising or membership solicitation.

Commentary: An administrative law judge may solicit membership or endorse or encourage membership efforts for an organization devoted to the improvement of the law, the legal system, or the administration of justice or a nonprofit educational, religious, charitable, fraternal, or civic organization as long as the solicitation cannot reasonably be perceived as coercive and is not essentially a fund-raising mechaniam. Solicitation of funds for an organization and solicitation of memberships similarly involve the danger that the person solicited will feel obligated to respond favorably to the solicitor if the solicitor is in a position of influence or control. A judge must not engage in direct, individual solicitation of funds or memberships in person, in writing, or by telephone except in the following cases: 1) a judge may solicit for funds or memberships other judges over whom the judge does not exercise supervisory or appellate authority, 2) a judge may solicit other persons for membership in the organizations described above if neither those persons nor persons with whom they are affiliated are likely ever to appear before the central panel on which the judge serves, and 3) a judge who is an officer of such an organization may send a general membership solicitation mailing over the judge's signature.

Use of an organization letterhead for fund-raising or membership solicitation does not violate Canon 4C(3)(b) provided the letterhead lists only the judge's name and office or other position in the organization, and if comparable designations are listed for other persons, the judge's judicial designation. In addition, a judge must also make reasonable efforts to ensure that the judge's staff, and others subject to the judge's direction and control do not solicit funds on the judge's behalf for any purpose, charitable or otherwise.

D. Financial activities:

(1) An administrative law judge shall not engage in financial and business dealings that:

(a) may reasonably be perceived to exploit the judge's judicial position, or (b) involve the judge in transactions or continuing business relationships with those lawyers or other persons likely to come before the central panel on which the judge serves.

Commentary: A judge must avoid financial and business dealings that involve the judge in frequent transactions or continuing business relationships with persons likely to come either before the judge personally or before other judges on the judge's central panel. In addition, a judge should discourage members of the judge's family from engaging in dealings that would reasonably appear to exploit the judge's judicial position or involve those family members in frequent transactions or continuing business relationships with persons likely to come before the judge. This rule is necessary to avoid creating an appearance of exploitation of office or favoritism and to minimize the potential for disqualification.

(2) An administrative law judge may, subject to the requirements of this Code, hold and manage investments of the judge and members of the judge's family, including real estate, and engage in other remunerative activity.

(3) An administrative law judge shall not serve as an officer, director, manager, general partner, advisor, or employee of any business entity except that a judge may, subject to the requirements of this Code, manage and participate in:

(a) a business closely-held by the judge or members of the judge's family, or (b) a business entity primarily engaged in investment of the financial resources of the judge or members of the judge's family.

Commentary: Subject to the requirement of this Code, a judge may participate in a business that is closely-held either by the judge alone, by members of the judge's family, or by the judge and members of the judge's family.

Although participation by a judge in a closely-held family business might otherwise be permitted by Canon 4D(3), a judge may be prohibited from participation by other provisions of this Code when, for example, the business entity frequently appears before the judge's central panel or the participation requires significant time away from judicial duties. Similarly, a judge must avoid participating in a closely-held family business if the judge's participation would involve misuse of the prestige of the judicial office.

(4) An administrative law judge shall manage the judge's investments and other financial interests to minimize the number of cases in which the judge is disqualified. As soon as the judge can do so without serious financial detriment, the judge should divest himself or herself of investments and other financial interests that might require frequent disqualification.

(5) An administrative law judge shall not accept, and shall urge members of the judge's family or a person treated by the judge as a member of the judge's family residing in the judge's household not to accept a gift, bequest, favor, or loan from anyone except for:

Commentary: Because a gift, bequest, favor, or loan to a member of the judge's family residing in the judge's household might be viewed as intended to influence the judge, a judge must inform those family members of the relevant ethical constraints upon the judge in this regard and discourage those family members from violating them. A judge cannot, however, reasonably be expected to know or control all of the financial or business activities of all family members residing in the judge's household.

(a) a gift incident to a public testimonial, books, tapes, and other resource materials supplied by publishers on a complimentary basis for official use, or an invitation to the judge and the judge's spouse or guest to attend a bar-related function or an activity devoted to the improvement of the law, the legal system, or the administration of justice;

(b) a gift, award, or benefit incident to the business, profession, or other separate activity of a spouse or other family member of a judge residing in the judge's household, including gifts, awards, and benefits for the use of both the spouse or other family member and the judge (as spouse or family member), provided the gift, award, or benefit could not reasonably be perceived as intended to influence the judge in the performance of judicial duties;

(c) ordinary social hospitality;

(d) a gift from a relative or friend, for a special occasion, such as a wedding, anniversary, or birthday, if the gift is fairly commensurate with the occasion and the relationship;

Commentary: A gift to a judge, or to a member of the judge's family living in the judge's household, that is excessive in value raises questions about the judge's impartiality and the integrity of the judicial office and might require disqualification of the judge where disqualification would not otherwise be required.

(e) a gift, bequest, favor, or loan from a relative or close personal friend whose appearance or interest in a case would in any event require disqualification;

(f) a loan from a lending institution in its regular course of business on the same terms generally available to persons who are not administrative law judges;

(g) a scholarship or fellowship awarded on the same terms and based on the same criteria applied to other applicants; or (h) any other gift, bequest, favor, or loan only if: the donor is not a party or other person who has come or is likely to come or whose interests have come or are likely to come before the judge.

Commentary: Canon 4D(5)(h) prohibits judges from accepting gifts, favors, bequests, or loans from lawyers or their firms if they have come or are likely to come before the judge; it also prohibits gifts, favors, bequests, or loans from clients of lawyers or their firms when the clients' interests have come or are likely to come before the judge.

E. Fiduciary activities:

(1) An administrative law judge shall not serve as executor, administrator, or other personal representative, trustee, guardian, attorney in fact, or other fiduciary, except for the estate, trust, or person of a member of the judge's family, and then only if such service will not interfere with the proper performance of judicial duties.

(2) An administrative law judge shall not serve as a fiduciary if it is likely that the judge as a fiduciary will be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversary proceedings in the central panel on which the judge serves.

(3) The same restrictions on financial activities that apply to a judge personally also apply to the judge while acting in a fiduciary capacity.

Commentary: The restrictions imposed by this Canon may conflict with the judge's obligation as a fiduciary. For example, a judge should resign as trustee if detriment to the trust would result from divestiture of holdings the retention of which would place the judge in violation of Canon 4D(4).

F. Service as arbitrator or mediator.

An administrative law judge may act as an arbitrator or mediator provided there is no conflict with the judge's official duties.

G. Practice of Law.

A full-time administrative law judge shall not practice law. Notwithstanding this prohibition, a judge may act pro se and may, without compensation, give legal advice to and draft or review documents for a member of the judge's family. A member of the judge's family denotes a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the judge maintains a close familial relationship.

Commentary: This prohibition refers to the practice of law in a representative capacity and not in a pro se capacity. A judge may act for himself or herself in all legal matters, including matters involving litigation and matters involving appearances before or other dealings with legislative and other governmental bodies. However, in so doing, a judge must not abuse the prestige of office to advance the interests of the judge or the judge's family.

The Code allows a judge to give legal advice to and draft legal documents for members of the judge's family, so long as the judge receives no compensaton. A judge must not, however, act as an advocate or negotiator for a member of the judge's family in a legal matter.

An administrative law judge may perform pro bono legal services provided there is no conflict with the judge's official duties and the proceedings will not take place in the central panel in which the judge is a member.

H. Compensation and reimbursement.

An administrative law judge may receive compensation and reimbursement of expenses for the extra-judicial activities permitted by this Code, if the source of such payments does not give the appearance of influencing the judge's performance of judicial duties or otherwise give the appearance of impropriety.

(1) Compensation shall not exceed a reasonable amount nor should it exceed what a person who is not a judge would receive for the same activity.

(2) Expense reimbursement shall be limited to the actual cost of travel, food, and lodging reasonably incurred by the judge and, where appropriate to the occasion, by the judge's spouse or guest. Any payment in excess of such an amount is compensation.

I. Disclosure.

Disclosure of an administrative law judge's income, debts, investments, or other assets is required only to the extent provided by law.

Commentary: A judge has the right of any other citizen, including the right to privacy of the judge's financial affairs, except to the extent that limitations established by law are required to safeguard the proper performance of the judge's duties.

CANON 5

AN ADMINISTRATIVE LAW JUDGE SHALL REFRAIN FROM POLITICAL ACTIVITY

INAPPROPRIATE TO THE JUDICIAL OFFICE

Commentary: Administrative law judges retain the right to participate in the political process as voters.

Administrative law judges, depending upon their employment status, may engage in other appropriate political activity.

It is generally inappropriate, however, for any full-time administrative law judge to act as a leader or hold office in a political organization or make speeches on behalf of a political organization. While it may be inappropriate to publicly endorse or publicly oppose a candidate for public office, a full-time administrative law judge is not prohibited from privately expressing his or her views on candidates for public office.

A candidate for reappointment to an administrative law judge position or an administrative law judge seeking another governmental office should not engage in political activity to secure the appointment.

Such persons may communicate with the appointing authority and any entity or person designated to screen candidates, or seek support or endorsement for the appointment from organizations that regularly make recommendations for reappointment or appointment to the office.

A full-time administrative law judge shall resign from office when the judge becomes a candidate either in a party primary or in a general election for an elective public office. _________________________________________________________________________ Editor’s Notes

History

1 CCR 104-3 Procedural Rules for Workers' Compensation Hearings {#sec-1-ccr-104-3 omnilex-key=us-co-regs-official--department-14--1 CCR 104-3}

Colorado Department of Personnel & Administration PROCEDURAL RULES FOR WORKERS’ COMPENSATION HEARINGS 1 CCR 104-3 [Editor’s Notes follow the text of the rules at the end of this CCR Document.]

Preamble The Office of Administrative Courts Procedural Rules for Workers’ Compensation were initially adopted in their entirety by the Department of Personnel & Administration on October 26, 2005.

This version reflects a repeal of the former rules and reissuance by the Director to amend the Office of Administrative Courts Procedural Rules for Workers’ Compensation Hearings.

OAC Rule 1. Definitions.

As used in these Procedural Rules for Workers’ Compensation Hearings:

A. “ALJ” is an administrative law judge with the Office of Administrative Courts or a prehearing administrative law judge with the Division of Workers’ Compensation.

B. “Address” is the U.S. postal service mailing address or the email address.

C. “Application” refers to an Application for Hearing, an Application for Expedited Hearing, or an Application for Hearing - Disfigurement Only filed with the Office of Administrative Courts.

D. “C.R.S.” is the Colorado Revised Statutes.

E. “Days” are calendar days unless specifically noted in the rule otherwise.

F. “DOWC” is the Division of Workers’ Compensation in the Department of Labor and Employment.

G. “Hearing” refers to an In-Person Hearing, a Virtual Hearing, and a Hybrid Hearing, but does not include status conferences or prehearing conferences.

1. “In-Person Hearing” means a hearing in which all parties, party representatives, and attorneys physically appear in a courtroom.

(Witnesses may testify remotely in an In-Person Hearing).

2. “Virtual Hearing” means a hearing conducted through videoconference in which all participants appear remotely.

3. “Hybrid Hearing” means a hearing in which one or more parties or attorneys physically appear in a courtroom, and one or more parties or attorneys appear remotely.

H. “Mailing” as used in these rules shall include first class mail, or email.

I. “OAC” means the Office of Administrative Courts, created in the Colorado Department of Personnel and Administration by section 24-30-1001(1), C.R.S.

J. “OAC office” refers to the OAC’s locations in Colorado Springs, Denver, and Grand Junction.

K. “OACRP” means these Office of Administrative Courts’ Rules of Procedure.

L. “OAC-Approved Form” means a form published on the OAC Website.

M. “OAC Website” refers to the website associated with the OAC which at the time of publication is oac.colorado.gov.

N. “Response to Application” refers to a Response to an Application for Hearing, a Response to Application for Expedited Hearing, or a Response to Application for Hearing - Disfigurement Only filed with the Office of Administrative Courts.

O. “Venue” means the physical location of a hearing, which includes Denver, Colorado Springs, Pueblo, Grand Junction, and Glenwood Springs. The OAC may, as resources and facilities require, add, or remove available venues for hearing.

OAC Rule 2. Applicability.

A. The OACRP apply to procedural orders and hearings pursuant to the Workers’ Compensation Act of Colorado, Articles 40 to 47 of Title 8, C.R.S., from the date an Application for Hearing is filed until the time to file a Petition to Review (PTR) has expired, or, if a Petition to Review PTR is filed, until the file is transmitted to the Industrial Claim Appeals Office, or until the time to issue a corrected order has concluded.

B. The Colorado Rules of Civil Procedure apply to Workers’ Compensation hearings unless they are inconsistent with these rules, the provisions of the Workers'

Compensation Act, or the Workers’ Compensation Rules of Procedure, 7 CCR 1101-3.

C. The OACRP does not apply to matters solely within the discretion of the DOWC director including but not limited to the following: claim closure for lack of prosecution, medical fee schedule disputes, or any modification to the claim information.

OAC Rule 3. Ex-Parte Communications.

With the exception of settlement conferences or mediation, a party or counsel for a party shall not initiate any communication with an ALJ pertaining to a matter before the OAC, unless requested by an ALJ. Communications regarding scheduling or administrative matters shall be directed to OAC staff. Copies of all pleadings or correspondence filed with the OAC or directed to an ALJ by any party shall be served pursuant to OACRP 6.

OAC Rule 4. Filing of Documents.

A. Original pleadings, forms, and other documents related to a proceeding before the OAC shall be filed with the OAC office closest to the claimant’s address of record. If a motion to change venue has been granted, original pleadings, forms, and other documents related to a proceeding shall be filed in accordance with OACRP 4.B.

B. If the hearing venue is Denver, the Application, pleadings, forms, and other documents shall be filed at the OAC’s Denver office. If the hearing venue is Colorado Springs or Pueblo, the Application, pleadings, forms, and other documents shall be filed at the OAC’s Colorado Springs office. If the hearing venue is Grand Junction, or Glenwood Springs, the Application, pleadings, forms, and other documents shall be filed at the OAC’s Grand Junction office.

C. Filing shall be by U.S. Mail, hand delivery, or by email. Facsimile filings are not accepted. The current email address for each OAC office can be found on the OAC website or by contacting the OAC.

D. Duplicate copies will be discarded and not made part of the OAC file.

E. The date of filing shall be the date indicated on the certificate of service on the filing. If no certificate of service is included, the date of filing shall be the date received by the OAC.

F. All pleadings, forms, and other documents filed with the OAC shall contain the Workers’ Compensation claim number.

G. The OAC may reject any Application, pleading, form, or other document that does not comply with the OACRP. The rejection of any pleading, form, or other document for noncompliance with formatting requirements shall be without prejudice.

H. Formatting Requirements for OAC Filings.

1. Format. Documents subject to formatting requirements pursuant to these Rules shall be submitted to the OAC in an editable format, using an OAC- Approved Form for the caption and certificate of service.

2. Text. Documents subject to formatting requirements shall use 12-point Arial font, with line spacing of no less than 1.5 lines. Only standard capitalization shall be used throughout the document, including captions.

The use of all capital letters is prohibited, with the exception of standard abbreviations (e.g., MMI, TTD, DIME). Underlining is prohibited, except for email addresses and URLs.

3. Enforcement. Noncompliant documents may be rejected or returned for correction.

I. Certificates of Service.

1. Requirement of Certificate of Service. All proposed orders shall be accompanied by a certificate of service that sets forth the email address of each party who is to be served by email. When email addresses are available for all parties, the certificate of service for a proposed order shall not indicate that a party will serve the order under subsection 3 of this

Rule.

2. Service of Orders. Upon issuance, the OAC shall serve the signed order by email on all parties in accordance with OACRP 6.

3. Parties Without Email Addresses.

a. If any party does not have an email address available for service, the certificate of services shall include the party’s mailing address.

b. The prevailing party shall serve a true and correct copy of the signed order by mail on all parties who do not have an email address. Service shall be completed promptly and no later than 2 business days after the order is received.

OAC Rule 5. E-Filing. (RESERVED)

OAC Rule 6. Service of Documents.

A. All pleadings, forms, or other documents filed with the OAC shall be served on each of the parties. When an attorney represents a party, service shall be made on the attorney.

B. Service of pleadings, forms, or other documents may be made by hand delivery, by mail to the address given in the pleadings, by email to an email address given in the pleadings, or to the party's last known address as provided to the OAC.

C. Attorneys shall inform the OAC and all other parties of their current telephone number, mailing address, and email address. Any changes to said information during the course of the proceedings shall be reported to the OAC and all parties within 7 days.

D. Parties without an attorney shall inform the OAC and all other parties of their current telephone number, mailing address, and email address. Any changes to said information during the course of the proceedings shall be reported to the OAC and all parties within 14 days.

E. The OAC may charge a fee for copies of all pleadings provided to the parties.

OAC Rule 7. Hearing Request.

A. Any party may request a hearing on issues ripe for adjudication by filing an Application for Hearing, Application for Expedited Hearing, or an Application for Hearing - Disfigurement Only.

B. Copies of the Application shall be served on the opposing party or parties, as provided in OACRP 6.

C. The hearing shall be set in the venue closest to the claimant’s residence, unless a different venue is approved by an ALJ for good cause shown, or as otherwise ordered by an ALJ.

D. The OAC will schedule In-Person Hearings, Virtual Hearings, or Hybrid Hearings based on available facilities and resources. Once a hearing has been set, the format of the hearing may be changed by agreement of the parties and approved by an ALJ, by motion of one or more of the parties for good cause shown, or as otherwise ordered by an ALJ. Absent good cause, any request to change the format of the hearing shall be filed no later than 20 days before the hearing is scheduled to commence.

E. Upon motion and good cause shown, an ALJ may grant the parties a half or fullday (“non-trailing”) setting for a hearing to be held in Colorado Springs, Denver, or Grand Junction. Any dates for a non-trailing setting must be obtained by contacting the clerk in the OAC office where the hearing is scheduled to be held.

OAC Rule 8. Application for Hearing.

A. The Application for Hearing shall be on an OAC-Approved Form.

B. The OAC may reject any Application for Hearing that is not complete or does not comply with the OACRP. The rejection shall be without prejudice.

C. A Response to Application for Hearing or an Entry of Appearance shall be filed with the OAC no later than 15 days after the date the Application for Hearing was filed. If an Entry of Appearance is filed, the Response to Application for Hearing shall be filed no more than 30 days after the date the Application for Hearing was filed, unless agreed upon by the parties, or ordered by an ALJ.

D. A party who is not represented by an attorney may request that the OAC set the matter for hearing. In that instance, Paragraph E of this Rule shall not apply.

E. The applicant shall obtain available hearing dates listed on the OAC website that are within 80 to 120 days after the date the Application for Hearing was filed. If a Response to Application for Hearing or an Entry of Appearance was filed, the applicant shall contact the opposing party and agree on a date and time for hearing. The applicant shall file a written confirmation of the date and time selected at least 15 days and no more than 30 days after the Application for Hearing was filed. If the parties cannot agree on a date and time, the applicant shall notify the OAC in writing that there is no agreement, and the OAC will set the hearing at a date and time of its choosing.

F. The parties may set the hearing to commence less than 80 days after the date of the Application for Hearing by motion and order of an ALJ.

G. If the OAC does not receive written confirmation of the hearing from a party within 30 days after the Application for Hearing was filed, the Application shall be stricken without prejudice. Any party may, as permitted by law, file a new Application for Hearing regarding issues that are ripe for adjudication.

OAC Rule 9. Application for Expedited Hearing (“Expedited Application”).

A. Any Expedited Application shall be on an OAC-Approved Form.

B. An Expedited Application may be filed:

1. By claimant, if the respondent filed a Notice of Contest and the claimant files an Expedited Application within 45 days of the date of service of the Notice of Contest. The issues in an expedited hearing shall be limited to compensability, medical benefits, applicable affirmative defenses, and 2. By claimant, if there is an urgent need for prior authorization of health care services recommended in writing by an authorized treating provider, and prior authorization has been denied. A copy of a medical record documenting the urgent need for prior authorization of health care services shall be attached to the Expedited Application. The issues will be limited to liability for those health care services, applicable affirmative defenses, and other issues as agreed upon by the parties, or as ordered by an ALJ.

2. By respondent, if it has filed a Petition to Suspend, Modify, or Terminate Compensation, and the claimant has filed an objection. The issues at the hearing shall be limited to a determination of the Petition to Suspend, Modify, or Terminate Compensation, applicable affirmative defenses, and 4. By any party, on the issue of whether the employer or insurer provided a list of designated providers in compliance with section 8-43-404(5), C.R.S., and the claimant files an Expedited Application within 45 days after the claimant provided notice of the injury to the employer. The issues will be limited to whether the respondent provided a compliant list of designated providers, applicable affirmative defenses, and other issues as agreed upon by the parties, or as ordered by an ALJ.

3. By any party, on the issue of whether the employer or insurer provided a list in compliance with section 8-43-404 (5), C.R.S., if the insurer or selfinsured employer admitted liability for the claim and the Expedited Application is filed within 45 days after the initial admission of liability for the claim. The issues will be limited to whether the respondent provided a compliant list of designated providers, applicable affirmative defenses, and 6. By any party, on the issue of whether the employer or insurer may reduce compensation pursuant to section 8-42-112, C.R.S, if the insurer or employer has admitted liability for a claim, and the claimant files an Expedited Application within 45 days after the date of the admission reducing compensation. The issues will be limited to whether the respondent may reduce compensation pursuant to section 8-42-112, C.R.S., applicable affirmative defenses, and other issues as agreed upon by the parties, or as ordered by an ALJ.

4. Where otherwise authorized by the Colorado Workers’ Compensation Act, or the Colorado Workers’ Compensation Rules of Procedure, 7 CCR 1101-3.

C. If the applicant qualifies for an expedited hearing, the OAC shall set the matter for hearing to occur consistent with the provisions of the Workers’ Compensation Act. The OAC shall determine the location, date, and time of the expedited hearing, and shall send notice of the hearing to the parties, as provided by OACRP 11.

D. The opposing party may file a Response to the Expedited Application within 10 days of service of the Expedited Application, as provided by OACRP 6, unless agreed upon by the parties or approved by an ALJ.

E. The OAC may reject any Expedited Application that is not complete or does not meet the criteria for an expedited hearing as determined by an ALJ. The rejection shall be without prejudice.

F. When the Expedited Application is rejected for not meeting the criteria for an expedited hearing, the applicant may then file an Application for Hearing pursuant to OACRP 8.

OAC Rule 10. Disfigurement Hearing and Award.

A claimant may request a determination of additional compensation for disfigurement to areas of the claimant’s body normally exposed to public view by filing an Application for Hearing – Disfigurement Only (“Disfigurement Application”). Unless the parties agree otherwise, the date of the Disfigurement Application must be at least 6 months from the date of injury except when the claimant has had surgery, in which case the Disfigurement Application must be at least 6 months from the date of surgery. If a final admission of liability has been filed pursuant to section 8-43-203(2)(b)(II)(A), C.R.S., a claimant may request a hearing on disfigurement regardless of the date of injury or surgery.

A. Disfigurement Application.

1. A Disfigurement Application shall be on an OAC-Approved Form.

2. An opposing party may file a Response to the Disfigurement Application within 10 days of service of the Disfigurement Application.

3. The OAC will set the matter for hearing at a location, date, and time of its choosing, and shall send notice of the hearing to the parties, as provided by OACRP 11.

4. The OAC may reject any Disfigurement Application that is not complete.

The rejection of a Disfigurement Application shall be without prejudice.

B. Disfigurement Award – Photographs.

Requests for a Disfigurement Award by photograph shall be filed with the DOWC. The claimant shall not simultaneously file a Request for a Disfigurement Award by photograph and a Disfigurement Application. Should the claimant be dissatisfied with an award based on photographs, the claimant is permitted to file a Disfigurement Application with the OAC.

C. Disfigurement Orders.

Unless otherwise provided in the disfigurement award order, the employer or insurer is entitled to credit for any amount previously paid for disfigurement. If the amount of the credit exceeds the disfigurement award, the employer or insurer may offset the amount of the credit against any future temporary or permanent disability benefits.

OAC Rule 11. Notice of Hearing.

The OAC shall send a Notice of Hearing to the addresses on the Application, or if filed, the addresses on the Entry of Appearance or Response to Application, consistent with OACRP 6.

OAC Rule 12. Issues for Hearing.

A. Issues for hearing shall be listed in the Application, the Response to Application, or may be added before the hearing date is confirmed by written notice to the OAC and the opposing party. After the hearing date is confirmed, issues may only be added by written agreement of the parties or order of an ALJ for good cause shown.

B. At the commencement of hearing, the parties shall confirm the issues to be determined, including affirmative defenses.

OAC Rule 13. Witnesses.

A. General Rule. A party may present testimony in its case-in-chief only from a witness who has been endorsed in accordance with this Rule.

B. Endorsed Witnesses. A witness is considered endorsed if the witness is:

1. Identified in the Application or the Response to Application;

2. Disclosed by written notice served at least 75 days before the scheduled hearing date, subject to the endorsing party’s continuing obligation to supplement discovery responses;

3. Added by written agreement of the parties; or 4. Added by order of an ALJ for good cause shown.

OAC Rule 14. Extension of Time to Commence Hearing.

A. The parties may obtain one 60-day extension of time to commence a hearing by agreement pursuant to section 8-43-209(1), C.R.S. An agreement to set the hearing more than120 days after the date of the Application is a request for extension of time under section 8-43-209(1), C.R.S. The initial setting date shall be no later than 180 days from the date of the Application.

B. On written motion, an ALJ may grant extensions of time to commence a hearing pursuant to section 8-43-209(2), C.R.S. An ALJ may, on the ALJ’s own motion, extend the time to commence a hearing if time is not available on the docket.

C. When an extension of time is granted, the parties must file a hearing confirmation within 10 days after the date of service of the order granting an extension of time, unless otherwise ordered by an ALJ.

OAC Rule 15. Hearing Vacated.

After a Response to Application is filed, the Application may not be withdrawn, and the hearing may not be vacated except:

A. Upon agreement of all parties and by filing a hearing cancellation form. If the parties agree to the withdrawal of the Application, the applicant must promptly notify the OAC of the agreement to vacate the hearing in writing. Hearings may be canceled by telephone, but must be followed up with written confirmation and served on all parties pursuant to OACRP 6; or B. Upon motion and for good cause shown and ordered by an ALJ; or C. As otherwise ordered by an ALJ.

OAC Rule 16. Motions.

A. Motions and responses to motions shall be filed with the OAC office closest to the claimant’s residence. If a motion to change venue has been granted, any motions and responses to motions shall be filed in the OAC office where the hearing is to occur. Motions and responses to motions shall be served on all parties, as provided in OACRP 6, on the same day as filed with the OAC.

Motions shall be filed exclusively with either the OAC or the DOWC.

B. Motions shall include a certification by the party or counsel filing the motion that they have conferred, or made a good faith effort to confer, with opposing counsel and unrepresented parties, and attempted to resolve the issue without court action. All motions shall include a statement indicating whether the motion is opposed, unopposed, or stipulated. If no conference has occurred, an explanation must be included in the motion. Any motion filed without a demonstrated good faith effort to confer may be summarily denied.

C. The motion shall conspicuously state in the caption if the motion is unopposed or stipulated.

D. A stipulated or unopposed motion may be granted or denied before the expiration of the response period.

E. Any response to a motion shall be filed within 10 days from the date the motion was filed with the OAC. If no response is filed within 10 days, the motion may be deemed confessed.

F. The OAC may refer any matter within the jurisdiction of a prehearing ALJ to the DOWC. If the parties agree to resolve a pending motion by proceeding to a prehearing conference before the DOWC, the parties shall promptly notify the OAC of the pending prehearing conference.

G. An ALJ may, within the ALJ’s discretion, require oral arguments on any motion.

H. If an issue that is the subject of a motion has been resolved or becomes moot before an order is issued, the moving party shall notify the OAC in writing that the motion is moot or withdrawn.

I. The parties shall submit a proposed order with each motion and response.

Proposed orders shall set forth the relief requested in reasonable detail, and not merely by reference to another document. Proposed orders for approval of stipulations shall specifically state the terms of the stipulation in the order.

J. Proposed orders shall conform to the formatting requirements of OACRP 4.H and include a certificate of service complying with OACRP 4.I.

OAC Rule 17. Summary Judgment.

A. Any party may file a motion for summary judgment seeking resolution of any endorsed issue for hearing by filing a written motion at least 30 days before the hearing is scheduled to commence. Any motion seeking resolution of an issue endorsed for hearing shall be captioned as a motion for summary judgment. Any motion seeking resolution of one or more issues endorsed for hearing shall be considered a motion for summary judgment and shall conform to the requirements of this Rule.

B. Summary judgment may be granted if the pleadings, transcripts of testimony, discovery responses, medical reports, employer records, affidavits, or other admissible evidence show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law. The motion for summary judgment must be accompanied by a proposed order that includes findings of fact, conclusions of law, and an order. The proposed order shall be in editable format and shall conform to the formatting requirements of OACRP 4.H and include a certificate of service complying with OACRP 4.I.

C. Any response to a motion for summary judgment shall be filed within 15 days of the date of filing of the motion for summary judgment. If there is a disputed issue of material fact, the response must specifically identify the disputed issue of material fact.

OAC Rule 18. Orders to Show Cause.

A. Issuance. An ALJ on their own motion may issue an order to show cause directing a party to explain why all or part of an Application or Response to Application should not be dismissed if the OAC’s records, other orders, pleadings, or other documents demonstrate that:

1. One or more issues identified in the Application or Response to Application have been finally decided and all appellate remedies have been exhausted, or the time for appeal has expired;

2. One or more issues identified in the Application or Response to Application are pending before the OAC, the Industrial Claim Appeals Office (ICAO), or a court of competent jurisdiction;

3. A final order has been issued by the OAC, the ICAO, or a court of competent jurisdiction that:

a. Concludes a claim is permanently closed;

b. Dismisses a claim or issue with prejudice; or c. Concludes a claim or issue is time-barred;

4. The Application or Response to Application identifies issues outside the statutory authority of the ALJ or the OAC; or 5. For any other reason, the issues identified in the Application or Response to Application are not properly before the OAC.

B. Contents of the Order. An order issued under this rule must state:

1. The reason for issuance of the order;

2. The deadline for filing a written response; and 3. That failure to timely respond may result in dismissal of all or part of the Application or Response to Application.

C. Response to Order to Show Cause 1. A response to an order to show cause shall be filed no later than 14 days from the date the order was issued, unless otherwise ordered by the ALJ.

2. A response to an order to show cause issued under this rule shall address the specific grounds stated in the order and shall explain why the Application or Response to Application, or parts thereof, should not be dismissed.

D. Responses by Other Parties. An opposing party may respond to an order to show cause no later than 14 days from the date the order was issued but is not required to respond unless ordered by the ALJ.

E. Oral Argument. The ALJ may, in the ALJ’s discretion, order oral argument on an order to show cause.

F. Not a Substitute for Dispositive Motions. An order to show cause under this

rule does not serve as a substitute for or preclude any party from filing any other dispositive motion.

G. Other Authority Preserved. Nothing in this rule limits the ALJ’s authority to issue orders to show cause in other appropriate circumstances.

OAC Rule 19. Subpoenas.

A subpoena to compel the attendance of witnesses or parties and the production of books, papers, or records at a scheduled deposition or hearing may be issued on behalf of the OAC by an ALJ or by a licensed attorney for a party. The party requesting the subpoena shall be responsible for service of the subpoena, consistent with Rule 45 of the Colorado Rules of Civil Procedure.

OAC Rule 20. Hearings Open to the Public.

Hearings are open to the public. However, when necessary and reasonable, an ALJ may clear all persons from the hearing except counsel and parties.

OAC Rule 21. Case Information Sheet (CIS).

A. Unless otherwise ordered by an ALJ, and except for disfigurement only hearings under OACRP 10, the parties jointly, or each party individually, shall file and serve pursuant to OACRP 6, a Case Information Sheet (CIS) on a form provided by the OAC, or on a substantially similar form. Any CIS shall be filed and served no more than 20 days and no less than 5 days prior to the date set for the commencement of the hearing, or such other date established by an ALJ.

B. The purpose of the CIS is to permit the ALJ to determine the priority of the cases set, and to manage the docket more efficiently. The CIS is not discovery and is not a substitute for proper endorsement of witnesses or issues pursuant to OACRP 12 or 13.

C. The CIS shall advise the ALJ as to whether the parties have conferred and made a good faith effort to resolve the issues set for hearing, the status of any discovery, the stipulations to be offered, the issues remaining for hearing, the names of the lay and expert witnesses to testify at the hearing, whether each witness shall testify in person, remotely, or by deposition, the expected length of each witness’s testimony, and whether an extension of time to commence the hearing has previously been granted.

D. Should a party fail to timely file a CIS, the OAC may: (1) strike the application for hearing without prejudice and vacate the hearing; (2) issue an order to show cause why the issues or defenses should not be dismissed with prejudice; (3) continue the hearing to a future date; (4) continue the hearing and require the parties to attend a pre-hearing conference prior to proceeding to a hearing on the merits; or (5) proceed to hearing on the merits.

E. If an interpreter has been requested pursuant to OACRP 22, the requesting party shall indicate on the CIS that an interpreter is required. The initial request for an interpreter shall be made consistent with OACRP 22, and not on the CIS form.

OAC Rule 22. Interpreters and Auxiliary Services.

A. Interpretation Services for Limited English Proficient Individuals.

1. Request by a Party or for a Witness. A party who is limited English proficient, or any party who calls a witness who is limited English proficient, may request that the OAC provide interpretation services for the hearing at no cost to the requestor.

2. Form of Request. A request for interpretation services must be made using an OAC-Approved Form.

3. Separate Requests. A separate request for interpretation services must be filed for each witness or party requiring such services. If a hearing is rescheduled or continued, a new request must be filed for each witness or party requiring such services at the rescheduled or continued hearing.

4. Time for Filing. A request must be filed no later than 30 days before the scheduled hearing date. If filed fewer than 30 days before the hearing date, the hearing may be rescheduled.

5. Confirmation in Case Information Sheet (CIS). Any request for interpretation services shall be confirmed in the CIS filed by the party requesting such services. Confirmation of interpretation services in a CIS does not constitute a request for interpretation services.

B. Auxiliary Aids or Services for Disabilities.

1. Request by a Party or for a Witness. A party who requires an auxiliary aid or service for a disability, or any party who calls a witness who requires an auxiliary aid or service for a disability, may request that the OAC provide such services for the hearing at no cost to the requestor.

2. Form of Request. A request for an auxiliary aid or service for a disability may be made by communicating the need for such service to the OAC.

3. Separate Requests. A separate request for an auxiliary aid or service for a disability must be submitted for each witness or party requiring such services.

4. Time for Filing. A request should be submitted no later than 30 days before the scheduled hearing date. If submitted fewer than 30 days before the hearing date the hearing may be rescheduled.

5. Confirmation in Case Information Sheet (CIS). Any request for an auxiliary aid or service for a disability shall be confirmed in the CIS filed by the party requesting such services. Confirmation in a CIS does not constitute a request for such service.

C. Status Conferences. The OAC may require the parties to attend a status conference prior to the hearing to determine the hearing status and need for interpretation services, auxiliary aid, or disability services.

D. Cancellation or Rescheduling of Hearings. If a case is canceled, settled, continued, or otherwise rescheduled by the parties, the parties shall notify the OAC no later than 3 business days before the scheduled hearing that the requested services are no longer needed.

E. Party-Provided Services. A party who requires interpretation, auxiliary aid, or disability services may provide their own service so long as the provider meets the qualifications of OACRP .22.F, below.

F. Qualifications of Interpreters. The OAC will provide professional interpreting services through a third-party vendor. Any interpreter provided by the vendor, or any interpreter that the parties provide must have one of the following:

1. A certification as a qualified legal interpreter in the target language, or, 2. A demonstrated ability to interpret from the target language to English and from English to the target language, and a demonstrated knowledge of legal terms and concepts.

B. Interpreter Code of Conduct. Immediately prior to the commencement of the hearing, any interpreter must review the “Code of Conduct for Interpreters in Administrative Hearings” and agree in writing to abide by its provisions.

OAC Rule 23. Hearing Exhibits A. Each party shall submit their hearing exhibits in electronic form to the OAC and the opposing parties at least 3 business days before the hearing. The exhibit packet shall be tendered to the court in a single combined PDF document, unless requested otherwise by the OAC or an ALJ.

B. Exhibit packets shall comply with the following:

1. Exhibit packets shall include a cover sheet listing the exhibits and identifying the party offering the exhibits.

2. Claimants' exhibits shall be identified using numbers, starting with 1.

3. Respondents' exhibits shall be identified using letters, starting with A.

4. The exhibit packet shall include a separate divider page between each exhibit containing the exhibit letter or number.

5. All pages of the exhibit packet shall be numbered consecutively, including divider pages. Page numbers shall be affixed conspicuously to each page, but not in a manner that obscures the content of any exhibit.

C. If exhibits are not submitted as required by this Rule, the ALJ may: (1) order the party to submit a conforming exhibit packet; (2) continue the hearing to a future date; (3) require the parties to attend a prehearing conference; or (4) proceed to hearing on the merits. No exhibits that are otherwise admissible will be excluded solely for failure to comply with the requirements of this Rule.

D. Parties shall not submit paper copies of exhibits to the OAC unless otherwise requested by the OAC. Parties may utilize paper copies of exhibits as necessary to conduct the examination of a witness or otherwise present evidence. If requested, parties may submit paper copies of exhibits at the start of the hearing, provided the exhibits have been filed in electronic form pursuant to this Rule.

OAC Rule 24. Remote Testimony.

A. In-Person Hearings.

1. Remote Testimony by Endorsed Witnesses. A party may present the testimony of an endorsed witness by videoconference or telephone at an in-person hearing if the party files a notice with the OAC at least 14 days before the scheduled hearing, specifying the format in which the testimony will be presented.

2. Compelling In-Person Testimony. An opposing party may compel the inperson attendance of a witness who would otherwise testify remotely by serving a subpoena on the witness. The party compelling attendance shall bear any associated costs.

B. Virtual Hearings.

1. Required Video Appearance.

a. Witnesses. All testifying witnesses shall appear on video unless a notice of audio-only testimony is filed pursuant to section B.2. of this Rule or otherwise permitted by an ALJ.

b. Attorneys and Self-Represented Parties. Attorneys and selfrepresented parties shall appear on video and may not appear by audio only unless an ALJ permits otherwise for good cause shown.

2. Notice of Audio-Only Testimony.

a. No written notice is required for testimony by a witness appearing by video at a Virtual Hearing.

b. If an endorsed witness will testify by audio only and will not appear on video, the party calling the witness shall file a notice with the OAC at least 14 days before the hearing, stating that the testimony will be presented by audio only.

3. Motion to Compel Video Testimony. An opposing party may move to compel a witness who is scheduled to testify by audio only to instead appear by video. The motion shall be filed at least 10 days before the hearing and must show good cause. The party calling the witness must file a response within 5 days of service of the motion.

C. Hybrid Hearings.

1. Motion Required. An ALJ may order a hybrid hearing on written motion for good cause shown. The motion must be filed at least 14 days before the scheduled hearing and must identify each participant and the format of their anticipated appearance (in-person or by videoconference).

2. Required Video Appearance.

a. Witnesses. Any testifying witness not physically present in the courtroom must appear on video, unless a notice of audio-only testimony is filed pursuant to section C.3., of this Rule, or otherwise permitted by an ALJ.

b. Attorneys and Self-Represented Parties. Attorneys and selfrepresented parties shall appear by videoconference and may not appear by telephone unless an ALJ permits otherwise for good cause shown.

3. Notice of Audio-Only Testimony. If an endorsed witness will testify by audio only and will not appear on video, the party calling the witness shall file a notice with the OAC at least 14 days before the hearing, stating that the testimony will be presented by audio only.

4. Motion to Compel Video Testimony. An opposing party may move to compel a witness scheduled to testify by audio only to instead appear by video. The motion shall be filed at least 10 days before the scheduled hearing and must show good cause. The party calling the witness must file a response within 5 days of service of the motion.

D. Responsibility for Remote Testimony. The party calling a witness to testify remotely must do so at its expense and must make advance arrangements for presenting the testimony.

OAC Rule 25. Non-Appearing Party.

If a party fails to appear at a hearing after the OAC has sent notice of the hearing to that party, prior to entering any orders against the non-appearing party as a result of that hearing, the ALJ will consider:

A. The addresses to which the notice of hearing was sent are the most recent addresses provided by the non-appearing party to either the OAC or the Division of Workers’ Compensation; or B. If no address for the non-appearing party is on file with the OAC or the Division of Workers’ Compensation, the ALJ finds on the basis of other evidence that:

1. Notice of the hearing was sent to an address at which it is likely to be received by the non-appearing party or the non-appearing party’s authorized representative; or 2. The non-appearing party in fact received notice of the hearing.

C. A copy of a record or other written statement from the OAC or the Division of Workers’ Compensation containing the most recent address provided by the nonappearing party to either of those agencies shall be sufficient to create a rebuttable presumption that the non-appearing party received notice of the hearing.

OAC Rule 26. Closing Statement.

A. At the conclusion of a hearing, a party may make a closing statement or, at the discretion of the ALJ, submit a written closing statement. A written closing statement shall be submitted by mail or email, in an editable format, to the OAC.

The deadline for submission of written closing statements shall be at the discretion of the ALJ.

B. Written closing statements shall be limited to the issues endorsed before the ALJ on the record at the hearing. Written closing statements shall not include any attached documents that were not admitted into evidence by the ALJ at hearing unless otherwise stipulated by the parties or permitted by the ALJ for good cause shown.

C. Any written closing statement shall not exceed 20 pages and shall conform to the formatting requirements of OACRP 4.H. An ALJ may allow a written closing statement to exceed 20 pages for good cause shown. Any written closing statement that exceeds the limits set forth in this Rule may be rejected by the ALJ.

OAC Rule 27. Order.

A. The ALJ shall issue a written order within the time frames set forth by section 8- 43-215(1), C.R.S. A copy of the order shall be served on each attorney who appeared at the hearing and to unrepresented parties. The OAC may serve any final order of an ALJ issued under the Workers' Compensation Act of Colorado on counsel or unrepresented parties by email, as permitted by section 8-43- 215(1), C.R.S. The parties are required to provide the OAC with an updated email address for the service of the order.

B. If the ALJ issues a summary order pursuant to section 8-43-215(1), C.R.S., and a request for a full order is filed by any party, all parties shall have 7 days from the date the request for a full order was filed to submit their proposed findings of fact, conclusions of law, and order. The proposed orders shall be submitted by email to the applicable OAC email address and shall conform to the formatting requirements of OACRP 4.H.

OAC Rule 28. Petition to Review.

A. Pursuant to section 8-43-301, C.R.S., if an order is subject to appeal, a party may file a Petition to Review or a Petition to Review and Transcript Request with the OAC’s office in Denver. A Petition to Review filed by email to OAC- DVR@state.co.us or OAC-PTR@state.co.us shall be deemed filed with the OAC’s office in Denver. A Petition to Review or Petition to Review and Transcript Request sent to the email address of a regional office is not deemed filed in Denver.

B. Forms for a Petition to Review and a Petition to Review and Transcript Request are available on the OAC website.

C. When a Petition to Review and Transcript Request is filed, the following procedures shall apply:

1. Any party who orders a transcript in connection with filing a Petition to Review in a Workers' Compensation case is responsible for making arrangements to have the hearing transcribed from the recording, and for filing the transcript with the OAC.

2. A party filing a Petition to Review in a Workers' Compensation case who wishes to order a transcript must include a statement that a transcript is requested in the caption of the Petition to Review.

3. The transcript shall be prepared by a court reporter or transcriptionist who does not have an interest in the case and whom the party requesting the transcript selects. Along with the request for a transcript, the Petition to Review shall identify, by name and mailing address, the person to whom the recording should be sent.

4. The OAC shall mail to all parties a notification of the date the recording was sent to the designated court reporter or transcriptionist. The 25 working-day time limit for filing the transcript with OAC shall begin from the date contained in that notice, pursuant to section 8-43-213(2), C.R.S.

5. If a transcript is not filed with the OAC within the 25 working-day time limit, and no motion has been filed by a party and an order entered to extend the filing deadline, the OAC shall issue an Order Striking Transcript Request and Notice and Briefing Schedule. The issuance of a briefing schedule shall constitute notice to the parties that the order for the transcript has been withdrawn. The briefing schedule shall control the processing of the Petition to Review unless, within 7 days of the issuance of the briefing schedule, a party makes a request, showing good cause, that the party be allowed to file a late transcript with the OAC. If such a request is made, the ALJ shall rule on the request and, at the same time, issue appropriate orders regarding the briefing schedule.

6. The procedure set forth in this rule also applies to the order of a transcript by a party opposing a Petition to Review.

D. Briefs in support or in opposition to Petitions to Review may not exceed 20 pages, double- spaced in 12-point type, Arial or Helvetica font, exclusive of pages containing the table of contents, tables of citations, and any addenda containing statutes, rules, decisions, regulations and similar material. An ALJ may allow a brief to exceed 20 pages for good cause shown.

E. The ALJ may dismiss a Petition to Review or a Petition to Review and Transcript Request without prior notice to the parties if it appears that the petition is not timely filed. A party may file a motion requesting reconsideration of such an order within 20 days of the date of mailing of the order. A denial of a motion for reconsideration is subject to a Petition to Review.

OAC Rule 29. Requests for Transcripts of Hearings Not in Connection with a Petition to Review.

A. A party or other interested person may request a copy of the audio recording or a written transcript of a hearing or part of a hearing, at the requesting party’s expense. A party or other interested person is limited to the claimant, the respondent, the employer, the adjusting agent, or an attorney or designated representative of any of the parties. A non-party witness may request an audio copy or a written transcript only of their testimony.

B. Any request for an audio recording shall be made pursuant to the applicable OAC Policy.

OAC Rule 30. Retention of Audio Recordings of Hearings.

The OAC shall retain audio recordings of hearings for at least three years following the date the recording was made. Audio recordings may be erased or destroyed at the conclusion of this three-year period.

Editor’s Notes

History Entire rule eff. 01/01/2006.

Entire rule eff. 03/30/2015.

OAC Rule 21 emer. rule eff. 05/24/2019.

OAC Rule 21 eff. 09/14/2019.

OAC Rule 21 emer. rule eff. 03/25/2021.

OAC Rule 21 eff. 06/30/2021.

Entire rule eff. 09/01/2023.

Entire rule eff. 07/01/2026.

105 Division of Risk Management

1 CCR 105-1 Rules for the Risk Management Division of Department of Administration {#sec-1-ccr-105-1 omnilex-key=us-co-regs-official--department-14--1 CCR 105-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Risk Management RULES FOR THE RISK MANAGEMENT DIVISION OF DEPARTMENT OF ADMINISTRATION 1 CCR 105-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Preamble Unless otherwise noted in a specific provision, the Risk Management rules found at 1 CCR 105-1 were adopted by the Department of Personnel & Administration, effective July 30, 1986. This version reflects rulemaking by the Department as follows: repeal in their entirety Chapters 1, 2, 3, 4, 5 and 6 effective July 1, 2015.

CHAPTER I - HIGHER EDUCATION EXEMPTION FROM RISK MANAGEMENT PROGRAM 1-1 The rules in this chapter apply to services provided pursuant to C.R.S. 24-30-1501 through C.R.S. 24-30-1520 (Part 15). 1-2 Risk Management Program. The Risk Management Program is a single program including three service areas: property, liability and workers’ compensation. Any higher education governing board electing to be excluded from the Risk Management Program any institution, pursuant to House Bill 04-1009, C.R.S. 24-30-1502(5), as amended, must opt out of all three services as to such institution. Each institution excluded from the Risk Management Program shall assume, or adequately provide for, all liability for claims payments payable on and after the effective date of the-opt out (i.e., both prospective and tail claims liability).

A. Program Waiver. At the sole discretion of the Executive Director of the Department of Personnel & Administration (DPA), the Executive Director may grant a temporary program waiver allowing any institution of higher education to continue to receive services in one or more of the three service areas (property, liability or workers compensation). If a program waiver is granted, the institution of higher education must assume, or adequately provide for, all remaining services by the following July 1 st , unless a subsequent waiver is granted.

B. Claims Liability Waiver. Unless the Executive Director grants a claims waiver as to portions of the entire claims liability, any institution of higher education opting out shall assume, or adequately provide for, all liability for claims payments payable on and after the effective date of the opt out (i.e., both prospective and tail claims liability) as to each service area removed.

C. Criteria. In granting a waiver, the Executive Director may consider any or all of the following criteria: in consultation with the Office of State Planning and Budgeting (OSPB), the ability of remaining agencies to make the necessary budget adjustment; implications to risk management, contractual obligations; and any other factors the Executive Director deems relevant. 1-3 If either a program waiver or a claims waiver is requested, an actuarial analysis of claim history, payments, and reserves is required.

Division of Risk Management A. The cost of the actuarial analysis will be shared equally between DPA and the institution of higher education seeking to be excluded from the Risk Management Program.

Selection of the actuary is at the sole discretion of the Executive Director.

B. The Executive Director will determine the amount of excess allocations, if any, that may be due to the institution of higher education for the tail claims liability. 1-4 A. The effective date of the exclusion from the Risk Management Program shall be July 1 following written notice as provided below. Written notice must be received by the Executive Director of the DPA not later than 12 months prior to the effective date, and must provide a copy of the governing board decision. In order to ensure an orderly process consistent with budgetary and appropriation requirements, the written notice shall include an explanation of how the higher education institution intends to assume responsibility for, or adequately provide for, liabilities; if not already provided, a copy of the written report required by C.R.S. 24-30-1503.5(2) that sets forth the analysis of the higher education institution’s ability to provide worker’s compensation services, estimated property and liability losses; insurance costs and administrative costs of risk management that they expect to incur.

B. Notice Waiver. At the discretion of the Executive Director of the DPA, the Executive Director may grant a waiver of the 12 months written notice requirement allowing any institution of higher education to provide less than 12 months written notice.

In granting a notice waiver, the Executive Director may consider any or all of the following criteria: in consultation with the Office of State Planning and Budgeting (OSBP), the ability of remaining agencies to make the necessary budget adjustments; implications to risk management; contractual obligations; and any other factors the Executive Director deems relevant. 1-5 A copy of the report required by C.R.S. 24-30-1503.5(2) shall be provided to the Executive Director at the same time it is provided to the General Assembly.

(Effective December 1, 2004; Adopted September 21, 2004.) _________________________________________________________________________ Editor’s Notes

History Chapters I-VI repealed eff. 07/01/2015. Preamble, Chapter I eff. 07/01/2015.

1 CCR 105-2 Rules and Regulations of the State Claims Board {#sec-1-ccr-105-2 omnilex-key=us-co-regs-official--department-14--1 CCR 105-2}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Risk Management RULES AND REGULATIONS OF THE STATE CLAIMS BOARD 1 CCR 105-2 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

CHAPTER 1. GENERAL PROVISIONS 1.1. Statutory reference. A state claims board was created in section 24-30-1508, C.R.S. (1985) of the Risk Management Act. 1.2. Basis and Purpose. The Claims Board consists of 3 members, the executive director of the Department of Administration, state treasurer, and attorney general. It has statutory authority to oversee the management of the Risk Management Fund (the fund), to compromise or settle claims between $100,000 and the maximum allowed under the Governmental Immunity Act, sections 24-10-101 to 118, C.R.S. (1973), and to adopt organizational and procedural rules.

These rules and the 1987 amendments are adopted pursuant to the statutory authority for the

purpose of implementing the Act and establishing an efficient system of claims processing. 1.3. Applicability. These rules apply to the operations and functions of the State Claims Board; to claims and suits against the state between $100,000 and the maximum recoverable under the Immunity Act; to the Risk Management Division and the Risk Management Fund. 1.4. All correspondence or other documents permitted to be submitted to the board shall be addressed to: Board of Claims, Risk Management Division, Department of Administration, 1525 Sherman Street, Denver, Colorado 80203.

CHAPTER 2. DEFINITIONS 2.1. The definitions stated in the Risk Management Act, sections 24-30-15-1 to 1518, C.R.S. (1985), apply to these rules. 2.2. Fund shall mean the Risk Management Fund created by setion 24-30-1510, C.R.S. (1985). 2.3. Settlement shall mean an agreement to satisfy a claim which is accompanied by release documents as required by these rules and provision for payment, if any. Authorized to settle means authorization to direct payment.

CHAPTER 3. PROCEDURAL RULES. 3.1. The board shall hold meetings when deemed necessary by a majority of the board. At its first meeting each fiscal year, the board shall select a chairperson. 3.2. Notice shall be provided to board members as reasonably in advance of any meeting as circumstances permit. 3.3. Decisions of the board shall be made by a majority of the board. A quorum is two members. 3.4. A tie on any significant item of business shall constitute rejection of the proposed action. 3.5. Meetings of the board are public. The public may attend but not participate in such meetings.

Meetings may be closed pursuant to the open meetings law for discussions of matters regarding settlement of claims and litigation. 3.6. Writings made, maintained or kept by the board for use in exercising its official board functions required or authorized by law or involving expenditures of public funds are public records except for writings pertaining to settlement negotiations of claims and lawsuits against the state. 3.7. For purposes of filing its annual report with the general assembly and effectuating its statutory duties, the board may at any time initiate a review of any matter relating to the fund or request status reports from the risk manager on payments made from the fund and on risk management programs. 3.8. The board may seek the assistance of the insurance commissioner as it determines necessary to carry out its functions. _________________________________________________________________________ Editor’s Notes

History

106 Information Management Commission

1 CCR 106-1 IMC POLICIES - Repealed effective 03/02/06 see 8 CCR 1501-4 {#sec-1-ccr-106-1 omnilex-key=us-co-regs-official--department-14--1 CCR 106-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Information Management Commission IMC POLICIES - Repealed eff. 03/02/2006 see 8 CCR 1501-4 1 CCR 106-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History

1 CCR 106-2 TECHNICAL STANDARDS MATRIX - Repealed effective 03/02/06 see 8 CCR 1501-4 {#sec-1-ccr-106-2 omnilex-key=us-co-regs-official--department-14--1 CCR 106-2}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Information Management Commission TECHNICAL STANDARDS MATRIX - Repealed eff. 03/02/2006 see 8 CCR 1501-4 1 CCR 106-2 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History

107 State Capitol Buildings Group Grounds Permit Regulations (Rule recodified as 1 CCR 103-3)

1 CCR 107-1 STATE CAPITOL BUILDINGS GROUP GROUNDS PERMIT REGULATIONS (Rule recodifed as 1 CCR 103-3) {#sec-1-ccr-107-1 omnilex-key=us-co-regs-official--department-14--1 CCR 107-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

State Capitol Buildings Group Grounds Permit Regulations STATE CAPITOL BUILDINGS GROUP GROUNDS PERMIT REGULATIONS (Rule recodifed as 1 CCR 103-3)

1 CCR 107-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 05/02/2004. Rule recodified as 1 CCR 103-3.

108 State Use of Colorado Convention Center Display Space (Rule recodified as 1 CCR 103-4)

1 CCR 108-1 FINAL RULES AND REGULATIONS STATE USE OF COLORADO CONVENTION CENTER DISPLAY SPACE (Rule recodified as 1 CCR 103-4) {#sec-1-ccr-108-1 omnilex-key=us-co-regs-official--department-14--1 CCR 108-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

State Use of Colorado Convention Center Display Space STATE USE OF COLORADO CONVENTION CENTER DISPLAY SPACE (Rule recodified as 1 CCR 103-4)

1 CCR 108-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 05/30/1992. Rule recodified as 1 CCR 103-4.

109 Executive Director of Department of Personnel and Administration

1 CCR 109-1 Cost Accounting for Public Works Project {#sec-1-ccr-109-1 omnilex-key=us-co-regs-official--department-14--1 CCR 109-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Executive Director of Department of Personnel and Administration COST ACCOUNTING FOR PUBLIC WORKS PROJECT 1 CCR 109-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ 1.00 PURPOSE, STATUTORY AUTHORITY, RESPONSIBILITY, APPLICABILITY, AND DEFINITIONS 1.01 Purpose The purpose of this Cost Accounting for Public Works Projects Rule is to set forth policies and procedures for state agencies concerning cost accounting for public works projects. 1.02 Statutory Authority Title 24, Article 16, C.R.S. (Public Works Act of 1981)

Title 24, Article 92, C.R.S. (Public Works Construction) 1.03 Responsibility It is the responsibility of the chief executive officer of each state agency to insure compliance with this Cost Accounting for Public Works Projects Rule. 1.04 Applicability This rule is applicable to all state agencies 1.05 Definitions Contract - Any agreement for public works for a fixed or determinable amount duly awarded after advertisement and competitive bid.

Cost - The total cost of labor, materials, provisions, supplies, equipment rentals, equipment purchases, insurance, supervision, engineering, clerical and accounting services, the value of the use of equipment, including depreciation, owned by a state agency, and reasonable estimates of other administrative costs not otherwise directly attributable to the project which may be reasonably apportioned to such project in accordance with generally accepted accounting principles and standards.

Direct Costs - Those costs that can be specifically and readily identified with a state agency program or activity.

Indirect Costs - A cost incurred by a state agency that cannot be specifically and readily identified with a cost objective and therefore must be allocated on some basis of imputed benefit.

Public Work - Any construction, alteration, repair, or improvement of any land, building, structure, facility, road, highway or other public improvement suitable for and intended for use in the promotion of the public health, welfare, or safety; or maintenance programs for the upkeep of public roads, highways, or bridge structures; except that ‘public works’ does not include routine maintenance that is not definable by a stop or start time or by geographical limits.

State Agency - A department, division, section, unit, commission, board, bureau, college, university, or institution in Colorado State Government created by law, executive order, or any other authority.

State Financial System - The official financial system for the State of Colorado as prescribed by the State Controller.

1.20 POLICY

It is the policy of the State of Colorado to establish standardized cost accounting procedures for all public works projects.

1.30 STATE AGENCY PROCEDURES

Cost information shall be compiled and preserved on all State public work projects where an appropriation or expenditure of funds may be reasonably expected to exceed $25,000 in any fiscal year.

Whenever a state agency undertakes a public work project by any means or method other than a contract awarded by competitive bid, an accurate record of the cost of the project shall be maintained. All costs incurred shall be allocated to the public work project based on generally accepted cost accounting principles. Project direct costs shall be allocated to the project on a reasonable basis relating directly to the benefit or value added to the project. Project indirect costs shall be allocated from indirect cost pools on a reasonable basis consistent with that of other similar or related projects.

If indirect costs are not recorded on the State Financial System as part of the capitalized cost, a separate record of all project costs, including the indirect costs, shall be maintained. All cost information compiled shall be considered a matter of public record and will be maintained for at least six years after completion of the project. 1.31 Public Work Projects Must Remain Intact It is unlawful for any person to divide a public work project into two or more separate projects for the sole

purpose of circumventing this. Cost Accounting for Public Works Projects Rule. 1.32 Statutory Penalty If any state agency is found to be in violation of or in material non-compliance with this Cost Accounting for Public Works Projects Rule, a written report of such violation or material non-compliance shall be forwarded to the Legislative Audit Committee for their information and action.

1.40 ADMINISTRATIVE HARDSHIP

Should any of the provisions of this rule create undue administrative or financial hardship on any state agency, a written request for exemption and/or alternative policy shall be submitted by the state agency's chief fiscal officer through the state agency's chief executive officer to the executive director of the Department of Personnel. _________________________________________________________________________ Editor’s Notes

History

1 CCR 109-2 STATE ARCHIVES ADMINISTRATIVE RULE [Repealed eff. 07/01/2015] {#sec-1-ccr-109-2 omnilex-key=us-co-regs-official--department-14--1 CCR 109-2}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Executive Director of Department of Personnel and Administration STATE ARCHIVES ADMINSTRATIVE RULE - Repealed eff. 07/01/2015 1 CCR 109-2 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Editor's Notes Entire rule emer. rule eff. 07/02/2013.

Entire rule eff. 10/15/2013.

Entire rule repealed eff. 07/01/2015.

110 Telecommunications Services

1 CCR 110-1 PUBLIC SAFETY COMMUNICATIONS TRUST FUND [Repealed eff. 05/30/2015] {#sec-1-ccr-110-1 omnilex-key=us-co-regs-official--department-14--1 CCR 110-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Telecommunications Services PUBLIC SAFETY COMMUNICATIONS TRUST FUND - Repealed eff. 05/30/2015 1 CCR 110-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History Entire rule repealed eff. 05/30/2015.

111 Division of Information Technologies

1 CCR 111-1 COLORADO RULES REGARDING THE USE OF ELECTRONIC SIGNATURES IN GOVERNMENTAL TRANSACTIONS [Repealed eff. 05/30/2017] {#sec-1-ccr-111-1 omnilex-key=us-co-regs-official--department-14--1 CCR 111-1}

DEPARTMENT OF PERSONNEL AND ADMINISTRATION

Division of Information Technologies COLORADO RULES REGARDING THE USE OF ELECTRONIC SIGNATURES IN GOVERNMENTAL TRANSACTIONS - Repealed eff. 05/30/2017 1 CCR 111-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Editor's Notes

History Entire rule repealed eff. 05/30/2017.

801 State Personnel Board and State Personnel Director

4 CCR 801-1 State Personnel Board Rules and Personnel Director's Administrative Procedures {#sec-4-ccr-801-1 omnilex-key=us-co-regs-official--department-14--4 CCR 801-1}

Department of Personnel and Administration STATE PERSONNEL BOARD RULES AND PERSONNEL DIRECTOR’S ADMINISTRATIVE PROCEDURES 4 CCR 801-1 [Editor’s Notes follow the text of the rules at the end of this CCR Document.]

The purpose of the State Personnel Board Rules and Director's Administrative Procedures is to establish a comprehensive system of rules and procedures for employees within the state personnel system. In order to distinguish the Board from the Director’s Procedures, rules promulgated by the State Personnel Board are noted as “Board Rules”. Rules adopted by the Board and procedures adopted by the Director require the formal rulemaking process defined in the Administrative Procedures Act.

Pursuant to § 24-50-101(3)(b), C.R.S., it is the duty of the State Personnel Board to provide fair and timely resolution of the cases before it. Pursuant to § 24-50-101(3)(c), C.R.S., it is the duty of the State Personnel Director to establish the general criteria for adherence to the merit principles and for fair treatment of individuals within the state personnel system.

Preamble This version reflects changes to Chapter 1: modify definition for punctuation, Chapter 3: add a premium pay option, and a performance rating that may result in pay adjustments being withheld, add time records to be approved timely, Chapter 5: clarify make whole and modify reasons for leave, and Chapter 8: clarify reasons for Director’s appeals.

Chapter 1 Organization, Responsibilities, Ethics, Payroll Deduction, and Definitions

Authority for rules promulgated in Chapter 1, Organization, Responsibilities, Ethics, Payroll Deduction, and Definitions, is found in State of Colorado Constitution Article XII, Sections 13, 14 and 15, State of Colorado Revised Statutes (C.R.S.) §§24-50-103, 24- 50-104(8), 24-50-112.5, 24-50-116, 24-50-117, 24-50-124, 24-50-128, 24-50-129, 24- 50-130, 24-50-132, 24-50-145, 24-2-103, 24-6-402, 24-31-301-104, 24-30-2103, 24-30- 2105, 24-50.3-105, 24-50.3-105, 24-50.5-103, 24-72-201, -204.5, 25-75-112, and 24- 18-101 through 205, Title 24 Article 18, Part 1, Code of Ethics, Title 24, Article 50: 24- 50-101, 24-50-102, 24-50-103, 24-50-104, 24-50-109.5, 24-50-112.5, 24-50-114, 24-50- 116, 24-50-123, 24-50- 124, 24-50-125, 24-50-125.3, 24-50-125.4, 24-50-126, 24-50- 128, 24-50-129, 24-50-130, 24-50-134, 24-50-135, 24-50-137, 24-50-141, 24-50-203, 24-50-503, 24-50-507, 24-50-1104. Board rules are identified by cites beginning with “Board Rule.” (01/01/2021)

General Principle Board Rule 1-1. The purpose of the rules promulgated herein by the Colorado State Personnel Board (hereafter “Board”) and the Colorado State Personnel Director’s (hereafter “Director”) administrative procedures is to provide a sound, comprehensive system of human resources management for the employees within the state personnel system. This system recognizes employee rights, values the differing roles and relevant contributions of various stakeholders, allows reasonable discretion for departments to establish their own operating practices, and ensures the Board rules and Director’s administrative procedures (hereinafter “rules”) complement each other. It is the intent of the Board and the Director to adopt the minimum rules necessary to ensure the least cumbersome process possible for administering the state personnel system while meeting legal requirements.

State Personnel Board Board Rule 1-2. Certified state employees in the State Personnel System shall be eligible to elect members of the Board in accordance with C.R.S. § 24-50-103 and this Rule.

A. Eligibility to serve as a Board Member.

1. State Personnel Board Members shall be qualified state electors in the State of Colorado.

2. State Personnel Board Members shall not be officers or employees of the State of Colorado or of any state employee organization.

B. Eligibility to vote for Board Members and to sign a nomination petition. Only certified state employees are eligible to vote for Board Members and to sign a nomination petition.

C. Nomination Process.

1. For an expiring term, the Board Director shall initiate the nomination process no later than sixty (60) days prior to the expiration of an elected member’s term. For any other elected member vacancy, the Board Director shall initiate the nomination process no later than thirty (30) days after the date of the vacancy.

2. To initiate the nomination process, the Board Director shall announce the process for nominating candidates and the deadline for making nominations.

3. Candidates for election to the Board shall be nominated by any of the following three methods:

a. Nomination by Petition: Employees may nominate a candidate by providing a petition signed by not less than fifty (50) certified state employees by the deadline established by the Board Director. To be valid, the nomination petition must include each certified state employee’s full name, employee identification number, state email address (if any), the name of the Department or Institution where the employee works, and the employee’s signature.

b. Personnel Director Nomination: The Colorado State Personnel Director may nominate a candidate by providing written notice to the Board Director by the deadline established by the Board Director.

c. Certified Employee Organization Nomination: The certified employee organization as defined by C.R.S. § 24-50-1102(1) may nominate a candidate by providing written notice to the Board Director by the deadline established by the Board Director.

D. Information from Departments and Institutions.

1. Departments and Institutions shall provide the Board with a designated contact person. The designated contact person shall facilitate transmission of the Board’s election announcements and shall ensure the Board receives a current list of certified state employees.

2. Departments and Institutions shall provide the Board a list of their certified state employees within thirty (30) days of the Board Director initiating the nomination process. The list shall include the employee’s full name, employee identification number, state email address (if any), and the employee’s date of certification. The list shall be in a searchable electronic document.

E. Determination of eligible candidates and next steps.

1. The Board Director shall review the nominations to determine the total number of eligible candidates.

2. Uncontested election. If only one eligible candidate is nominated across all nominating methods, the Board Director shall announce that the election is uncontested and the candidate is deemed elected.

3. Contested election. If more than one eligible candidate is nominated across all nominating methods, the Board Director shall proceed to the voting process.

4. Failure of Nomination. If no eligible candidate is nominated across the three nominating methods, the Board Director shall reinitiate the Nomination Process. In this situation: (a) candidates seeking Nomination by Petition only need to obtain five nominating signatures from certified state employees; and (b) a fourth nomination method shall be added to the existing methods; specifically, the Board Chair may also nominate a candidate for election to the Board.

F. Voting Process.

1. To initiate voting, the Board Director shall announce: (a) the names of the candidates; (b) instructions for voting; and (c) the deadline for completing voting.

2. Voting shall be completed in accordance with the Board Director’s instructions by the deadline. To ensure eligibility to vote, certified state employees shall provide their full name, employee identification number, state email address (if any), and the name of the Department or Institution where they work.

3. The Board Director shall count the votes of certified state employees.

The Board Director may retain a third-party election vendor to count the votes and to assist with other aspects of running the election. The candidate with the most votes is elected. Following the count, the Board Director shall announce the election results.

G. Contesting the Election. A certified employee may contest the Board election pursuant to C.R.S. § 24-50-103(3)(c) only after the following:

1. Providing written notice of the specific grounds for contesting the election.

Such notice shall be given to the Board no later than ten (10) days after the Board announces the election results.

2. Allowing at least twenty-one (21) days for the Board to cure the alleged invalid election.

Board Rule 1-3. The Board’s director, or other person with written delegation, is the agent for service of process for any action involving the Board.

Board Rule 1-4. The Board shall meet as often as necessary to conduct its business, or at such other times as may be determined by the Board chairperson or a majority of the Board. Reasonable notice of any regular or special meeting shall be given to the Board members, interested parties, and the public as provided in §24-6-402, C.R.S., or successor statute.

Board Rule 1-5. Unless otherwise ordered, all materials to be considered by the Board at its monthly meeting shall be received in the Board’s office at least fourteen (14) calendar days before the meeting. The party shall provide the original and nine (9) copies of all materials to be considered by the Board, except as otherwise provided in these rules.

State Personnel Director 1- 6. The Director, under a current written delegation, may delegate certain Director’s powers to heads of principal departments and presidents of institutions of higher education (hereafter “department”). Such delegated power is discretionary and subject to the Director’s review. Law and the Director specify powers that shall not be delegated outside the Department of Personnel. 1- 7. The Director may delegate any and all powers, duties, and functions to the Division of Human Resources in the Department of Personnel.

Appointing Authority 1- 8. Executive directors of principal departments and presidents of institutions of higher education (hereafter “department” and “department head”) are appointing authorities for their own offices and division directors. Division directors as defined by law are appointing authorities for their respective divisions. An appointing authority may delegate in writing any and all human resource functions, including the approval of further delegation beyond the initial designee.

In the area of corrective, disciplinary, or other actions that have an adverse effect on base pay, status, or tenure, each department shall establish a written document specifying the appointing authority for each individual employee and this information shall be made available to the employee. 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. (7/1/07) 1- 10. Appointing authorities have a duty to ensure employees are oriented to the workplace, including communicating requirements and rights. (04/01/2020) 1- 11. All appointing authorities, managers, and supervisors are accountable for compliance with these rules and all applicable laws, including implementation of policy directives, executive orders, Partnership Agreement, and State Entity Agreement, if applicable. (07/01/2025)

Employee Activities Board Rule 1-12. Employees are required to know and adhere to personnel rules, laws, and executive orders governing their employment. Departments are required to make those rules, laws, and executive orders available to employees.

Board Rule 1-13. No employee is allowed to engage in any outside employment or other activity that is directly incompatible with the duties and responsibilities of the employee’s state position, including any business transaction, private business relationship, or ownership. The employee is not allowed to accept outside compensation for performance of state duties. This includes acceptance of any fee, compensation, gift, reward, gratuity, expenses, or other thing of monetary value that could result in preferential treatment, impediment of governmental efficiency or economy, loss of complete independence and impartiality, decision making outside official channels, and disclosure or use of confidential information acquired through state employment. Incompatibility includes reasonable inference that the above has occurred, may occur, or has any other adverse effect on the public’s confidence in the integrity of state government.

A. If the employee receives any such form of compensation that cannot be returned, it is to be immediately turned over to the appropriate state official as state property except for the following. The employee may accept awards from non-profit organizations for meritorious public contributions.

Honoraria or expenses for papers, demonstrations, and appearances made with approval of the appointing authority may also be kept if the activity occurs during a holiday, leave, a scheduled day off, or outside normal work hours.

B. An employee shall give advance notice to the appointing authority and take necessary steps to avoid any direct conflict between the employee’s state position and outside employment or other activity.

Board Rule 1-14. Employees may engage in outside employment with advance written approval from the appointing authority. The appointing authority shall base approval on whether the outside employment interferes with the performance of the state job or is inconsistent with the interests of the state, including raising criticism or appearance of a conflict.

A. An employee may be retained by a different department through a personal services contract to perform a different function consistent with the requirements of Chapter 10, Personal Services Agreements.

B. A personal services contract involving an employee shall not be used to evade overtime. 1- 15. Employment with more than one (1) department is commonly referred to as dual employment. An employee may be employed by and receive compensation from more than one (1) department with advance written approval of both appointing authorities. There shall be a written agreement between the appointing authorities that specifies the terms and conditions of the arrangement, including any overtime considerations, prior to the start of any work assignment outside of the first department. For further information, refer to Chapter 3, Compensation.

Board Rule 1-16. It is the duty of state employees to protect and conserve state property. No employee shall use state time, property, equipment, or supplies for private use or any other purpose not in the interests of the State of Colorado.

Board Rule 1-17. Employees may participate in political activities subject to state and federal laws. No state time or property may be used for this purpose.

Board Rule 1-18. Employees have the right to associate, self-organize, and designate representatives of their choice. Membership in any employee organization or union is not a condition of state employment. No employee may be coerced into joining or not joining and solicitation of members shall not occur during work hours without the approval of the appointing authority. The employee’s representative may confer, with prior consent from the supervisor, on employment matters during work hours. Such conferences should be scheduled to minimize disruption to productivity and the general work environment. A supervisor’s consent shall not be unreasonably withheld.

Board Rule 1-19. An employee may voluntarily and knowingly waive, in writing, all rights under the state personnel system, except where prohibited by state or federal law.

By law, the State Personnel Board has exclusive jurisdiction over claims regarding, but not limited to, the following matters: 1) Disciplinary Actions as defined by Board Rule 6-12; 2) Actions that adversely affect an employee’s pay, status, or tenure as identified by C.R.S. § 24-50-125(5); and 3) Claims under the State Employee Protection Act (a/k/a Whistleblower Act) by a classified state employee. Employees who pursue these claims must do so before the State Personnel Board.

In circumstances where an employee or an applicant may waive their rights under the state personnel system, the waiver must: 1) Be made in writing; 2) Be signed by the employee or applicant; 3) Indicate it is knowing and voluntary; 4)

Advise employees and applicants of their rights under the Colorado Constitution at Article XII, Section 13 and under the State Personnel System Act, including rights to appeal to the Board; and 5) Notify an employee or applicant that they may obtain information regarding the State Personnel Board on the Board’s website (spb.colorado/gov).

Records Board Rule 1-20. The Board and the Director shall maintain records of personnel activities that have legal, administrative, or historical value in accordance with statute. Legal value is defined as a Board appeal record less than twenty (20) years old or the statement of basis and purpose for a rule that is in effect or was in effect during the past five (5) years. Administrative value is defined as a record that is less than five (5) years old and summarizes department cost efficiencies, including staffing and workload statistics. Historical value is defined as a record documenting a major change in the function of the Board or the Department of Personnel. 1- 21. Departments shall maintain official records in written or electronic form. Access to records is governed by §24-72-201, C.R.S, et seq. Each department shall have an authorized records custodian who is accountable for the maintenance, access and confidentiality, and disposition of all records required by state and federal law. The Division of Human Resources shall have access to records required for the monitoring of delegated authorities and other official duties. 1- 22. Personnel files must be shared with other departments when requested for a reference check of a former or current employee no later than five (5) business days from the date of request. When an employee transfers or reinstates to a different department, all official employee records shall be forwarded to the new department within ten (10) business days of the date of the request. Failure to forward these records may result in liability for violation of these rules and any applicable laws. (07/01/2025) 1- 23. Official Personnel File. Each employee’s official personnel file shall include the following and be retained ten (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 (3) 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.

(7/1/07) 1- 24. Medical Records. Any medical information on the employee or a family member shall be maintained in a separate, confidential medical file with limited access in accordance with law. 1- 25. Selection Records. Selection records shall be kept for two (2) years after expiration of the eligible list, except when notified of a charge of discrimination. In such a case, the record is maintained until the charge is resolved. The content of selection records shall include all related information up to the establishment of the eligible list. (3/30/13)

Human Resource Innovation Programs Board Rule 1-26. A written statement of each Human Resource Innovation Program (HRIP) implemented by the agency shall be submitted by the head of the agency to the State Personnel Board or State Personnel Director, as appropriate, at 1525 Sherman Street, Denver, CO, 80203, commensurate with the implementation of each HRIP. The description shall indicate the following:

A. In developing the HRIP, input was obtained from both management and non-management employees in the department; and, B. The HRIP complies with the Colorado Constitution, statutes, and rules.

The Board shall forward HRIPs within the Director’s jurisdiction to the Director.

After review, the Director will issue a written consultation. The Board will review each HRIP within the Board’s jurisdiction at the next regularly scheduled public Board meeting and issue a written consultation.

Each department head is responsible for updating the statement and submitting any modifications or revisions of the HRIP to the Board or Director commensurate with such changes. (1/01/15)

Definitions 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. (7/1/07) 1- 28. Allocation. Assignment of an individual position to the proper class. 1- 29. Announcement. The published notice for a position or class that will be filled on the basis of merit and fitness. 1- 30. Applicant. An individual who applies for employment in the state personnel system. 1- 31. Applicant Pool. A group of individuals who have applied for employment in the state personnel system. 1- 32. Base Pay. An employee’s salary without premium pay. Synonymous with base salary.

Board Rule 1-32.1. Certified. The status of an employee who has successfully completed a probationary period or a trial service period. (3/15/11) 1- 33. Class. A group of positions whose essential character (general nature of the work and responsibilities) warrants the same pay grade, title, and similar qualifications for entry into the class. 1- 34. Class Conversion. Automatic movement of a current title and grade to a new title and grade. 1- 35. Class Description. The official written description of a class series and its levels as issued by the Department of Personnel. 1- 36. Class Placement. Portion of a system maintenance study in which all affected positions are individually placed in the proper new class. 1- 37. Class Series. A group of classes engaged in the same kind of occupational work but representing different levels. 1- 37.1 Comparative Analysis. A process that utilizes professionally accepted standards that compares specific job-related knowledge, skills, abilities, behaviors and other competencies. Such a process may be numeric or non-numeric. (3/30/13) 1- 38. Competencies. Observable, measurable patterns of knowledge, skills and abilities, behaviors, and other characteristics that employees need to successfully perform work-related tasks. 1- 38.1. Conditional Appointments. A temporary appointment to a permanent position approved by the Appointing Authority. The appointment applies to a current certified employee who is qualified and temporarily promotes into a permanent vacancy for which no eligible list exists. (04/01/2020) 1- 38.2. Conditions of Employment. Conditions of employment refer to requirements of a position such as passing a criminal background check, meeting travel demands, regularly lifting a specified amount of weight, driving requirements and driver’s license requirements. Conditions of employment may be based on job analysis and may be documented in the position description.

Note: Conditions of employment apply to a position, whereas minimum qualifications apply to a job class. This definition is not applicable to the Colorado Partnership for Quality Jobs and Services Act, 24-50-Part 11. (01/01/2021) 1- 38.3. Critical Positions. Positions departments determine as critical to their operations. Employees in critical positions can be FLSA exempt or nonexempt and can be expected to work and/or remain at their worksite in delayed start, early release, or closure situations. (04/01/2020)

Board Rule 1-39. Day. Calendar day unless otherwise specified.

Board Rule 1-40. Department. One of the principal departments defined in law and institutions of higher education.

Board Rule 1-40.1. Departmental Reemployment List. A list which is established on a departmental basis, as listed in Chapter 7, Separation, containing the names of certified employees who meet one (1) of the following conditions: (a) separated from employment due to layoff; (b) voluntarily demoted in lieu of layoff or as a result of a position’s reallocation; and/or (c) former position no longer exists upon return from an exempt position accepted at the request of the governor or other elected or appointed official and the employee is laid off. (3/15/11))

Board Rule 1-41. Disciplinary Suspension. A type of disciplinary action in which an employee is not allowed to work and is not paid for a specified period of time.

Board Rule 1-42. Dismissal. Disciplinary termination of employment. 1- 43. Eligible List. A list of persons who have successfully passed through a comparative analysis and may be considered for appointment. Referrals are drawn from this list. (1/1/14)

Board Rule 1-44. Employee. An individual who occupies a full-time or part-time position in the state personnel system.

Board Rule 1-45. Employment Lists. Statutory term that includes promotional and open-competitive eligible lists and reemployment lists. 1- 45.1. Essential Positions. Positions that perform essential law enforcement, highway maintenance, and other support services directly necessary for the health, safety, and welfare of patients, residents, and inmates of state institutions or state facilities. Employees in essential positions can be only FLSA nonexempt and can be required to work unexpected or unusual work hours to perform the essential and/or emergency services of the department without delay and/or without interruption. (04/01/2020) 1- 46. Examination. A numerical assessment of job-related competencies, knowledge, skills, abilities and job fit to screen applicants for the eligible list. (3/30/13)

Board Rule 1-47. Exempt Employee. One who is not eligible for overtime. 1- 47.1. Fair Labor Standards Act (FLSA). The Fair Labor Standards Act (FLSA) is a federal law that establishes minimum wage, overtime pay, recordkeeping, and youth employment standards affecting employees in the private sector and in Federal, State, and local governments. Special rules apply to State and local government employment, including but not limited to: (a) compensatory time off instead of cash overtime pay, (b) fire protection and law enforcement activities, and (c) volunteer services. (07/01/2025) 1- 48. Full-Time. A position scheduled and budgeted for 2080 hours per fiscal year.

Board Rule 1-49. Good Cause. Any cause not attributable to a party’s or counsel’s act or omission, including but not limited to: death or incapacitation of a party or the attorney for the party; a court order staying or otherwise necessitating a continuance; a change in the parties or pleadings sufficiently significant to require a postponement; a showing that more time is clearly necessary to complete authorized discovery or other mandatory preparation for hearing; or agreement of the parties to a settlement which has been or will likely be approved by the final decision maker.

A. Good cause will normally not include: unavailability of counsel due to an engagement in another judicial or administrative proceeding, unless such other proceeding was involuntarily set subsequent to the present case; unavailability of a necessary witness if the witness’ testimony can be taken by telephone or deposition; or failure of an attorney to timely prepare for the hearing. 1- 50. Health Care Provider. For purposes of family/medical leave only, a doctor of medicine or osteopathy, dentist, podiatrist, clinical psychologist, optometrist, chiropractor limited to manual manipulation of the spine to correct a subluxation as demonstrated by x-ray, nurse practitioner, physician’s assistant, nurse midwife, Christian Science practitioner listed with First Church of Christ, Scientist in Boston, and clinical social worker. Health care providers shall be authorized to practice and be performing within the scope of their practice. 1- 51. Independent Contractor. A firm or individual who is responsible to the state for the results of certain work, but is not subject to the state’s control as to the means and methods of accomplishing those results. For purposes of determining independent contractor status, the Director will apply the criteria set forth in the fiscal rules of the state controller, and state and federal law. Independent contractor is synonymous with contractor for purposes of these rules. (5/1/10) 1- 51.1. In-Range Salary Movements. Permanent, base building pay adjustments that include discretionary in-range salary movements, cost of living adjustments, step pay, and structure adjustments. (07/01/2025) 1- 52. Job Description. The official document summarizing the primary duties and responsibilities assigned to a position by the appointing authority. Also referred to as a position description. (07/01/2025) 1- 53. Job Evaluation System. System of classes and assigned pay grades developed by the Director. All positions are placed in the system during a system maintenance study or are allocated when an assignment changes or a position is created. 1- 53.1. Job Qualifications. Includes the minimum qualifications for a vacancy’s class; any special qualifications, including but not limited to any required education or experience and any licensure or certification requirements; and/or any pre- or post-employment screening requirements. (3/15/11) 1- 54. Laid Off. Involuntary non-disciplinary separation from a position in the state personnel system or the reduction of a certified employee's position from full-time to part-time, and, if applicable, the offer of retention rights and/or placement on a reemployment list. (07/01/2025) 1- 55. Layoff. Process of involuntarily separating an employee in the state personnel system due to abolishment of the employee’s position based on lack of work, lack of funds, reorganization, or displacement by another certified employee exercising retention rights; or reducing a certified employee’s full-time position to

part-time due to an involuntary, permanent reduction of the work hours of the employee’s position. (07/01/2025) 1- 55.1. Minimum Qualification. The type and level of education, experience, licensure, certification, and/or any applicable substitutions required for entry into a defined state personnel system job class. Minimum Qualifications are established by the Director. (04/01/2020) 1- 55.2. Nonexempt Employee. Employee in a position that is eligible for overtime under the FLSA. (04/01/2020)

Board Rule 1-55.1. Non-disciplinary Demotion. An appointment which is a voluntary change to a class with a lower pay range maximum. (3/15/11)

Board Rule 1-56. Non-Permanent Position. A position established for a nine-month period or less. It may be a full-time or part-time work schedule. Synonymous with temporary. (3/30/13) 1- 56.1. Open Competitive List. A list containing the names of individuals who have successfully completed any applicable comparative analysis process resulting from a job announcement that was not restricted to current state employees. 1- 56.2. Partnership Agreement. An agreement between the state and the certified employee organization regarding wages, hours, and terms and conditions of employment for employees covered by the Colorado Partnership for Quality Jobs and Services Act, C.R.S. § 24-50-1101 et seq. (07/01/2025)

A. State Entity Agreements are agreements covering matters impacting covered employees in a single state entity (department) and are included as addendums to the Partnership Agreement. (07/01/2025) 1- 56.3. Part-Time. A position scheduled and budgeted for less than 2080 hours per fiscal year. (07/01/2025) 1- 57. Party or Parties. A person appealing and any person or department against whom an appeal is filed. 1- 58. Pay Grade. Reflects the minimum and maximum base salary rates for work in a specific class. Individual salaries vary within the ranges depending on individual movements in accordance with these provisions. Synonymous with pay level, range, or band. 1- 59. Pay Plans. Listing of all pay grades and their corresponding ranges for occupational groups. 1- 59.1. Pay Plan - Medical. The pay plan that applies to classified positions in specific class series within the Health Care Services Occupational Group. The statutory lid for the class series pay ranges is greater than the general statutory lid. Employees occupying these positions are compensated based solely on performance as established in the required annual contract. (04/01/2020) 1- 60. Pay Rate. Actual base pay or salary amount. 1- 60.1. Performance Cycle. The state’s performance cycle is from August 1 through July 31. The performance cycle for Institutions of Higher Education and the Colorado School for the Deaf and Blind is September 1 through August 31 or as approved by the Director. (07/01/2025)

Board Rule 1-61. Permanent Position. A position that is carried on the staffing pattern in excess of nine (9) months or on an annual, seasonal basis. It may be a full- or

part-time work schedule. (3/30/13)

Board Rule 1-62. Position. An individual job, as defined by an appointing authority, within the state personnel system.

Board Rule 1-62.1. Probationary. A person who is not a current certified employee and who has been selected from a referral list for a permanent position but has not yet been certified to the class for that position. (3/15/11) 1- 62.2. Promotional List. A list containing the names of individuals who have successfully completed any applicable comparative analysis process resulting from a job announcement restricted to current state employees or former state employees separated from employment due to layoff. (3/30/13) 1- 62.2.1. Provisional Appointment. An immediate temporary appointment to a position with a person from outside of the state personnel system for which no eligible list exists. Employees with a provisional appointment do not have the rights and benefits provided to classified employees within the state personnel system except for those mandated by law and pay range minimums. Appointees shall possess the minimum qualifications for the position. Appointees shall not retain the position as provisional longer than nine (9) months from the date of entrance of duty or one (1) month after the establishment of a referral list intended to permanently fill the position, whichever date is earlier. (04/01/2020) 1- 62.3. Qualified Applicant. An individual who submits a timely and sufficient application in response to an announcement and meets the job qualifications for the vacancy. (3/30/13) 1- 62.4. Qualified Applicant Pool. All individuals who are eligible to be included in any applicable comparative analysis process because each of them satisfies the definition of qualified applicant for the respective position or class. (3/30/13) 1- 62.5. Rank. Relative to position or degree of value. (1/1/14) 1- 63. Reemployment. The right of an employee to be returned or rehired to the class from which separated by layoff.

Board Rule 1-64. Reemployment List. List of certified employees who were involuntarily terminated or demoted due to layoff. 1- 64.1. Referral List. A list of the top six (6) individuals drawn from the eligible list who are to be considered by the appointing authority. In cases in which a nonnumerical comparative analysis has been used, the appointing authority shall also consider all applicants who are eligible for veterans’ preference.

Board Rule 1-64.2. Reinstatement. An appointment of a former or current employee either to a class in which the person was certified and resigned or voluntarily demoted in good standing or to a related class at the same or lower pay range maximum. (3/15/11)

Board Rule 1-65. Resignation. Voluntary separation from the state personnel system.

Board Rule 1-66. Retention Credit. Credit of time and, if necessary, the calculation of an employee’s ranking under the department’s matrix in a layoff situation, in order to calculate the employee’s retention rights. (10/1/07)

Board Rule 1-67. Retirement. Separation of an employee from the state personnel system who is eligible to retire under the provisions of the state retirement plan in which the employee is enrolled (e.g., Public Employees' Retirement Association's defined benefit plan). (1/1/07) 1- 68. Saved Pay Rate. Temporary means of maintaining current base pay during certain situations that accommodate base pay amounts between the maximum of a pay grade and a statutory lid. 1- 69. Serious Health Condition. For purposes of family/medical leave, an illness, injury, impairment, physical or mental condition that requires inpatient care in a hospital, hospice, or residential medical care facility or continuing treatment by a health care provider. Continuing treatment is a period of incapacity of more than three (3) calendar days, pregnancy, a chronic serious health condition, or permanent long-term condition for which there is no treatment but the patient is under supervision, or multiple treatments without which a period of incapacity would result. 1- 70. Service Date. The date continuous state service begins, including state employment outside the state personnel system, but excluding temporary and student employment. Service dates do not change except for separation from service of more than ninety (90) days, or any break in a probationary period.

(5/1/10)

Board Rule 1-71. Harass or Harassment. In determining whether harassment is discrimination, “Harass” or “Harassment” is defined as set forth in C.R.S. Sec. 24-34-402(1.3). 1- 72. Special Qualifications. Position specific requirements that add to but do not substitute for existing minimum qualifications. Special Qualifications shall not supersede nor diminish an existing minimum qualification. (04/01/2020)

Board Rule 1-73. Status. Categories that determine the rights of an employee under the state personnel system, i.e., probationary, trial service, certified, conditional, provisional, and temporary. 1-73.1. Substitute Appointment. An appointment that is made to perform the duties of a filled position during a leave or for training purposes not to exceed nine (9) months. Also, referred to as a s-position. (07/01/2025) 1- 74. System Maintenance Study. The process used to determine classes and/or pay grades and to properly place all affected positions into new classes. It includes class placement. 1- 74.1. Temporary Appointee. This refers to a qualified person who is appointed to a position or positions for a period not to exceed nine (9) months in any twelve (12) month period inclusive of all temporary appointments with any state employer. Temporary appointees include temporary, conditional, and provisional appointments. (07/01/2025) 1- 74.2. Temporary Employee. A person who holds a temporary appointment in a temporary position and is employed at-will, not having the rights and benefits provided to permanent employees, except those mandated by law and pay range minimums. (04/01/2020)

Board Rule 1-75. Tenure. Combination of rights which vest in a certified employee by virtue of certified status, seniority, and years of service.

Board Rule 1-76. Termination. Separation of an employee from the state personnel system by resignation, retirement, layoff, dismissal, or death.

Board Rule 1-76.1. Transfer. An appointment of a qualified and current employee to a different position in the same class or to a class with the same pay grade.

(3/15/11) 1- 77. Treatment. For purposes of family/medical leave, examination to determine if a serious health condition exists, subsequent exams to evaluate the condition, and a course of prescriptive medication or therapy requiring special equipment.

Routine exams or treatments that do not require the intervention or continuing supervision of a health care provider are excluded.

Board Rule 1-77.1. Trial Service. Status of a current certified employee or reemployment applicant who promotes or, unless appointing authority requires a probationary period, a reinstated applicant. May also apply, at the discretion of the appointing authority, to a current employee who transfers within the same class or to a current certified employee or a reemployed applicant who transfers to a different class with the same pay range maximum. (3/15/11)

Board Rule 1-78. Unclassified Position. A position in state government that is not covered by the state personnel system.

Payroll Deduction 1- 79. State departments and institutions of higher education shall process payroll deductions including but not limited to, those required by federal law, state statute, executive order, through partnership agreements or state sponsorship, and including: (04/01/2020)

A. Pre-tax benefit contributions governed by the State’s Salary Deduction Plan; and/or (04/01/2020)

B. The reimbursement of monies owed to the state from an employee (e.g., higher education tuition, uniforms, salary overpayment). (04/01/2020)

C. – E. Repealed. (04/01/2020) 1- 80. All employee requests to start or terminate a payroll deduction shall be made within specific time frames and on forms approved by the Director, department head or their designee, except as otherwise required by law. (04/01/2020)

Chapter 2 Jobs

Authority for rules promulgated in this chapter is found in §24-50-101(3)(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”.

Job Evaluation System 2- 1. The Director shall establish standards regarding the creation and maintenance of the job evaluation system(s) and allocation of positions, including subsequent allocation appeals, based on generally accepted techniques and standards in the profession which are uniformly applied to similarly situated employees. 2- 2. System maintenance studies create, amend, or abolish classes and/or include pay grade assignments. A study may include the review of all affected positions in a class or classes for placement in the current or proper new class. No allocation or appointment may be made to a proposed class until it is approved as final on a date determined by the Director. The results are not subject to appeal but are subject to “meet and confer” if requested. (07/01/2025) 2- 3. Changes from system maintenance studies shall be published as proposed.

Appointing authorities are responsible for the timely distribution of this information.

Board Rule 2-4. Examination (“Employment and Status” chapter) and layoff (“ Separation” chapter) rules do not apply to class placement as part of system maintenance studies.

Individual Position Review 2- 5. New and vacant positions must be allocated to the proper class before any further personnel action is taken. (07/01/2025) 2- 6. The Director, or a delegated authority, may request a job description and evaluate a position at any time to determine the proper class. 2- 7. Each position shall have an accurate official (signed by the appointing authority) job description. Appointing authorities are responsible for providing an accurate official job description for each position to the department’s human resources office and a copy to the employee. Only an accurate official job description is used to allocate a position to the proper class by a human resources professional certified in job evaluation. (07/01/2025)

A. An appointing authority must submit the accurate official job description and any evaluation request to the department’s human resources office when permanent changes are made to a position’s assignment or the employee has been performing the duties for six (6) months or more and they are expected to be permanent. (07/01/2025)

1. An employee may request an evaluation of their position if the job description does not reflect the permanent job duties and has not been evaluated or updated within the previous twelve (12) months.

2. The employee’s request must be made in writing to the appointing

authority who shall submit the request, along with the accurate official job description, to the department’s human resources office. 2- 8. Positions shall be reviewed as expeditiously as possible according to the department’s established procedures and practices. If the evaluation takes longer than twelve (12) months from receipt by the proper evaluator and the position is allocated upward, the department must pay the difference in base pay for the period beyond the twelve (12) months. (07/01/2025) 2- 9. If a filled position is allocated to a lower pay grade, the affected employee in the position may appeal to the Director in accordance with the “Dispute Resolution”

chapter. If the employee’s appeal is successful, the effective date is the date of the original allocation decision. 2- 10. The effective date of an allocation for a filled position shall be after completion of the selection process. Vacant positions are effective when the allocation decision is made.

A. If a filled position is allocated upward, an appointment shall be made in accordance with selection provisions. If the incumbent does not qualify or is not appointed, refer to the reallocation section of the “Separation”

chapter. (1/1/18)

B. If a filled position is allocated downward, the following applies:

1. a qualified certified or probationary employee is permitted to voluntarily demote to the position. The certified employee will be offered, in writing, the choice of the voluntary demotion or retention rights, as applicable pursuant to 24-50-124(1)(a). If there is no response by the specified date in the written offer, the employee is deemed to have accepted the demotion and waived retention rights. Only after the election is made to exercise retention rights will the certified employee be processed under the “Separation”

chapter, including notice of specific retention rights; (3/30/13)

2. a conditional employee may revert to a position in a class in which certified. If not certified in another class, but qualified for the new class and no eligible list exists, the employee may be conditionally appointed to the position;

3. a provisional employee may be appointed to the position if qualified and no employment list exists.

C. If a position is allocated to a different class with the same grade maximum, the employee who is qualified shall be transferred. If the incumbent is not qualified, refer to the reallocation section of the “Separation” chapter.

(1/1/18)

Chapter 3 Compensation

Authority for rules promulgated in Chapter 3, Compensation, is found in State of Colorado Constitution Article XII, Section 13, State of Colorado Revised Statutes (C.R.S.) §§24-50-104 (1)(a), (b), (c), (e), (f), (4), (5), (6), (9), and 24-50-104.5(1), 24-50- 109.5, 24-50-136, 24-50-137, and 24-50-208, C.R.S. Board rules are identified by cites beginning with “Board Rule.” (01/01/2021) 3- 1. The Director shall establish rules governing compensation for the state personnel system. Compensation practices shall provide an equitable pay structure that provides consistent and predictable salary increases in compliance with state and federal laws. (07/01/2025) 3- 2. Pay grades shall reflect competitive labor market compensation and any other pertinent considerations. No individual employee’s base pay shall be less than the minimum of the grade or exceed a statutory lid. In the case of disciplinary action, base pay may be less than the minimum of the grade for a period not to exceed twelve (12) months, subject to the FLSA requirements. (07/01/2025)

Compensation Survey and Report (07/01/2025) 3- 3. Annually, the Director shall submit recommendations and estimated costs for base salaries, state contributions for group benefits, and step pay, and establish and publish the distribution of compensation changes among base salaries which shall be effective as provided by law. Quadrennially (every four (4) years), the Director shall establish and publish a compensation report based on the analysis of the State’s labor market, group benefit contributions, and step pay. 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. (7/1/07) 3- 5. If pay grade changes are downward, employees’ base pay shall remain unchanged, subject to the statutory three (3) year limitation on saved pay.

Pay Rates 3- 6. The Director shall publish the annual pay plan. Departments shall use an hourly rate based on an annual salary to compensate employees who do not work a predetermined or full schedule. (07/01/2025) 3- 7. Saved pay applies to downward movements due to individual allocation, system maintenance studies, and the annual compensation survey to maintain an employee’s current base pay when it falls above the new grade maximum. It may also apply when retention rights are exercised pursuant to Chapter 7, Separation.

In no case shall the employee’s base pay remain above the grade maximum after three (3) years from the action, even if it results in a loss in pay. (1/1/18) 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 unacceptable or needs improvement, except as provided in Rule 3-4.

A. System changes due to system maintenance studies including creation of new classes, new pay grades or pay grade adjustments. Base pay of impacted employees adjusted to the new grade minimum. (07/01/2026)

B. Upward, downward, or lateral movements for individual employees.

C. Repealed. (8/1/08)

D. System changes in pay grade minimums and maximums to implement approved annual compensation changes to the pay structure.

E. Adjustments to employee base pay for cost of living adjustments (also known as across-the-board increases), subject to the new pay grade maximum. The remaining portion of the base building cost of living adjustment that would cause employees’ base pay to exceed the pay grade maximum shall be paid as non-base building one-time lump sum.

F. Adjustments to individual base pay if the employee’s base pay is lower than the new grade minimum or step base pay rate, except in disciplinary actions for pay reductions. (07/01/2025)

G. Repealed. (07/01/2025)

H. Repealed. (07/01/2025) 3- 9. The appointing authority, in consultation with human resources, shall determine the base pay within the pay grade for an employee. Base pay for new hires, including one returning after resignation, is typically the grade minimum unless recruitment difficulty or other unusual conditions exist. (07/01/2025)

A. The appointing authority’s determination shall consider such factors as, but are not limited to, labor market supply, recruitment efforts, nature of the assignment and required experience, competencies, skills, job qualifications and salary expectations of the best candidate, base pay of current and recently hired employees in similar positions in the department, the step pay program, available funds, and the long-term impact on personal services budgets of hiring above the minimum of the pay grade. (07/01/2025)

B. Repealed. (07/01/2025)

C. Repealed. (07/01/2025) 3- 10. In the case of fiscal emergency or other budget reasons, an employee may agree to voluntarily reduce current base pay, which shall be approved in writing by the appointing authority and employee. If funds become available at a later date, the department may restore base pay to any rate up to, and including, the former base pay. This policy shall not be used to substitute for other provisions in

Chapter 3, Compensation. 3- 11. When an unclassified position is brought into the state personnel system, the base pay for an employee appointed to the position shall be computed in accordance with law and the Director’s directives that shall ensure that total compensation is preserved to the greatest extent possible, except that base pay shall not exceed the grade maximum. (07/01/2025)

Downward Movements (07/01/2025) 3- 12. Downward movement or downward allocation is a change to a different class with a lower range maximum (e.g., non-disciplinary or disciplinary demotions, individual allocations, system maintenance studies including class placement, or the annual compensation survey). (07/01/2025) 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 shall be applied consistently throughout the retention area. If saved pay is granted, the employee’s name shall not be placed on a reemployment list. (7/1/07) 3- 14. In the case of other downward movements, the base pay shall not be above the maximum in the new grade.

A. Upon reversion of a trial service employee to the previously certified class, base pay shall be the amount the employee would be making had the promotion or reinstatement not occurred. (1/1/14)

Upward Movements (07/01/2025) 3- 15. Upward movement or upward allocation is a change to a different class with a higher range maximum (e.g., promotions, individual allocations, system maintenance studies including class placement, or the annual compensation survey). (07/01/2025) 3- 16. In the case of system maintenance studies, employees’ base pay shall remain the same. If the Director finds that severe and immediate recruitment and retention problems make it imperative to increase pay to maintain critical services, the Director may order that base pay be increased up to the percentage increase for the new class. 3- 17. In the case of other upward movements, the employee’s base pay may increase or remain the same, in which case the employee would receive the economic opportunity by moving to the new grade. In no case shall the new base rate be lower than the minimum or their step pay rate, except in disciplinary actions, or higher than the maximum of the new grade. Continuation of a salary increase is subject to satisfactory completion of the trial service period. (07/01/2025)

A. When conditional employees move upward, the base pay shall be computed based on the certified class.

Lateral Adjustments 3- 18. Lateral movement is a change to a different class or position with the same range maximum (e.g., transfers, individual allocations, system maintenance studies including class placement), or an in-range salary movement in the same class and position. Base pay can be offered at a rate that falls within the pay range of the class and does not exceed the grade maximum. In addition, discretionary inrange salary movements are subject to the provisions below. (07/01/2025)

In-Range Salary Movements. A department may use these discretionary movements to increase base salaries of permanent employees who remain in their current classes and positions when there is a critical need not addressed by any other pay mechanism. If granted, there shall be an individual written agreement between the employee and the appointing authority that stipulates the terms and conditions of the movement. The use of in-range salary movements is not guaranteed and shall be funded within existing budgets and in accordance with these rules. In-range salary movements shall not be applied as a substitute for cost of living adjustments or the step pay program. These movements shall not be retroactive. No aspect of granting these movements is subject to grievance or appeal, except for alleged discrimination; however, an alleged violation of the department’s policy or plan can be disputed. A department’s decision in the dispute is final and no further recourse is available. Once granted, a reduction in base salary is subject to appeal. Departments shall develop a written policy or plan addressing appropriate criteria for the use of any movement based on sound business practice and needs, e.g., eligibility, funding sources, approval requirements, and measures to ensure consistent use. The policy or plan shall be communicated within the department and a copy provided to the Director upon request. Records of any aspect of these movements shall be provided to the Director when requested. (07/01/2025)

A. Salary Range Compression. Used as a salary leveling increase where longer-term or more experienced employees are paid lower in the range for the class than new hires or less experienced employees over a period of time resulting in documented retention difficulties. Thus, there is a valid need to increase one (1) or more employee’s base salary in the class to recognize contributions equal to or greater than the newly hired or less experienced employees. Justification shall be required based on facts. To be eligible, an employee shall be performing satisfactorily as evidenced by the most recent final overall performance rating. The increase is subject to the pay grade maximum. (07/01/2025)

B. Counteroffer. Used when an employee with critical, strategic skills receives a higher salary offer from another department or outside employer and the appointing authority needs to increase the employee’s base salary for retention purposes. To be eligible, an employee shall be performing satisfactorily as evidenced by the most recent final overall performance rating. Written confirmation of the other entity’s salary offer is required. The increase is subject to the pay grade maximum.

C. Delayed Transfer or Promotional Pay Increase. Used when a transfer or promotion is made with no salary increase or partial salary increase because performance expectations are unproven and/or funds may be unavailable at the time of transfer or promotion. This is a one (1) time base salary increase within twelve (12) months of the date of transfer or promotion when funds become available and the employee’s contributions are fulfilled. The intent to provide a later salary increase shall be documented at the time of the transfer or promotion. To be eligible, an employee shall be performing satisfactorily as evidenced by the most recent final overall performance rating. The increase is subject to the pay grade maximum. Transfer, promotion, demotion, or separation of the employee will negate the delayed increase. (07/01/2025)

D. New Hires. Used at the time an employee is hired when performance expectations are unproven and/or funds may be unavailable. This is a one (1) time base salary increase to be provided after the employee’s hire date and within twelve (12) months of hire. The intent to provide a later salary increase with training objectives shall be documented at the time of hire.

To be eligible, satisfactory completion of the specified training objectives shall be met. This is limited to a one (1) time increase, subject to the pay grade maximum. Transfer, promotion, demotion, or separation of the employee will negate the delayed increase. (07/07/2025)

E. Competency-Based Increase. Used when an employee applies the complete set, or a subset, of competencies required to successfully perform the work of a specific position. New competencies shall be specifically defined with deadlines and evaluation criteria for achievement, and shall be communicated in writing to the employee. To be eligible, satisfactory completion and demonstration of the competencies shall be met. Competencies that are the basis for this increase shall be required to perform permanent, essential functions assigned to the position. The intent of this increase is to promote career development by aligning pay increases with achieving all required competencies to fully perform the job.

Increases are limited to no more than two (2) per twelve (12) month period and are subject to the pay grade maximum. (07/01/2025)

F. Equity Adjustment. An appointing authority has the ability to grant an equity adjustment or put a plan in place to address pay inequities between employees who perform substantially similar work, if an allowable factor does not account for the difference in pay. An equity adjustment shall not include the reduction of any employee’s pay. The in-range salary adjustment shall be effective the first day of the next pay period after the appointing authority grants an equity adjustment. (07/01/2025)

Step Pay Program (07/01/2025) 3- 19. Step pay provides periodic base pay increases based on salary placement within the appropriate salary range up to the pay range maximum. Any permanent employee is eligible for step pay, except for employees of the state auditor, in the classifications of the medical pay plan, and the chief and any commissioned or noncommissioned officer or trooper of the Colorado State Patrol. Prior to the payment of step pay, the Director shall specify and publish the annual pay plan.

Adjustments are effective on July 1. The employee shall be employed on July 1 to receive payment. The employee’s current department as of July 1 is responsible for payment, unless arrangements are made whereas the transferring department will provide full payment of a portion of the step pay increase. (07/01/2025)

A. If an employee has a current disciplinary action resulting in a temporary base pay reduction as of July 1, pay shall be restored to the appropriate step and cost of living adjustment upon completion of the disciplinary action. (07/01/2025)

B. Departments must ensure that the employee’s pay is calculated following procedures provided by the Director. (07/01/2025)

C. Repealed. (07/01/2025)

1. Repealed. (07/01/2025)

a. Repealed. (07/01/2025)

2. Repealed. (07/01/2025)

D. Repealed. (07/01/2025)

1. Repealed. (07/01/2025)

2. Repealed. (07/01/2025)

E. Repealed. (07/01/2025)

1. Repealed. (07/01/2025)

2. Repealed. (07/01/2025)

3. Repealed. (1/1/18)

4. Repealed. (1/1/18)

Incentives, Rewards, and Recognition (07/01/2025) 3- 20. Departments are strongly encouraged to use incentives. (7/1/06) 3- 21. An appointing authority may grant an immediate non-base building cash or noncash incentive award to an employee in recognition of performance, special accomplishments or contributions throughout the year, e.g., on-the-spot cash awards, work-life options, or administrative leave, in accordance with a department’s established incentive plan. 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.

A. Departments shall have an incentive plan prior to the use of incentives.

Such plans shall include eligibility criteria, the types of incentives allowed, cash amounts or limits and payment methods, and a communication plan.

Departments shall have a plan that is communicated and available to employees. Such plans shall be developed with the input of employees and managers. (07/01/2025)

1. If a department uses a type of incentive that shares cost savings from innovations, the following applies.

a. Employees are ineligible if they are wholly responsible for control and operation of a division (or equivalent), the primary assignment includes responsibility for identifying efficiencies and cost reductions, or the position has statewide program or budget authority.

b. Savings are the result of innovative ideas that increase productivity and service levels while decreasing costs.

Savings are not the result of normal progressive business evolution, obvious solutions to mandated budget cuts, cost avoidance or revenue enhancement, nor do they have adverse cost impact on other departments.

c. Savings are the difference between anticipated expenditures prior to implementation and actual expenditures following implementation for a full twelve (12) month period. The complete award amount shall be no more than five percent (5%) of the savings, not to exceed a total of five thousand dollars ($5,000) per employee or group of employees. 3- 22. Repealed. (8/1/08) 3- 23. Repealed. (8/1/08)

Medical Pay Plan (07/01/2025) 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 thirty (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 cost of living adjustments or step 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 shall be no lower than the minimum or higher than the maximum rates of the new grade and a new contract shall be negotiated for the remainder of the contract year. (07/01/2025)

A. If no contract is negotiated, the existing contract continues and base pay stays the same until a new contract is negotiated. Employees in the medical pay plan may grieve the rate unless it is lower, which is then subject to appeal. If the employee moves into the medical pay plan into another open-range class, the base pay shall be negotiated subject to the grade maximum of the new class. (07/01/2025)

FLSA and Overtime 3- 25. All employees are covered by the FLSA. Under the FLSA, the state is considered to be a single employer. Employees cannot waive their rights under the FLSA. 3- 26. The state’s standard FLSA workweek is Saturday at 12:00am through Friday at 11:59pm. This standard FLSA workweek applies to agencies that use the official payroll system designated by the State Controller. (11/1/2019)

A. For law enforcement, healthcare, and fire protection employees, appointing authorities may adopt a “work period” under the FLSA between seven (7) consecutive days to twenty-eight (28) consecutive days in length. Overtime compensation is not required until the employee satisfies the maximum hour standard under the federal regulations. (11/1/2019) 3- 27. Overtime is the actual hours worked by a nonexempt employee in excess of the forty (40) hours during a standard FLSA workweek or in excess of established work hours in adopted work periods for law enforcement, healthcare, and fire protection employees. Such excess hours are paid at one and one-half (1 ½) times the employee’s regular hourly base pay rate, including applicable premium pay in accordance with the “regular rate” calculation under the FLSA. Nonexempt employees paid on a biweekly or monthly pay cycle shall be paid overtime on the employee’s next regularly scheduled payroll following the period the overtime was earned. Biweekly employees shall be paid on the biweekly payroll and monthly employees shall be paid on the monthly payroll. (07/01/2025)

A. Overtime for nonexempt employees shall be approved in accordance with a department’s procedure. A department head shall establish a policy to address unauthorized overtime work; however, prohibition of unauthorized overtime does not avoid the requirement to pay if it is actually worked.

B. Compensatory time in lieu of monetary payment is allowed if there is a written agreement between the department and any employee hired after April 15, 1986. Written agreements for those hired prior to April 15, 1986, are unnecessary provided that the department had a regular practice in place for granting compensatory time. Acceptance of compensatory time may be a condition of employment for new employees. Appointing authorities shall ensure that compensatory time is scheduled as soon as practical. Compensatory time is banked at one and one-half hours (1 ½) for each overtime hour worked. An employee may bank up to forty (40) hours or the amount set forth in the department’s policy, whichever is greater, but shall not exceed two hundred and forty (240) hours (or four hundred and eighty (480) hours for law enforcement, fire protection, emergency response and employee engaged in seasonal activities – see the FLSA) and any additional overtime shall be paid as indicated in Rule 3- 27. If a department wants to place limits on the accrual or payment of compensatory time up to two hundred and forty (240) hours (or four hundred and eighty (480) hours – see the FLSA), a policy shall be developed and communicated prior to use and on an ongoing basis.

Unused compensatory time at termination or transfer to another department, at the end of the fiscal year, or upon mutual agreement between the employee and the department shall be paid at that time.

There is no carryover of accrued compensatory time to the next fiscal year. Departments shall have a policy that is communicated and available to employees. (07/01/2025)

Eligibility 3- 28. Department heads are responsible for determining if each position is exempt or nonexempt based on the actual duties performed regardless of class.

Determinations shall be entered into the payroll system and a record kept on file. 3- 29. An exempt employee’s pay is not subject to reduction except as follows:

A. Deductions in increments of one (1) day are allowed for a major workplace

rule violation.

B. Deductions are allowed for any amount of time if:

1. A leave of absence was not requested or was denied and accrued leave is not used;

2. The time is covered by the Family and Medical Leave Act (FMLA); the state family medical leave; Family and Medical Leave Insurance (FAMLI), or short-term or long-term disability; (07/01/2025)

3. Accrued leave is exhausted;

4. The time is a voluntary furlough; or 5. The time is a mandatory furlough for budgetary reasons. 3- 30. Exempt employees shall not be granted extra pay for hours worked in excess of forty (40) hours in a workweek, except when Incident Response Assignment Pay applies. An appointing authority may grant discretionary administrative leave or other incentives but such awards shall not be tied to hours worked. (07/01/2026) 3- 31. An employee may request a review of a decision regarding eligibility, calculation of overtime hours, and payment to the Director in accordance with Chapter 8, Dispute Resolution.

Dual Employment 3- 32. In a properly authorized dual employment arrangement, the written agreement shall include the exemption status designation based on the combined duties, the department responsible for paying any overtime, and the overtime hourly rate.

The overtime rate, if applicable, is either the regular rate from one (1) of the jobs or a weighted rate from both jobs. Work time from both jobs is combined to calculate overtime. (1/1/18)

Work Hours 3- 33. In order to minimize overtime liability, appointing authorities may deny, delay, or cancel leave before it is taken. Appointing authorities may require the use of accrued compensatory time but cannot schedule compensatory time if that will make an employee forfeit annual leave at the end of the fiscal year. (1/1/18) 3- 34. Compensatory time is not leave, but a form of compensation. Therefore, it is not included in the calculation of work hours for overtime purposes. 3- 35. Overtime does not accrue until a nonexempt employee works more than the maximum hours allowed in a standard FLSA workweek or designated work period as permitted in Rule 3-26 (A). All time worked shall be recorded on a daily

basis. Overtime is calculated based on the total time worked in the standard FLSA workweek or designated work period as permitted in Rule 3-26 (A), rounded to the nearest quarter (¼) hour. Overtime pay for nonexempt employees for time worked over forty (40) hours in a standard FLSA workweek or in excess of established work hours in adopted work periods as permitted in Rule 3-26 (A), excludes paid leave or holiday leave with the exception of Essential Positions, see Rule 3-36. If operational needs require an employee to regularly report to work early or leave late, that time is counted as work hours for the calculation of weekly overtime. (04/01/2020) 3- 36. Essential nonexempt positions, as designated by a department head, shall have paid leave counted as work time. Essential positions perform law enforcement, highway maintenance, and support services directly responsible for the health, safety, and welfare of patients, residents, students, and inmates. (04/01/2020) 3- 37. Scheduled meal periods are discretionary. Scheduled meal periods are not work time and shall be at least twenty (20) minutes. However, if the employee is materially interrupted or not completely free from duties, the meal period is counted as work time. 3- 38. Work breaks are discretionary. If granted, breaks of up to twenty (20) minutes are work time. Breaks shall not offset other work time or substitute for paid leave, not be taken at the beginning or end of the workday, nor be used to extend meal periods. 3- 39. Ordinary travel to and from work is not work time. Travel from work site to work site is work time. When an employee is required to travel a substantial distance to perform a job away from the regular work site, the travel is work time. Mileage reimbursement applies in accordance with 1 CCR 101-1, State of Colorado Fiscal Rules. (07/01/2025) 3- 40. Mandatory training or meetings are work time. Voluntary training during work hours, as approved by the appointing authority, which is directly related to an employee’s job and is designed to enhance performance, is work time. Voluntary training is not considered work time when the training occurs outside of the employee’s regular working hours, attendance at the training is in fact voluntary, the training is not directly related to the employee’s job, and the employee does not perform any productive work during the training. (07/01/2025)

Recordkeeping 3- 41. The FLSA requires that certain basic records be maintained for both exempt and nonexempt employees. Each department is accountable for maintaining those records. (7/1/07) 3- 42. Time records shall be approved timely by both the employee and the supervisor.

The time records are the basis for overtime calculation and compensation.

Other Premium Pay 3- 43. Shift Differential is additional pay beyond base pay for employees working shifts.

Eligible classes and the shift differential rate are published in the annual pay plan. Department heads may designate eligibility for individual positions in classes not published and shall maintain records for such cases. If an eligible employee is required to report to work before the start or after the end of a scheduled shift with no release from work between the regular shift and call back hours, it is a continuation of a shift. Shift differential does not apply to any periods of paid leave. Second shift rate applies for all hours worked when half or more of the scheduled work hours fall between 4:00 p.m. and 11:00 p.m., Monday through Thursday. Third shift rate applies for all hours worked when half or more of the scheduled work hours fall between 11:00 p.m. and 6:00 a.m. If hours are evenly split between shifts, the higher shift differential rate applies to all hours worked during the shift. Weekend shift applies for all hours worked when half or more of the scheduled shift hours fall between 4:00 p.m. Friday evening through 6:00 a.m. Monday morning. (07/01/2025) 3- 44. Call Back applies when an eligible nonexempt employee is required to report to work before the start or after the end of a scheduled shift. An eligible nonexempt employee does not have to be on call eligible to receive call back pay. 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; instead, if applicable, the nonexempt employee may earn overtime or compensatory time.

When a nonexempt employee is called back, they are entitled to a minimum of two (2) hours of their regular base pay (call back pay) or pay for the actual amount of time spent responding to the call, whichever is greater. Call back time is counted as work time. (07/01/2025) 3- 45. On Call is additional pay beyond base pay for eligible, nonexempt employees who are specifically scheduled to be on call. Employees are entitled to on-call pay only when they are not working but are scheduled to be available to respond to communications or report to a worksite within a reasonable period of time.

Employees who are on call are able to use their personal time effectively. Eligible classes and the hourly rate are published in the annual pay plan. A department head may designate eligibility for individual nonexempt positions in classes not published and maintain records of such on-call designations. Only time while actually on call shall be paid at the on call rate. In call back situations, employees eligible for both on call and call back pay shall receive call back pay only. 3- 46. Second Domicile is additional discretionary pay up to ten percent (10%) of base pay for employees who are required to maintain a second domicile for more than ten (10) consecutive calendar days while working out-of-state on official state business. The department head shall authorize such payments. 3- 47. Repealed. (1/1/18) 3- 48. Housing Premium is a stipend granted by a department head to designated employees living and working in high housing cost areas with demonstrated recruitment and retention problems. It is not part of the base rate and may begin or end at any time. Records on any aspect of this premium shall be provided to the Director when requested. 3- 49. Discretionary Pay Differentials. A department may use non-base building discretionary pay differentials on a temporary basis, which shall be funded within existing budgets. Use of these pay differentials is at the discretion of the appointing authority and shall not be used as a substitute for annual compensation adjustments, other pay policies, or promotions. No differential is guaranteed and, if granted, may be discontinued at any time. No aspect of any discretionary pay differential is subject to grievance or appeal, except for discrimination; however, an alleged violation of the department’s plan can be disputed. A department’s decision in the dispute is final and no further recourse is available. Departments shall develop and communicate a written plan addressing appropriate criteria for the use of any differential based on sound business practice and needs. If granted, there shall be an individual written agreement between the employee and appointing authority that stipulates the terms and conditions of the differential, including the dates the differential will begin and end. Records of any aspect of these differentials shall be provided to the Director when requested. (8/1/08)

A. Counteroffer to a verifiable job offer may be used when an employee with critical strategic skills receives a higher salary offer from another department or outside employer and the appointing authority needs to retain the employee. The sum of a non-base building differential and current base pay cannot exceed a statutory lid in any given month and may be paid in one (1) or more payments. (8/1/08)

B. Signing bonus is a non-base building lump sum that may be used to attract new permanent employees into the state personnel system. It may be paid in one (1) or several payments; however, the sum of the bonus and current base pay cannot exceed a statutory lid in any given month.

Signing bonuses may be used for the following reasons:

1. To fill positions in critical occupations where there is a documented shortage in the labor market and recruitment or retention difficulty in the department that jeopardizes its mission; or, 2. When the applicant possesses a unique, critical skill in relation to the job market.

C. Referral award is a non-base building lump sum that may be granted to a current employee for the referral and subsequent hire of a new employee into the state personnel system where the position requires a unique, specialized skill and there is a documented shortage in the labor market and recruitment or retention difficulty in the department. This award is to be used for permanent employees unless the Director grants an exception. Employees who influence or are responsible for hiring and those performing recruitment as part of their regular assignments are ineligible. The sum of the award and current base pay cannot exceed a statutory lid in any given month.

D. Temporary pay differential is a non-base building award that may be granted to a current permanent employee in the same position. The sum of the temporary award and current base pay shall not exceed a statutory lid in any given month and is paid through regular payroll. This differential shall not be used as a substitute for the promotional or allocation process.

Temporary pay differentials may be used for the following reasons:

1. Acting assignment where the employee assumes the majority of duties of a position that is vacant or the incumbent is on extended leave for a period longer than thirty (30) days but less than nine (9) months. The differential shall not exceed nine (9) months for any given acting assignment; (07/01/2025)

2. Long-term project assignment that is not an expected or customary

part of the regular assignment and is critical to the mission and operations of the department as defined by the purpose of the project, its time frame, and the critical nature and expected results;

3. Retain a unique, specialized set of skills or knowledge that is critical to the mission and productivity of the department. The loss would result in documented severe adverse effect on the department’s mission and productivity; or 4. During the declaration of a state of emergency by the Governor, as defined in the Colorado Disaster Emergency Act, when it is necessary to assign employees work to maintain continuity of operations and appropriate staffing levels critical to the mission and operations of the organization. (08/01/2020)

4. Other temporary pay differentials for reasons listed in the applicable Partnership Agreement, and applicable State Entity Agreement, if any. (07/01/2025) 3- 50. Hazardous Duty is a non-base building premium that may be granted to positions working in occupations where exposure to physical hazards is not a customary

part or expectation of the occupation and its preparation for entry. Such positions work for a majority of their time in settings that involve clear, direct, and unavoidable exposure to risk of major injury or loss of life even after making allowances for safety. This premium is not guaranteed and, if granted, may be discontinued at any time. No aspect of this premium pay can be grieved or appealed, except for alleged discrimination. Departments shall develop appropriate criteria for the use of hazard pay based on sound business practice and need, and communicate these criteria prior to use of this premium. The premium rate will be published in the annual pay plan and, in combination with current base pay and other premium pay, cannot exceed a statutory lid in any given month. (1/1/18) 3- 50.1. Incident Response Assignment Pay is a non-base building premium that may be granted to employees in FLSA-exempt positions based on hours worked in excess of forty (40) hours in a workweek while assigned to an eligible incident.

This pay is discretionary and Departments must have a written policy, including the terms and conditions that must be met for incident response assignment pay, and communicate it to employees before use of this premium. Approval for this premium pay is within the appointing authority’s sole discretion, provided it meets the requirements of the Department’s policy. This premium pay is not guaranteed, and if granted, may be discontinued at any time and shall be funded within existing budgets and in accordance with these rules. The sum of this premium pay, current base pay, and other premium pay shall not exceed a statutory lid in any given month and is paid through regular payroll. No aspect of this premium pay can be grieved or appealed, except for alleged discrimination.

A. An eligible incident is defined as an emergency, disaster, or other occurrence, such as fire, flood, or other event, that requires action or support to prevent or minimize the loss of life or damage to property and/or natural resources. Departments may further restrict the definition of an eligible incident in their policy.

B. For an employee to be eligible for Incident Response Assignment Pay, the employee’s appointing authority must assign the employee to perform specified duties critical to the eligible incident within an Incident Command System, the standard framework used for formal incident response.

C. The assignment pay is paid at one and one-half (1 ½ ) times the employee’s annualized hourly rate for actual hours worked that exceed forty (40) hours in a designated work week while on assignment to an eligible incident. All hours worked during the FLSA workweek count towards time worked for purposes of calculating this premium pay.

D. At all times, the position remains designated as exempt under the FLSA.

E. Departments must ensure accurate and timely tracking of hours during an eligible incident.

Postemployment Compensation (9/1/12) 3- 51. Postemployment compensation, which includes voluntary separation incentives or severance pay, are discretionary financial payments that may be offered to certified employees when a layoff has happened or may happen based upon documented lack of funds, lack of work, or reorganization. Postemployment compensation may include, but is not limited to, a hiring preference, payment towards the continuation of health benefits, tuition or educational training vouchers, portion of salary, placement on a reemployment list. Postemployment compensation may be contingent upon an employee’s waiver of retention and reemployment rights, but waiving those rights does not affect the employee’s eligibility for reinstatement. A department head shall establish a postemployment compensation plan before a department makes any postemployment compensation offers. (1/1/14) 3- 52. Any total postemployment compensation payment and other benefits shall not exceed an amount equal to one (1) week of an employee’s salary for every year of their service, up to eighteen (18) weeks. Any additional limitations shall be established and published by the Director, taking into consideration market practice and other factors. (07/01/2025) 3- 53. Repealed. (1/1/18) 3- 54. The employee and department shall execute a separation agreement before payment of any postemployment compensation. The separation agreement shall include the following provisions. (07/01/2026)

A. A statement that the employee is required to pay all applicable taxes on the payment;

B. The employee’s acknowledgment that the state will withhold taxes according to law before payment; (07/01/2026)

C. The employee’s agreement to waive retention and reemployment rights, if applicable, along with a statement that the contract is voluntary and not coerced or obtained through means other than the terms of the separation agreement; (07/01/2026)

D. An acknowledgment that no payment will be made until after the last day of work and compliance with other provisions of the separation agreement contract; and, (07/01/2026)

E. Upon signature, a copy of each separation agreement shall be provided to the Director. (07/01/2026)

F. The employee’s agreement to waive any and all claims they may have or assert against the employer, relative to their employment prior to the execution of this agreement. (9/1/12)

Chapter 4 Employment and Status

Authority for the rules promulgated in Chapter 4, Employment and Status, is found in State of Colorado Constitution Article XII, Sections 13, 14 and 15, and § § 24-50-109.5, 24-50-112.5, 24-50-114, 24-50-132, 24-50-136 and 24-50-137, C.R.S. Board rules are identified by cites beginning with “Board Rule”. Definitions for many of the terms utilized in this chapter may be found in Chapter 1, Organization, Responsibilities, Ethics, Payroll Deduction, and Definitions. Board rules are identified by cites beginning with “Board

Rule”.

Board Rule 4-1. State residents and otherwise qualified applicants shall have an equal opportunity for entry into the state personnel system through fair and open competition. Selection and appointment to positions within the state personnel system shall be made according to merit and fitness, based upon the quality of performance and job-related ability as ascertained by the comparative analysis process. The selection process utilized to fill any vacancy shall uphold the protections of Colorado’s constitutional merit based personnel system. (3/30/13)

Board Rule 4-2. All applicants shall meet minimum and special qualifications for the vacancy in order to be included in the comparative analysis process, referred for an interview or appointed to a position. Any required job qualifications shall be consistent with those minimum qualifications established by the State Personnel Director for classified positions within the state personnel system. (3/30/13) 4-3. Appointing authorities shall consult with the human resource personnel for their department throughout the selection process and comply with any agreement regarding delegation of selection functions entered into between the department and the Director. Nothing in these rules shall negate the proper delegation of

authority of human resource functions from the Director to state agencies’ human resources personnel nor constrain the Director’s statutory authority to provide consulting services, as well as policy and operation leadership, in the area of professional management of state government’s human resources. (3/30/13)

Board Rule 4-4. Persons with disabilities, in accordance with federal and state law, may request reasonable accommodation throughout the selection process.

Appeals Board Rule 4-5. All job postings shall notify applicants of their appeal rights. Such notice shall include the time frame to file an appeal, the email address and the street address for filing the appeal, and the availability of any template appeal form.

Board Rule 4-6. Applicants directly affected by the selection and comparative analysis process may petition the Board for review when it appears that the decision of the appointing authority violates an employee’s rights under the Colorado Anti-Discrimination Act (“CADA”), the State Employee Protection Act (commonly known as the Whistleblower Act), or as otherwise provided by law.

Any petitions to the Board relating to selection decisions shall be filed in accordance with Chapter 8, Resolution of Appeals and Disputes.

Board Rule 4-7. Any person currently or previously employed by the state of Colorado, not within the state personnel system, shall successfully complete the selection process before being placed in a position in the state personnel system.

Treatment of such person is subject to the provisions of § 24-50-136, C.R.S. This includes political subdivisions of the state with similar merit systems that have a formal arrangement with the Board. (3/30/13) 4- 8. Only applicants directly affected by the selection and comparative analysis process may file a written appeal with the Director in accordance with Chapter 8, Dispute Resolution. (01/01/2021) 4- 9. An applicant who has been removed from an employment list or removed from consideration during the selection process may request a review by the Director as outlined in Chapter 8, Dispute Resolution. (01/01/2021)

Notifications 4- 10. At any point in the selection process, but no later than ten (10) days after an accepted job offer, all applicants removed from consideration shall be notified of their elimination from consideration. These notifications shall include appeal rights. (01/01/2021)

Determining How to Fill a Vacancy / Eligible List 4- 11. The appointing authority has the following choices in assessing candidates:

A. Appoint an eligible candidate who is a transfer, non-disciplinary demotion or reinstatement;

B. Appropriate an existing eligible list if a re-employment list does not exist; or C. Post an announcement and engage in fair and open competition through a comparative analysis. The appointing authority shall not deviate from this decision during the selection process, unless the position is filled by another method of appointment due to valid articulated business reasons. 4- 12. If filling a vacancy from an employment list, employment lists shall be used in the following order of priority: departmental reemployment, promotional, then opencompetitive. (3/30/13) 4- 13. No eligible list shall be established if:

A. A departmental reemployment list with a qualified and willing individual exists for the class of the position in question, or B. Current eligible list of equal or higher priority exists for the position in question. (3/30/13) 4- 14. An eligible list may be extended by the appointing authority for up to twelve (12) months, unless further extended as follows: (07/01/2025)

A. The Director shall have the discretion to extend a current eligible list.

B. The Director shall have the discretion to resurrect an expired eligible list within one (1) year of the initial expiration date of the list.

C. An appointing authority shall have the discretion to appropriate a qualified applicant pool for identical or highly similar positions justified through competent job analyses. (01/01/2021) 4- 15. Cancellation or expiration of a list does not affect the legal rights of employees on military leave. (3/30/13)

Board Rule 4-16. An employee or an appointing authority may initiate a transfer.

When the appointing authority(s) initiates the transfer, for reasonable business necessity, within the same department and the employee refuses it, the employee is deemed to have resigned. If the transfer is beyond a twenty-five (25) mile radius of the employee’s current work location, is longer than six (6) months, and was not a condition of employment, the employee’s name is placed on the reemployment list. (3/30/13) 4- 17. A person may be reinstated to a related class with the same or lower pay range maximum than the previously certified class. (3/30/13) 4- 18. Provisional appointments may be made only if the position cannot be filled conditionally. (3/30/13)

Reemployment Lists 4- 19. Employees on a departmental reemployment list may limit their availability to specific locations and work schedules. Departmental reemployment lists last for one year. (3/30/13)

Residency Requirements Board Rule 4-20. A department may request that the Director grant a residency waiver when the department can show there is an insufficient instate applicant pool. If the Director denies a waiver, the department may submit the request to the Board within ten (10) days. In its review of the request, the Board may grant the residency waiver if the department can show there is an insufficient instate applicant pool, including, but not limited to, consideration of the following factors:

A. The position(s) involved requires special education or training; or B. The position(s) involved requires special professional or technical qualifications; and C. It is not feasible to train and hire from within. (3/30/13)

Job Announcement Requirements 4- 21. Job announcements shall be posted in such a manner as to give potential applicants notice of a vacancy, a reasonable opportunity to apply for the vacancy, notice of the required application documentation, notice of appeal rights, and a description of the position. In addition, all job announcements shall:

A. Be posted for a reasonable amount of time and in locations where potential applicants might reasonably expect to find them;

B. Specify the following:

1. The class to which the vacancy is classified within the state personnel system;

2. The pay range or anticipated hiring pay rate for that classification;

3. The working location for the vacancy;

4. The closing date for accepting applications for the vacancy;

5. The minimum qualifications for the vacancy;

6. The nature of required experience and/or education for the vacancy;

7. That experience may substitute for the required education, except where such education is required by law or accreditation standards.

The Department may specify the nature of experience that substitutes for education;

8. Any additional special qualifications for the vacancy;

9. Any preferred qualifications for the vacancy;

10. Any conditions of employment, including physical requirements or background check;

11. The documentation which shall be submitted in order for the application to be reviewed and, if any forms shall be completed, where those forms may be obtained; and 12. The address to which the application shall be submitted. (3/30/13)

Minimum & Special Qualifications 4- 22. Required experience, education, licensure and/or certification may not be changed unless either validated by a competent job analysis or approved in writing by the Director. (3/30/13)

Comparative Analysis / Eligible List 4- 23. The assessment process is considered to be competitive if a reasonable opportunity was provided to potentially qualified persons to apply and compete against the same job-related standards. Any comparative analysis shall be a professionally accepted standard that compares specific job-related knowledge, skills, abilities, behaviors and other competencies. Comparative analysis shall meet professionally accepted standards for assessments of qualifications, competencies and job fit. (3/30/13) 4- 24. Comparative analysis shall consist of professionally accepted assessments of job-related qualifications, competencies, knowledge, skills, abilities, and job fit, including but not limited to structured interviews, application/resume review, oral examinations, written objective tests, written narrative tests, performance tests, training and/or experience evaluations, and physical capacity tests. Performance evaluations may be used as part of a promotional comparative analysis.

Assessment tools and/or examinations shall be developed, administered, and scored in compliance with professional guidelines and state and federal law. If multiple components are used to assess qualifications, the applicant may be required to pass one step before proceeding to the next. All examination materials and scores are confidential except as provided by the Colorado Open Records Act. (07/01/2025) 4- 25. An eligible list shall be considered established at the time when any and all applicable comparative analysis is completed. (3/30/13)

Testing & Examinations 4- 26. All examinations and assessments are subject to review and approval by the Director. (3/30/13) 4- 27. If the department initiates an examination, then:

A. The examination portion of the process shall be completed;

B. The examinations scored in accordance with professional standards; and C. The applicants ranked accordingly. (3/30/13) 4- 28. Examinations do not have to be scored if:

A. The departmental human resources director determines that the testing process has been compromised and notifies all qualified applicants of that determination, the basis for the determination and the next step in the selection process; or B. Permission to fill the position has been withdrawn. (3/30/13)

Background Checks 4- 29. Background investigations and physical or psychological examinations are allowed when validated by a competent job analysis or state or federal guidelines. (3/30/13)

Referral and Interview/ Eligible List 4- 30. If the selection process results in fewer than six (6) applicants on an eligible list, the list may be supplemented by additional applicants obtained through further posting and comparative analysis for the vacancy, as follows:

A. If none of the qualifications for the vacancy are changed then the same process shall be administered and the results from both postings shall then be integrated.

B. If any qualifications are changed, a new recruitment will be initiated.

Board Rule 4-31. Addition of candidates leading to an adjustment of placement on an eligible list due to open continuous recruitment shall not affect prior appointments or referrals from which an appointment has not been made. (1/1/14) 4- 32. If a departmental reemployment list exists, all those qualified are notified and referred in alphabetical order and no other employment lists are used. (3/30/13) 4- 33. In the event of a tie as the result of a numeric comparative analysis, the referral list shall be composed of only the six (6) highest-ranking individuals, plus any individuals tying with those individuals. If a comparative analysis is not conducted because there are six (6) or fewer qualified applicants, the referral list shall be comprised of those applicants. (1/1/14)

Board Rule 4-34. In the case of filling multiple vacancies within the same class from the same eligible list, no more than the top six (6) candidates may be considered for each position as it is filled. If an appointing authority decides to fill multiple vacancies simultaneously, then the appointing authority may consider six (6) plus one (1) additional candidate for every additional position. (1/1/14) 4- 35. Upon receipt of a request to fill a vacancy by an open-competitive or promotional method of appointment, a referral will be made from the appropriate eligible lists to the appointing authority. All those referred shall be notified of any contact information for the interview. (3/30/13) 4- 36. If a non-numerical or combination of numerical and non-numerical comparative analysis is used, the referral list should be comprised of the top six (6) individuals plus any eligible veterans. If a numerical comparative analysis is used, the referral list shall only be composed of the six (6) highest ranking individuals. 4- 37. Appointing authorities or their designees shall consider or make a reasonable attempt to interview all applicants on the referral list in compliance with state and federal law. (3/30/13) 4- 38. Any additional evaluation or assessment conducted after the referral shall be related to the job and administered to all applicants participating in the job interview process. (3/30/13)

Removal from Employment Lists / Removal from Consideration 4- 39. Persons may be removed from employment lists for consideration by an appointing authority or agency HR office for these specific reasons:

A. Reasons for mandatory removal from all employment lists or from consideration for all vacancies:

1. Attempts to use bribery;

2. Unauthorized access to examination information;

3. False statements or attempts to practice fraud and deception during the selection process; or 4. Existence of a written agreement between the individual and a department that the individual will not seek or accept work from the state.

B. Reasons for mandatory removal from a specific employment list or from consideration for the relevant vacancy:

1. Failure to meet the minimum qualifications; or 2. Existence of a written agreement between the individual and the department that the individual will not seek or accept work from the department which is removing the individual from the employment list.

C. Reasons for discretionary removal from one or more employment lists or from consideration for relevant vacancies:

1. Violation of federal or state law or regulations that affect the ability to perform the job;

2. No longer interested in or available for employment with the department or the state personnel system;

3. Failure to appear for examination or participate in any aspect of the comparative analysis process;

4. Failure to meet the conditions of employment such as physical requirements, background check, or others as set forth in the job announcement;

5. Failure to respond to a referral within the specified time frame as communicated to the individuals referred, or to complete any portion of the selection process;

6. Failure to be appointed after at least three referrals and interviews for vacancies with the same appointing authority, who is removing the person from the employment list, within an eighteen (18) month period;

7. Documented failure to demonstrate proficiency in a required jobrelated competency set forth in the job announcement;

8. Documentation of unsatisfactory performance indicating an inability to perform in an area directly related to the job;

9. Appointment to a position in the class for which a list was established; or 10. Refusal of an appointment or condition(s) of employment previously indicated as acceptable. (1/1/14)

Employment Status Board Rule 4-40. Probationary service applies to appointments to permanent positions of:

A. Employees who have not been previously employed within the state personnel system;

B. At the discretion of the appointing authority, any reinstated former certified employees. (3/30/13)

Board Rule 4-41. The probationary service period shall not exceed 12 working months except as provided in Chapter 5, Time Off, or when there is a selection appeal pending. If the probationary employee separates from employment for any period of time, a new service date is required based on the date of rehire.

A. Probationary employees do not have a right to a pre-disciplinary meeting, to a mandatory hearing to review discipline for unsatisfactory performance, to be granted a period of time to improve performance, to be placed on a reemployment list, or to the privilege of reinstatement.

However, probationary employees may petition the Board for a discretionary hearing on non-disciplinary matters.

Board Rule 4-42. Trial Service applies to appointments to permanent positions as follows:

A. At the discretion of the appointing authority:

1. A current certified employee who voluntarily transfers to a position within the same class;

2. A current certified employee or reemployment applicant who transfers to a position in a different class with the same pay range maximum;

B. A current certified employee or a reemployment applicant who promotes;

C. Any reinstated applicant unless the appointing authority requires a probationary period. (1/01/15)

Board Rule 4-43. The trial service period shall not exceed six working months, except as provided in Chapter 5, Time Off, or when there is a selection appeal pending.

An employee who fails to perform satisfactorily during trial service shall revert to an existing vacancy in the previously certified class in the current department with no right to a hearing or, if there is no existing vacancy in the previously certified class in the current department, shall be accorded any retention rights to which the employee may be entitled under § 24-50-124, C.R.S. and/or Board

Rule. The appointing authority has discretion to administer corrective or disciplinary action instead of reversion. (3/30/13)

Board Rule 4-44. The following applicants or employees retain their certified status when appointed to a new class or position:

A. A current certified employee who demotes;

B. A reemployment applicant who is appointed to a position within the same class;

C. A current certified employee who voluntarily transfers to a position within the same class remains certified unless the appointing authority requires a trial service period D. A current certified employee or a reemployment applicant who voluntarily transfers to a different class with the same pay range maximum remains certified unless the appointing authority requires a trial service period;

E. A current certified employee who involuntarily transfers to a position within the same class or a position within a different class with the same pay range maximum. (3/30/13)

Board Rule 4-45. Early certification is not allowed if a selection appeal is pending.

Board Rule 4-46. When accepting a state position outside the state personnel system at the request of an elected or appointed state official, a certified employee is subject to the provisions of § 24-50-137, C.R.S. (3/30/13) 4- 47. A temporary appointment refers to a qualified person who is appointed to a position or positions for a period not to exceed nine (9) months in any twelve (12) month period. The nine (9) month limitation shall be inclusive of all temporary appointments and departments. Temporary appointments include appointments to temporary positions, conditional, and provisional appointments. (07/01/2025) 4- 48. All temporary positions shall be in the Temporary Aide class. Temporary employees are employed at will and do not have the rights and benefits provided to permanent employees, except those mandated by law and pay range minimum. Effective December 31, 1998, no credit is provided for a temporary position when an employee accepts a permanent position in the same class without a break in service.

A. When the services for the relevant position are permanent and full-time, the position shall not be filled through a succession of temporary appointments.

B. When services are seasonal or annually recurring, department heads should consider creating a permanent part-time position, including analysis of potential partnering with other departments in the same geographic location, as provided in Chapter 10, Personal Services Contracts. However, either a permanent part-time or temporary position may be used. (3/30/13)

Board Rule 4-49. A person in conditional status does not have a break in service as a result of having a conditional appointment. If the employee is subsequently appointed, to the position to which they were conditionally appointed, from a list, the trial service period begins on the date of the conditional appointment. If not subsequently appointed to the position, the employee reverts to an existing vacancy in the certified class in the current department. If no vacancy exists, layoff provisions apply. (3/30/13)

Board Rule 4-50. If a person with provisional status is subsequently appointed, to the position to which they were provisionally appointed, from a list, the probationary period begins on the date of the appointment from the referral list. Provisional employees do not have the rights and benefits provided to classified employees within the state personnel system, except those mandated by law and pay range minimum. (3/30/13)

Board Rule 4-51. A substitute appointment may only be made to perform the duties of a filled position during a leave or for training purposes. This appointment shall not exceed nine months in a twelve (12) month period unless transfer, demotion, or examination fills it. Layoff provisions do not apply and a certified employee is returned to a position in the former class. (3/30/13)

Chapter 5 Time Off

Authority for rules promulgated in Chapter 5, Time Off, is found in:

State of Colorado Constitution Article XII, Section 13, The Family Medical Leave Act (FMLA), Colorado Paid Family and Medical Leave Insurance (FAMLI) Act, Americans with Disabilities Act (ADA), Family Care Act (FCA), Uniformed Services Employment and Reemployment Rights Act (USERRA), The Patient Protection and Affordable Care Act (PPACA), commonly called the Affordable Care Act (ACA), Healthy Families and Workplace Act, the Public Health Emergency Whistleblower Act and 26 U.S.C. 63.

State of Colorado Revised Statutes (C.R.S.) §1-6-115, 1-6-122, 1-7-102, 8-13.3-401, 8- 13.3-501, 8-40-101, 14-2-101, 14-15-103,24-11-101, 24-11-112, 24-18-102, 24-33.5- 825, 24-50-104, 24-50-109.5, 24-50-401, 28-1-104, 28-3-601, 28-6-602, 28-3-607, 28-3- 609, and 28-3-610. 5- 1. Employees are required to work their established work schedule unless on approved leave. Employees are responsible for requesting leave as far in advance as possible. The leave request shall provide sufficient information to determine the type of leave. (5/1/10)

A. The appointing authority shall respect the employee's privacy rights when requesting adequate information to determine the appropriate type of leave. (02/2017)

B. Appointing authorities are responsible for approving all leave requests and for determining the type of leave granted, subject to these rules and any additional departmental leave procedures. Departmental procedures shall be provided to employees. (02/2017)

C. Except for paid sick leave, Family Medical Leave (FML), state FML, leave under the FAMLI (Family and Medical Leave Insurance) program, shortterm disability leave or public health emergency leave, use of any other leave that is not approved by the appointing authority may result in the denial of paid leave and/or corrective or disciplinary action. (01/01/2021)

D. Mandates to maintain a minimum balance of annual leave is not permitted except under a leave sharing program or a corrective or disciplinary action. (12/1/2023)

1. Repealed. (07/01/2025) 5- 2. Paid leave is to be exhausted before an employee is placed on unpaid leave, unless the reason for leave does not qualify for the type of leave available, during a mandatory or voluntary furlough, or if prohibited by state or federal law. 5- 3. Departments shall keep accurate leave records in compliance with rule and law and be prepared to report the use of any type of leave when requested by the Director. (5/1/10)

Accrued Paid Leave 5- 4. Annual leave is for an employee’s personal needs and use is subject to the approval of the appointing authority. The appointing authority may establish periods when annual leave will not be allowed, or shall be taken, based on business necessity. These periods cannot create a situation in which the employee does not have a reasonable opportunity to use requested leave that will be subject to forfeiture. If the department cancels approved leave that results in forfeiture, the forfeited hours shall be paid before the end of the fiscal year.

(5/1/10)

A. Due to the declaration of a state of emergency by the Governor, as defined in the Colorado Disaster Emergency Act, if annual leave was denied, canceled or the employee was not given reasonable opportunity to use the requested annual leave, resulting in annual leave being subject to forfeiture under rule, up to eighty (80) hours of leave over the maximum accrual allotment may be carried over to the next fiscal year in lieu of payment. The over accrued annual leave amount (up to eighty (80) hours) will roll over to the next fiscal year on July 1 and will be available to the employee to use. This amount will not carry over for a second fiscal year.

Any annual leave hours over the maximum accrual amount not carried over in this Rule 5-4.(A) and subject to forfeiture shall be paid out to the employee before the end of the fiscal year. (08/01/2020) 5- 5. Sick leave is for health reasons, including mental or physical illness, injury, a health condition, diagnostic and preventative examinations, treatment, and recovery. Sick leave may also be used for safety reasons and after the death of a family member. Sick leave is not to be used for bonding with a newborn child or a child newly placed for adoption or foster care. Accrued sick leave may be used for the following: (07/01/2025)

A. The employee or the employee's family members (related by blood, adoption, marriage, or civil union) including a child to whom the employee stands in loco parentis or a person who stood in loco parentis to the employee when the employee was a minor, domestic partners, in-laws, step relatives and for a person for whom the employee is responsible for providing or arranging health or safety-related care. Special consideration will also be given to any other person whose association with the employee is similar to a family member. (01/01/2021)

B. An injured military service member as established under Rule 5-20 (F), legal dependent, or a person in the household for whom the employee is the primary caregiver. (04/01/2020)

C. Appointing authorities may use discretion to send employees home for an illness or injury that impacts the employee's ability to perform the job or the safety of others.

1. Sick leave shall be charged first;

2. Annual leave shall be charged if sick leave is exhausted; then 3. Unpaid leave if both annual and sick leave are exhausted.

(01/01/2021)

D. Upon their return to work, employees shall provide reasonable documentation for absences of four (4) or more consecutive days the employee would have ordinarily worked for the use of sick leave.

1. If the documentation is deficient, the appointing authority must notify the employee within seven (7) days from receipt of the document or the employee's return to work and provide the employee at least seven (7) days to cure the deficiency 2. Failure to provide reasonable documentation, or if it is determined that the leave was used for purposes other than the allowable reasons, may result in corrective/disciplinary action. Appointing authorities have the discretion to approve other forms of leave if sick leave is denied. (07/01/2025)

E. When an employee or employee’s family member is a victim of domestic abuse, stalking, sexual assault, harassment or any other crime related to domestic violence and needs to seek medical attention, mental health care or other counseling, or victim services including legal services or relocation. (05/15/2022)

F. Due to inclement weather, power/heat/water loss, or other unexpected occurrence, the employee needs to either (a) evacuate their residence, or (b) care for a family member whose school or place of care was closed.

(12/1/2023)

G. When the employee needs to grieve, attend funeral services or a memorial, or deal with financial and legal matters that arise after the death of a family member. This reason for sick leave does not supplant an employee’s eligibility and use of approved bereavement leave under Rule 5- 12. (12/1/2023)

Exhaustion of Leave and Administrative Discharge 5- 6. If an employee has exhausted all credited paid leave and is unable to return to work, unpaid leave may be granted or the employee may be administratively discharged by written notice following a good faith effort to communicate with the employee. Administrative discharge applies only to exhaustion of leave.

(11/1/2019)

A. The notice of administrative discharge shall inform the employee of appeal rights and the need to contact the employee's retirement plan on eligibility for retirement.

B. An employee cannot be administratively discharged if FML, state family medical leave, employment protection under FAMLI, or short-term disability leave (includes the thirty (30) day waiting period) apply, or if the employee is a qualified individual with a disability under the ADA who can reasonably be accommodated without undue hardship. (07/01/2025)

C. A certified employee who has been discharged under this rule and subsequently recovers has reinstatement privileges. 5- 7. Table (08/01/2020)

Monthly Leave Earning, Accrual, Payout, and Restoration for Permanent Employees Annual Leave Sick Leave**** Years of Service* Hrs. / Mon.

Accru al** Payout Hrs./Mo n.

Accrual *** Restoration Payout Years 1 - 3 (01 - 36 Months)

Upon terminatio n or death, unused leave is paid out up to the maximum accrual rate. 6.66 Previously accrued sick leave up to three hundred and sixty (360) hours is restored when eligible for reinstateme nt or reemployme nt.

Upon death or if eligible to retire, one quarter (¼) of unused leave paid out to the maximum accrual rate. PERA's age and service requirements under the Defined Benefit plan are applied regardless of the plan actually enrolled in.

Years 4 - 5 (37 – 60 Months)

Years 6 - 10 (61 - 120 Years 11 -15 (121 - 180 Year 16 or Greater (181 or more * Years of service is computed from the 1st calendar day of the month following the hire date; except if the employee began work on the 1st working day of a month, include that month in the count. Employees with prior permanent state service, in or out of the state personnel system, earn leave based on the total whole months of service, excluding temporary assignments. *** Over-accrued sick leave up to eighty (80) hours is converted to annual leave each new fiscal year (July 1st) at a five to one (5:1) ratio (five (5) hours of sick converts to one (1) hour annual leave). An employee may have an individual maximum accrual that is greater than three hundred and sixty (360) hours if continuously employed in the state personnel system prior to 7/1/88. Maximum accrual for these employees is calculated by adding three hundred and sixty (360) hours to the leave balance on 6/30/88.

Monthly Leave Earning, Accrual, Payout, and Restoration for Permanent Employees Annual Leave Sick Leave**** Years of Service* Hrs. / Mon.

Accru al** Payout Hrs./Mo n.

Accrual *** Restoration Payout ** Over-accrued amounts are forfeited at the beginning of the new fiscal year (July 1st) except when Rule 5-4. A. is applicable. **** During the declaration of a state of emergency by the Governor, as defined in the Colorado Disaster Emergency Act, sick leave balances may go negative up to forty (40) hours once all accrued sick, annual leave, and compensatory time is exhausted. Subsequent sick leave accruals will be credited to the negative balance. If an employee separates before the negative balance is recovered, it will be deducted from their final paycheck.

General Provisions Employees shall be at work or on paid leave to earn monthly leave. Leave is credited on the last day of the month in which it is earned and is available for use on the first day of the next month, subject to any limitations elsewhere in Chapter 5, Time Off. A terminating employee shall be compensated for annual leave earned through the last day of employment.

Part-time employees who work regular, non-fluctuating schedules earn leave on a prorated

basis based on the percentage of the regular appointment, rounded to the nearest one, one hundredth (1/100) of an hour. Leave for part-time employees who work irregular, fluctuating schedules and full-time employees who work or are on paid leave less than a full month is calculated by dividing the number of hours paid by the number of work hours in the monthly pay period. The percentage is then multiplied by the employee’s leave earning rate to derive the leave earned. Overtime hours are not included in leave calculations.

Leave payouts at separation are calculated using the annualized hourly rate of pay (annual salary divided by two thousand eighty (2080) hours for full- time employees). Employees are only eligible for the sick leave payout one (1) time, upon retirement separation from state employment or death. (07/01/2025)

Forfeiture of leave as a disciplinary action or a condition of promotion, demotion, or transfer is not allowed.

Borrowing against any leave that may be earned in the future or “buying back” leave already used is not allowed, except during a declaration of a state of emergency by the Governor, as defined in the Colorado Disaster Emergency Act, as indicated above.

Use of annual leave cannot be required for an employee being laid off.

Make whole is the use of accrued paid leave in an amount that is closest to the difference between an employee’s wage replacement benefit (e.g., FAMLI, short or long-term disability, workers’ compensation) and their base pay, excluding any premium pay or differentials. Sick leave is used first, then annual leave and/or compensatory time. As the leave must be accrued, negative sick leave cannot be used to be made whole. Leave earning is not prorated when an employee is making whole. (07/01/2026)

FAMLI Make Whole: When an employee is receiving FAMLI wage replacement benefit payments, they may elect in writing to use accrued paid leave to supplement the benefit and make their base pay whole. (07/01/2026)

Disability Make Whole: If FML, state family medical leave, and/or FAMLI are not running concurrently, an employee must use accrued paid leave to make their base pay whole. If FML, state family medical leave, and/or FAMLI are running concurrently, an employee may elect to use accrued paid leave during the thirty (30) day waiting period for short-term disability and to make their base pay whole once they begin receiving disability wage replacement benefits. (07/01/2026)

Workers’ Compensation Make Whole: If FML or state family medical leave is not running concurrently, an employee must use accrued paid leave to make their salary whole. If FML or state family medical leave is running concurrently, an employee may elect to use accrued paid leave to supplement the workers’ compensation wage replacement benefits and make their salary whole. 5- 7. A. Table (07/01/2025)

Factor Rate Earning, Accrual, Payout, and Restoration for Temporary Employees Sick Leave Hourly Accrual / Biweekly Pay Cap* Restoration Payout .033/hour 30 hours x .033 = 1 hour Biweekly Pay Period 80 hours x .033 = 2.64 48 Hours Previously accrued sick leave up to forty-eight (48) hours is restored when eligible for temporary rehire or hired permanently.

Not applicable. * Up to a cap of 48 hours of paid leave may be accrued in the fiscal year. Leave is no longer accrued once the cap is reached.

General Provisions: Temporary employees shall be at work or on paid leave to earn paid sick leave. Leave is credited on the last day of the biweekly pay period in which it is earned and is available for use on the first day of the following biweekly pay period. Sick leave may be requested and used, subject to the general principles, sick leave, FML, FAMLI, and public health emergency leave rules of this Chapter 5, Time Off.

Leave Sharing 5- 8. Leave sharing allows for the transfer of annual leave between permanent state employees for an unforeseeable life-altering event beyond the employee’s control, and is subject to the discretionary approval of a department head.

Departments shall develop and communicate their programs prior to use, including criteria for qualifying events. The authority to approve leave sharing shall not be delegated below the department head without advance written approval of the Director. (02/2017) 5- 9. Employees shall have at least one (1) year of state service to be eligible. Leave sharing is not an entitlement even if the individual case is qualified. Donated leave is not part of the leave payout upon termination or death. (5/1/10)

A. Donated leave is allowed for a qualifying event for the employee or the employee’s immediate family member as defined under Rule 5-5. In order to use donated leave, the employee shall first exhaust all applicable paid leave and compensatory time and shall not be receiving short-term disability, long-term disability, FAMLI or Workers’ Compensation benefit payments. If all leave is exhausted, donated leave may be used to cover the leave necessary during the thirty (30) day waiting period for short-term disability benefit payments. The transfer of donated leave between departments is allowed only with the approval of both department heads.

Holiday Leave 5- 10. Permanent full-time employees employed by the state when the holiday is observed are granted eight (8) hours of paid holiday leave (prorated for permanent part-time employees) to observe each legal holiday designated by law, the Governor, or the President. Holiday leave may be granted on a biweekly

basis for biweekly paid employees. Appointing authorities may designate alternative holiday schedules for the fiscal year. If a holiday occurs when an employee is on short or long–term disability, continuous FAMLI, and is being paid for the wage replacement benefit, the employee will be paid through those benefits and not be granted eight (8) hours of holiday leave. (07/01/2025)

A. Employees may submit a request to their appointing authorities to observe another day off in lieu of any of the legal holidays in the same fiscal year.

1. Department heads have the discretion to grant employee requests to observe Farm Workers Day, March 31, in lieu of another holiday in the same fiscal year. The department shall be open and at least minimally operational for both days and the employee shall have work to perform. (07/01/2026)

B. Each department shall establish an equitable and consistent policy to ensure that all permanent employees are granted their full complement of holidays earned each fiscal year.

1. If an employee is unable to take the alternate holiday off due to business necessity, they shall be paid out eight (8) hours of holiday leave (prorated for permanent part-time employees) at the end of the same fiscal year.

C. To ensure any employee that is required to work, including voluntarily scheduled to work and approved by a department head, on any legal holiday described in §24-11-101, C.R.S. receives their full complement of holidays, the department shall apply the following alternatives:

1. Exempt employees required to work on the observed legal holiday shall be granted an alternate day off in the same fiscal year.

2. Non-exempt employees required to work on the observed legal holiday shall receive one of the following alternatives:

i. An alternate day off in the same fiscal year, as requested by the employee; or ii. Pay at one and one-half (1 ½) times their base salary’s hourly rate; or iii. Corresponding compensatory time for all hours worked.

Other Employer-Provided Leaves 5- 11. The types of leave in this section do not accrue, carry over, or pay out. (5/1/10) 5- 12. Bereavement leave is for an employee’s personal needs and use is subject to the approval of the appointing authority. The appointing authority may provide up to forty (40) hours (prorated for part-time work or unpaid leave in the month) of paid leave to permanent employees for the death of a family member or other person.

Employees are responsible for requesting the amount of leave needed.

Documentation may be required when deemed necessary by the appointing

authority. (02/2017) 5- 13. Military leave provides up to three (3) weeks of paid leave, based on the employee’s work schedule, in a fiscal year to permanent employees who are members of the National Guard, military reserves, or National Disaster Medical Service to attend the annual encampment or equivalent training or who are called to active service, including declared emergencies. Unpaid leave is granted in accordance with the Uniformed Services Employment and Reemployment Rights Act (USERRA) after exhaustion of the three weeks of paid leave. The employee may request the use of annual leave before being placed on unpaid leave.

A. Notice may be written or verbal and should be in advance of the leave unless unreasonable or precluded by military necessity. Required documentation shall be submitted in advance of the leave or upon the return to work in the form of military orders, estimates of military entitlements, military leave earning statements, correspondence from a commanding officer, or other forms that may be verified. (01/01/2021)

B. In the case of a state emergency, the employee shall return upon release from active duty. In the case of federal service, the employee shall notify the appointing authority of the intent to return to work, return to work, or may need to apply to return, and is entitled to the same position or an equivalent position, including the same pay, benefits, location, work schedule, and other working conditions. This leave is not a break in service. (02/2017) 5- 14. Jury leave provides paid leave to all employees; however, temporary employees receive paid leave for a maximum of three (3) days of jury leave. Jury pay is not turned over to the department. Proof may be required. (02/2017) 5- 15. Administrative leave may be used to grant paid time when the appointing

authority wishes to release employees from their official duties for the good of the state. In determining what is for the good of the state, an appointing authority shall consider prudent use of taxpayer and personal services dollars and the business needs of the department. Additional reasons for granting the use of administrative leave follow: (07/01/2025)

A. Administrative leave shall be granted for the following: (07/2025)

1. Two (2) hours to participate in general elections if the employee does not have three (3) hours of unscheduled work time during the hours the polls are open. (02/2017)

2. Up to two (2) days per fiscal year for organ, tissue, or bone donation for transplants. (02/2017)

3. To serve as an uncompensated election judge unless a supervisor determines that the employee’s attendance on Election Day is essential. The employee shall provide evidence of service.

4. Up to fifteen (15) days in a fiscal year when qualified volunteers or members of the Civil Air Patrol are directed to serve during a declared local disaster, provided the employee returns the next scheduled workday once relieved from the volunteer service.

5. Union Leave shall be authorized by an appointing authority pursuant to the negotiated terms of the applicable Partnership Agreement. No time spent on Union Leave may be used to engage in political activity. (07/01/2025)

B. Administrative leave may be granted for the following: (02/2017)

1. Up to five (5) days for local or fifteen (15) days for national emergencies per fiscal year to employees who are certified disaster service volunteers of the American Red Cross. (02/2017)

2. One (1) period of administrative leave for the initial call up to active military service in the war against terrorism of which shall not exceed ninety (90) days and applies after exhaustion of paid military leave. Administrative leave is only used to make up the difference between the employee’s base salary (excluding premiums) and total gross military pay and allowances. The employee shall furnish proof of military pay and allowances. This leave does not apply to regular military obligations such as the annual encampment and training. (02/2017)

3. Volunteering in community or school activities. A department shall adopt and communicate a policy regarding the amount of leave available, employee eligibility, and process for requesting and approving leave. (04/01/2020)

4. Employee recognition for special accomplishments or contributions in accordance with the department's established incentive plan.

C. Activities performed in an official employment capacity, including mandatory job-related training and meetings, voluntary job-related training, conferences, participation in hearings or settlement conferences at the direction of the Board or Director, and job-related testimony in court or official government hearings required by an appointing authority or subpoena are work time and not administrative leave. Administrative leave is not intended to be a substitute for corrective or disciplinary action or other benefits and leave. (07/01/2025)

D. Department heads are responsible for tracking the use of administrative leave and shall provide reports to the Director upon request. (07/01/2025) 5- 16. Paid family medical leave (PFML) provides permanent full-time employees up to one hundred sixty (160) hours of paid leave (prorated for permanent part-time employees) per rolling twelve (12) month period when employees are eligible and qualify for unpaid, job protected Family Medical Leave (FML). PFML supplements and runs concurrently with FML and the short-term disability waiting period. The exception is the qualifying reasons for victim protection leave as prescribed in C. of this rule. (01/01/2021)

A. PFML shall be used before accrued paid leave except when an employee elects to use PFML to bond with their newborn child or for a newly placed adopted or foster child within twelve (12) months after the birth or placement as allowed under the Family Medical Leave Act (FMLA).

B. Employees who work in the same department or division as their spouse, partners in a civil union or domestic partnership are each entitled to PFML when they are eligible and qualify for FML.

C. PFML may be used when an employee or an employee's family member is a victim of domestic abuse, stalking, sexual assault, harassment, or any other crime related to domestic violence and needs to seek medical attention, mental health care or other counseling, or victim services including legal services or relocation.

1. An employee must meet the eligibility requirements for FML per rules 5-20 and 5-21, to qualify for PFML for domestic violence related reasons. However, the use of PFML for domestic violence related reasons does not automatically qualify an employee for FML.

2. All information related to the leave shall be confidential and maintained in separate confidential files with limited access.

D. Injury leave, leave under the make whole policy for workers compensation, and emergency public health leave are excluded from PFML.

E. Retaliation against an employee is prohibited; however, this rule does not prohibit adverse employment action that would have otherwise occurred had the leave not been requested or used. 5- 17. Unpaid leave may be approved by the appointing authority unless otherwise prohibited. The appointing authority may also place an employee on unpaid leave for unauthorized absences and may consider corrective and/or disciplinary action. Probationary and trial service periods are extended by the number of days on unpaid leave and may be extended for periods of paid leave. The amount of unpaid leave for employees paid on a monthly pay cycle is calculated based on the monthly salary multiplied by the number of unpaid leave hours divided by the number of hours in the pay period. The amount of unpaid leave for nonexempt employees paid on a biweekly pay cycle is calculated based on the hourly pay rate multiplied by the number of unpaid leave hours. The amount of unpaid leave for exempt employees paid on a biweekly pay cycle is calculated based on the biweekly salary multiplied by the number of unpaid leave hours divided by the number of hours in the pay period. (11/1/2019)

A. Short-term disability (STD) leave is a type of unpaid leave of up to six (6) months while either state or PERA STD benefit payments are being made.

To be eligible for this leave, employees shall have one (1) year of service and an application for the STD benefit shall be submitted within thirty (30) days of the beginning of the absence. The employee shall also notify the department at the same time that a benefit application is submitted to the insurance provider. (08/01/2020)

B. Voluntary furlough is unpaid job protection granted for up to seventy two (72) workdays per fiscal year when a department head declares a budget deficit in personal services. The employee may request such absence to avoid more serious position reduction or abolishment. Employees earn sick and annual leave and continue to receive service credit as if the furlough had not occurred.

C. Repealed. (01/01/2021)

D. State family medical leave is unpaid job protection granted for up to forty (40) hours subsequent to FML. To be eligible for this leave, the employee shall be eligible for FML, see Rule 5-20. Employees do not need to apply for state family medical leave separately. 5- 18. Parental Academic leave. Departments may provide up to eighteen (18) hours (prorated for part- time) in an academic year for parents or legal guardians to participate in academic-related activities. A department shall adopt and communicate a policy on whether the leave will be unpaid or paid, the amount and type of paid leave, and specifically the substitution of annual leave or use of administrative leave. (02/2017)

Family/Medical Leave (FML) 5- 19. The state is considered a single employer under the Family and Medical Leave Act (FMLA) and complies with its requirements, the Family Care Act (FCA), and the following rules for all employees in the state personnel system.

Family/medical leave cannot be waived. (02/2017)

A. The FCA provides unpaid leave to eligible employees to care for their partners in a civil union or domestic partnership who have a serious health condition and is administered consistent with FML. (02/2017) 5- 20. FML is granted to eligible employees for the following conditions: (02/2017)

A. Birth and care of a child and shall be completed within one (1) year of the birth; (02/2017)

B. Placement and care of an adopted or foster child and shall be completed within one (1) year of the placement; (02/2017)

C. Serious health condition of an employee’s parent, child under the age of eighteen (18), an adult child who is disabled at the time of leave, spouse, partner in a civil union, or registered domestic partner for physical care or psychological comfort; see Chapter 1, Organization, Responsibilities, Ethics, Payroll Deduction, and Definitions, for the definition of serious health condition and ADA definition for disability; (02/2017)

D. Employee’s own serious health condition; (02/2017)

E. Active duty military leave (exigency) when a parent, child, or spouse experiences a qualifying event directly related to being deployed to a foreign country; or (07/01/2025)

F. Military caregiver leave for a parent, child, spouse, or next of kin who suffered a serious injury or illness in the line of duty while on active duty.

Military caregiver leave includes time for veterans who are receiving treatment within five (5) years of the beginning of that treatment. (02/2017) 5- 21. To be eligible for FML, an employee shall have twelve (12) months of total state service as of the date leave will begin, regardless of employee type. A state temporary employee shall also have worked one thousand two hundred fifty (1250) hours within the twelve (12) months prior to the date leave will begin.

Time worked includes overtime hours. (11/1/2019)

A. Full-time employees will be granted up to four hundred eighty (480) hours of FML per rolling twelve (12) month period. Once eligible for FML, the employee is also eligible for up to an additional forty (40) hours of state family medical leave. The amount of leave is determined by the difference of five hundred twenty (520) hours and any FML or state family medical leave taken in the previous twelve (12) month period and is calculated from the date of the most recent leave. The amount of leave is prorated for

part-time employees based on the regular appointment or schedule. Any extension of leave beyond the amount to which the employee is entitled is not FML, or state family medical leave, see Rule 5-1 B. (11/1/2019) 5- 22. Military caregiver leave is a one (1) time entitlement of up to one thousand forty (1040) hours (prorated for part-time) in a single twelve (12) month period starting on the date the leave begins. While intermittent leave is permitted, it does not extend beyond the twelve (12) month period. In addition, the combined total for military caregiver, state family medical leave, and all other types of FML shall not exceed one thousand forty (1040) hours. (11/1/2019) 5- 23. All other types of leave, compensatory time, and make whole payments under FAMLI, short-term disability and workers’ compensation run concurrently with FML and state family medical leave and do not extend the time to which the employee is entitled. The employee may elect to use accrued paid leave subject to the conditions for use of such leave before being placed on unpaid leave for the remainder of FML and state family medical leave. An employee on FML or state family medical leave cannot be required to accept a temporary “modified duty” assignment even though workers’ compensation benefits may be affected. 5- 24. Unpaid leave rules apply to any unpaid FML and state family medical leave except the state continues to pay its portion of insurance premiums. An employee’s condition that also qualifies for short-term disability benefits shall comply with the requirements of that plan. (11/1/2019) 5- 25. Employer Requirements. The appointing authority, human resources director, or FMLA coordinator shall designate and notify the employee whether requested leave qualifies as FML based on the information provided by the employee, regardless of the employee’s desires. Departments shall follow all written directives and guidance on designation and notice requirements. (02/2017) 5- 26. Employee Requirements. Written notice of the need for leave shall be provided by the employee thirty (30) days in advance. If an employee becomes aware of the need for leave in less than thirty (30) days in advance, the employee shall provide notice either the same day or the next business day. Failure to provide timely notice when the need for leave is foreseeable, and when there is no reasonable excuse, may delay the start of FML for up to thirty (30) days after notice is received as long as it is designated as FML in a timely manner.

Advance notice is not required in the case of a medical emergency. In such a case, an adult family member or other responsible party may give notice, by any means, if the employee is unable to do so personally. (5/1/10) 5- 27. The employee shall consult with the appointing authority to: establish a mutually satisfactory schedule for intermittent treatments and a periodic check-in schedule; report a change in circumstances; make return to work arrangements, etc. (5/1/10) 5- 28. Employees shall provide proper medical certification, including additional medical certificates and fitness-to-return certificates or the equivalent as prescribed in Rules 5-36 through 5-39. If the employee does not provide the required initial and additional medical certificates, the leave may not qualify as FML and may be denied. (07/01/2025)

Family and Medical Leave Insurance (FAMLI) Program (01/01/2024) 5- 29. The Division of Family and Medical Leave Insurance (FAMLI) within the Colorado Department of Labor and Employment administers the FAMLI program, determination of claims, eligibility and approval or denial of the FAMLI benefit and leave, and appeals of determinations and appeals in accordance with CRS 8- 13-3-501. 5- 30. FAMLI leave and/or benefits may be approved for the following conditions:

A. Because of birth, adoption or placement through foster care, or caring for a new child during the first year after the birth, adoption or placement of that child;

B. Caring for a family member (as defined by the program) with a serious health condition;

C. The employee’s own serious health condition (as defined by the program);

D. Because of any qualifying exigency leave (as defined by the program);

E. Has a need for safe leave (as defined by the program).

F. Pregnancy and/or childbirth complications (as defined by the program).

G. Neonatal care leave (as defined by the program). (07/01/2026) 5- 31. To receive FAMLI leave and/or benefits, an employee shall meet all eligibility criteria of the program, file a claim with the FAMLI Division, and be approved by the program. 5- 32. All other types of leave, compensatory time, and make whole payments under short-term disability run concurrently with FAMLI and do not extend the time to which the employee is entitled. The employee may elect, in writing, to use their accrued paid leave, subject to the conditions for use of such leave, in order to make whole their FAMLI benefit. (07/01/2025)

A. Should the reason for FAMLI leave also qualify under the Family and Medical Leave Act (FMLA) and/or the Family Care Act (FCA), the leaves shall run concurrently. (07/01/2025)

B. Unpaid leave rules apply to any FAMLI leave, except the state continues to pay its portion of insurance premiums. An employee’s condition that also qualifies for short-term disability benefits shall comply with the requirements of that plan. (07/01/2025)

C. Employees shall provide proper medical certification, including additional medical certificates and fitness-to-return certificates as prescribed in Rules 5- 36 through 5-39. If the employee does not provide the required initial and additional medical certificates, the leave may not qualify as FML and may be denied as such.

D. Repeal. (07/01/2025) 5- 33. Employer Requirements. The appointing authority, human resources director, or FMLA coordinator shall notify the employee of the FAMLI program upon hire and upon learning of a condition under Rule 5-30, based on the information provided by the employee and in accordance with the program’s requirements. The employer shall not take retaliatory personnel action or count paid FAMLI leave taken as an absence that may lead to or result in discipline, discharge, demotion, suspension or any other adverse reaction. (07/01/2025)

A. An employee receiving FAMLI benefits who has been employed with the state for at least 180 days prior to the commencement of FAMLI leave, shall be restored to their position (or an equivalent position) upon return from leave. (07/01/2025) 5- 34. Employee Requirements. Written notice of intent to file a FAMLI claim shall be provided by the employee thirty (30) days in advance of the start of leave. If an employee becomes aware of the need to file a FAMLI claim less than thirty (30) days in advance, the employee shall provide notice either the same day or the next business day. The employee shall work with their department to actively elect or waive in writing to make whole their FAMLI benefit using their accrued paid leave. 5- 35. The employee shall consult with the appointing authority to: establish a mutually satisfactory schedule for intermittent treatments and a periodic check-in schedule; report a change in circumstances; make return to work arrangements, etc.

FML Medical Certificates (07/01/2025) 5- 36. Employees shall provide the State’s authorized medical certification form (or other official document containing the same information) when initiating an FML leave request. Appointing authorities have the discretion to require periodic medical certification to determine if FML continues to apply or when the appointing authority has a reasonable basis for suspecting FML leave abuse.

Medical certification for FML may be required for the first leave request in an employee's rolling twelve (12) month period. Additional medical certification may be required every thirty (30) days or the time period established in the initial certification, whichever is longer, unless circumstances change or new information is received. (07/01/2025)

A. The medical certification shall be completed by a health care provider as defined in federal law. The completed medical certification shall be returned within fifteen (15) days from the appointing authority’s request. If it is not practical under the particular circumstances to provide the requested medical certification within fifteen (15) days despite the employee's diligent, good faith efforts, the employee shall provide the medical certification within a reasonable period of time involved, but no lat er than thirty (30) calendar days after the initial date the appointing

authority requested such medical certification. (02/2017)

B. Failure to provide the medical certification shall result in denial of leave and possible corrective/disciplinary action. (7/1/13) 5-37. When incomplete medical certification is submitted, the employee shall be allowed seven (7) days to obtain complete information, absent reasonable extenuating circumstances. (7/1/13)

A. Following receipt of the information or the seven (7) days from which it was requested, the department’s human resources director or FMLA coordinator may contact the health care provider for purposes only of clarification and authentication of the medical certification. The employee’s written permission is required prior to requesting clarification, but is not needed for authentication. (12/1/2023) 5-38. When medical certification is submitted to demonstrate that the leave is FMLqualifying, the department has the right to request a second opinion on the initial certification. If the first and second opinion conflict, the department may require a binding third opinion by a mutually agreed upon health care provider. Under both circumstances the cost is paid by the department. Second and third opinions are not permitted on additional certification for recertification purposes. (02/2017) 5- 39. If an absence is more than thirty (30) days for the employee’s own condition, the employee shall provide a fitness-to-return certificate. The fitness-to-return certificate may be required for absences of thirty (30) days or less based on the nature of the condition in relation to the employee’s job. The department may also require a fitness-to-return certificate from employees taking intermittent FML every thirty (30) days if there are reasonable safety concerns regarding the employee’s ability to perform their job duties. (07/01/2025)

A. When requested, employees shall present a completed fitness-to-return certificate before they will be allowed to return to work. Failure to provide a fitness-to-return certificate as instructed could result in delay of return, a requirement for new medical certification, or administrative discharge as defined in Rule 5-6. (7/1/13)

B. When an incomplete fitness-to-return certification is submitted, the employee shall be allowed seven (7) days to obtain complete information, absent reasonable extenuating circumstances. Following receipt of the information or the seven (7) days from which it was requested, the department's human resources director or FMLA coordinator may, with the employee’s written permission, contact the health care provider for purposes only of clarification and authentication of the fitness-to-return certification. (02/2017) 5- 40. Benefits coverage continues during FML and state family medical leave. If the employee is on paid FML or state family medical leave, premiums will be paid through normal payroll deduction. If the FML or state family medical leave is unpaid, the employee shall pay the employee share of premiums as prescribed by benefits and payroll procedures. (11/1/2019) 5- 41. Upon return to work, the employee is restored to the same, or an equivalent, position, including the same pay, benefits, location, work schedule, and other working conditions. If the employee is no longer qualified to perform the job (e.g., unable to renew an expired license), the employee shall be given an opportunity to fulfill the requirement. (11/1/2019)

A. If the employee is no longer able to perform the essential functions of the job due to a continuing or new serious health condition, the employee does not have restoration rights under FML or state family medical leave, and the appointing authority may separate the employee pursuant to Rule 5- 6 subject to any applicable ADA provisions. (11/1/2019)

B. The employee does not have restoration rights if the employment would not have otherwise continued had the FML or state family medical leave not been taken, e.g., discharge due to performance, layoff, or the end of the appointment. (11/1/2019) 5- 42. FML and state family medical leave do not prohibit adverse action that would have otherwise occurred had the leave not been taken. (11/1/2019) 5- 43. The use of FML or state family medical leave cannot be considered in evaluating performance. If the performance plan includes an attendance factor, any time the employee was on FML or state family medical leave cannot be considered.

(11/1/19) 5- 44. Records. Federal law requires that specified records be kept for all employees taking FML. These records shall be kept for three (3) years. Any medical information shall be maintained in a separate confidential medical file in accordance with ADA requirements and Chapter 1, Organization, Responsibilities, Ethics, Payroll Deduction, and Definitions. (02/2017)

Injury Leave 5- 45. Injury Leave. A permanent employee who suffers an injury or illness that is compensable under the Workers’ Compensation Act shall be granted injury leave up to ninety (90) occurrences (whole day increments regardless of the actual hours absent during a day) with full pay if the temporary compensation is assigned or endorsed to the employing department. In no event shall salary continuance under injury leave be less than the amount the employee would be entitled to under Workers’ Compensation. Injury Leave is not an accrued leave type. It is a salary-continuance benefit as allowed under the Colorado Workers’ Compensation Act. Injury leave shall not be subject to an appointing authority’s discretion. Injury Leave runs concurrently with all other leave types and leave protections. (07/01/2026)

A. If after ninety (90) occurrences of injury leave an employee still is unable to work, the employee is placed on leave under the “make whole” policy, unless FML or state family medical leave apply where the employee may elect to make whole. The employee will receive temporary disability benefits pursuant to the Colorado Workers’ Compensation Act. The employing department will make up the difference between the temporary disability benefits and the employee’s base pay, excluding premium pay or differentials, using accrued sick leave first, then annual leave or compensatory time as available. Once all paid leave is exhausted, employees may be given unpaid leave. Workers’ compensation payments after termination of injury leave shall be made to the employee as required by law. (07/01/2026)

B. The appointing authority may invoke Rule 5-6 if the employee is unable to return to work after exhausting all accrued paid leave and applicable job protection. Termination of service under that rule will not affect continuation of payments under the Workers’ Compensation Act.

C. If the employee’s temporary compensation payment is reduced because the injury or occupational disease was caused by willful misconduct or violation of rules or regulations, the employee shall not be entitled to or granted injury leave. If FML or state family medical leave does not apply, any absence shall be charged using sick leave first, then annual leave or compensatory time on a “make whole basis” or, at the appointing

authority’s discretion, unpaid leave may be granted and the temporary compensation payments shall be made to the employee. (07/01/2025)

D. The first three (3) regular working days missed as a result of a compensable work injury will be charged to the employee's sick leave, then annual leave or compensatory time, as available. Injury leave will only be granted once an eligible employee misses more than three (3) regular working days. Sick or annual leave for the first three (3) regular working days will be restored if the employee is off work for more than two (2) weeks. (02/2017)

E. If a holiday occurs while an employee is on injury leave, the employee receives the holiday and the day is not counted as an injury leave occurrence.

Disaster and Public Health Emergency 5- 46. Public health emergency leave, as defined in the Healthy Families Workplaces Act, shall be granted to a temporary or permanent employee for the cause of a disaster or public emergency declared by the Governor or a federal, state, or local public health agency. (01/01/2021)

A. Employees are eligible for up to eighty (80) hours of paid leave (based on anticipated work schedule hours during the period of leave for part-time) during the entirety of a public health emergency even if such public health emergency is amended, extended, restated, or prolonged. Public health emergency leave may be used for the following reasons:

1. Needing to self-isolate because the employee is diagnosed or experiencing symptoms of the communicable illness;

2. Seeking or obtaining medical diagnosis, care or treatment, preventative care, or care of such illness;

3. Being exposed to, or experiencing symptoms of, such illness;

4. Being unable to work due to a health condition that may increase susceptibility or risk of such illness;

5. Caring for a child or other family member for reasons 1, 2, or 3 above, or whose school, child care provider, or other care provider is either unavailable, closed, or providing remote instruction due to the public health emergency; or 6. Closure of the temporary employee’s work location, and work cannot be performed remotely. (01/01/2021)

B. Permanent employees may receive administrative leave due to closure of work location caused by the disaster or public emergency of work location, and work cannot be performed remotely. (01/01/2021)

C. Public health emergency leave may be used up to four (4) weeks after the suspension of the public health emergency. (01/01/2021) 5-47. During the declaration of a state of emergency by the Governor, as defined in the Colorado Disaster Emergency Act, in the event that daycares, schools or other care services are closed, impacted employees shall first work with their supervisor to determine if working from home or a schedule adjustment will allow them to continue working. If these measures do not allow for the employee to continue to work, then employees may use any accrued leave to care for their family members, including but not limited to domestic partners, in-laws and step relatives. Special consideration will be given to any other person whose association with the employee is similar to that of a family member. (08/01/2020)

Chapter 6 Performance

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”.

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 medical pay plan. (07/01/2025)

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;

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 may result in corrective or disciplinary action. (07/01/2025)

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 rating shall be effective until a final rating is completed. (07/01/2025)

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 videoconferencing.

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 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.

Chapter 7 Separation

Authority for rules promulgated in Chapter 7, Separation, is found in the Colorado Constitution Art. XII, § 13, 14 and 15; and in C.R.S. §§ 24-50-109.5, 24-50-124, 24-50- 126 and 24-50-136, C.R.S. Board rules are identified by cites beginning with “Board

Rule”. Chapter 7, Separations, revised as of 02/01/2021, unless otherwise noted.

Board Rule 7-1. The appointing authority shall communicate, or make a reasonable effort to communicate, with an employee before conducting any involuntary separation. The communication may be verbal or written, and shall provide an opportunity for the appointing authority and employee to exchange information about the separation. If the involuntary separation is an administrative discharge, the appointing authority shall comply with the rules in Chapter 5, Time Off. If the involuntary separation is a disciplinary action, the appointing authority shall comply with the rules in Chapter 6, Performance.

Resignations and Job Abandonments Board Rule 7-2. Resignations.

A. Written notice of resignation. An employee shall give written notice of resignation directly to the appointing authority at least fourteen (14) days before the employee’s last day of work. An email to the appointing

authority satisfies the requirement of a written notice of resignation.

1. The employee and appointing authority may mutually agree to less than fourteen (14) days between the resignation and the employee’s last day of work.

2. An employee’s failure to provide at least fourteen (14) days’ notice may result in a delay in any payout of leave and a forfeiture of reinstatement privileges.

B. Verbal notice of resignation. An employee who gives verbal notice of resignation of at least fourteen (14) days before the employee’s last day of work should note that verbal notifications may delay any leave payout and result in a forfeiture of reinstatement privileges.

C. Withdraw of resignation. An employee may withdraw a resignation only if the employee requests to withdraw the resignation within seventy-two (72) hours of when the employee first gave notice of the resignation or if permitted at the discretion of the employee's appointing authority. The employee's request to withdraw the resignation must be in writing to the appointing authority or to human resources. An email to the appointing

authority or to human resources satisfies the requirement of a written withdrawal.

D. Confirmation of resignation. After seventy-two (72) hours from when the employee gives notice of the resignation, but prior to the employee’s termination date, the department shall give the employee a written Confirmation of Resignation that includes the following:

1. Confirmation that the department received employee’s notice of resignation, the date of the resignation, the date of the employee’s last day at work, and the termination date if different from the last day of work;

2. A statement that if the employee believes the resignation was coerced or forced, the employee may appeal the resignation to the Board;

3. A statement that the deadline for filing an appeal to the Board is ten (10) days from the date of delivery of the Confirmation of Resignation; and 4. The Board's physical address, email address, website, telephone E. Delivery of the Confirmation of Resignation. Proof of delivery of the Confirmation of Resignation may be established by:

4. A dated return receipt from the United States Postal Service;

5. A dated return receipt from a commercial delivery service provider;

6. The employee’s signature affixed to the Confirmation of Resignation;

7. An affidavit of hand-delivery; or 5. An affidavit attesting that the sender transmitted the Confirmation of Resignation to a valid email address combined with a copy of the email.

Board Rule 7-3. Resignations in lieu of disciplinary action. If an employee resigns in lieu of disciplinary action, the employee forfeits the right to file an appeal to the Board.

Board Rule 7-4. Job Abandonment.

A. If an employee is absent without approved leave and advance notice for three (3) scheduled consecutive working days, the appointing authority, after making a reasonable effort to communicate with the employee, may construe the absence as a job abandonment and therefore an automatic resignation.

1. In the case of a documented medical condition, employees may seek leave retroactively if the medical condition was of such nature that it prevented the employee from providing advance notice. In the event an employee provides medical documentation showing that the employee was unable to provide advance notice, appointing authorities shall not construe the absence as an automatic resignation.

B. Confirmation of Job Abandonment. The appointing authority shall give the employee a written Confirmation of Job Abandonment that includes the 1. The dates of the employee’s absence without approved leave;

2. A statement that the absence is construed as an automatic resignation;

3. The effective date of the employee’s termination;

4. A statement of whether the employee is eligible or not for rehire;

5. A statement that if the employee believes the absence was justified, the employee may appeal the separation to the Board;

6. A statement that the deadline for filing an appeal to the Board is ten (10) days from the date of delivery of the Confirmation of Job Abandonment; and 7. The Board's physical address, email address, website, telephone C. Proof of delivery of the Confirmation of Job Abandonment may be established by:

7. A dated return receipt from the United States Postal Service;

8. A dated return receipt from a commercial delivery service provider;

9. The employee’s signature affixed to the Confirmation of Job Abandonment;

10. An affidavit of hand-delivery; or 5. An affidavit attesting that the sender transmitted the Confirmation of Job Abandonment to a valid email address combined with a copy of the email.

D. Employees who abandon their jobs may be ineligible for rehire.

Layoff Principles Board Rule 7-5. Appointing authorities shall consider alternatives to minimize or avoid the need for layoffs of employees in the state personnel system.

Board Rule 7-6. Department heads shall administer the layoff process in accordance with this Chapter 7, Separation. Appointing authorities cannot use the layoff process as a substitution for discipline. The layoff process does not preclude appointing authorities from taking personnel actions, including discipline. 7- 7. The only reasons for layoff are lack of funds, lack of work, or reorganization. The following applies to any reduction in force that results in the elimination of one or more occupied positions regardless of the reason for layoff:

A. For any and all layoffs, department heads have the discretion to make the business decisions as to how their department will continue to meet its mission after engaging in the layoff process. These decisions include:

1. How to meet any constitutional or statutory mandates;

2. Determining which classes or class series will best help the department meet its mission; and 3. The level of staffing by various classifications and/or class series and the department functions to be staffed, either by facility location or department-wide.

B. Department heads may delegate this authority to make any of the business decisions to subordinate appointing authorities within the department.

1. Such delegation shall be in writing and describe the parameters of the business decisions to be made by the subordinate appointing

authority. 7- 8. Layoff Plan: After the department makes its business decisions for all layoffs and ten (10) days prior to issuing the first (1st) layoff notice, the department shall publish a Layoff Plan, signed by the department head or designee, both in a conspicuous place where all impacted parties have access to view the publication and on the department’s internet or intranet websites.

A. The purpose of the Layoff Plan is to facilitate open and transparent strategic planning prior to the elimination of any positions and/or services.

B. The Layoff Plan shall include the following:

1. A description of the planned changes in the fundamental structure, positions, or functions accountable to one or more appointing authorities;

2. If applicable, a list of the ranking factors and their relative weights, including how ties will be broken; (07/01/2025)

3. An organizational chart setting out the planned changes in the fundamental structure, positions, or functions accountable to one or more appointing authorities;

4. The reasons for the change;

5. The anticipated benefits and results, including any cost savings;

6. A general description of the expected changes and their effects on employees;

7. If applicable, a description of how the work performed by the eliminated positions will be absorbed by the department;

8. A listing of the classes in which positions will be eliminated as contemplated in the Layoff Plan; and 9. If there have been any modifications to the special qualifications for positions affected by the Layoff Plan within sixty (60) days or less prior to publication of the Layoff Plan, a list of such positions.

C. When a function and position are transferred to another department, the employee occupying the position transfers.

Board Rule 7-9. After the department publishes its Layoff Plan, the layoff of individual employees shall be made in accordance with the procedures in

Chapter 7, Separation, for determining the priorities for layoff.

Procedures for Determining Priorities for Layoff 7- 10. In making layoff decisions, appointing authorities shall rank employees based upon seniority, performance and applicable veterans’ preference.

Board Rule 7-11. Seniority is the total number of years of state service plus any veterans’ preference.

A. State service includes all employment for the State of Colorado even if employed outside the state personnel system.

B. Veterans who have completed less than twenty (20) years of active military service receive a preference in calculating seniority by adding years of active military service to the total number of years of state service, up to ten (10) years.

C. The calculation of the years of state service and active military service is rounded up for partial years. 7- 12. Layoff Ranking: If applicable, the department head shall establish the ranking formula for the affected area(s). The formula shall be consistently applied to any certified employee affected by the layoff process for the affected area(s). The formula shall be communicated to all employees within the layoff plan.

Employees with lower rankings shall be separated before employees with higher rankings except as follows:

A. As set forth in the Colorado Constitution Art. XII, Section 15, no veteran with equal or greater number of years of service can be displaced before a non-veteran regardless of rank.

B. If there is a tie under the department’s formula, the employee with more seniority shall be the higher ranked employee. If the employees are still tied, then the department has the discretion to determine how to break the tie. This must be included in the layoff plan. (07/01/2025)

C. Probationary employees shall be separated before certified employees. 7- 13. When a person is separated from state service based upon documented lack of funds, lack of work or reorganization, an appointing authority shall consider placing the person into a vacant funded position for which they qualify. An appointing authority should consider prior experience, past performance and tenure in making such decisions.

Board Rule 7-14. Trial service employees are treated as if certified in the trial service class during the layoff process. Conditional employees will be considered according to their previously certified class.

Layoff Notice Requirements 7- 15. The department shall publish the Layoff Plan at least fifty-five (55) days before the layoff is effective.

A. These fifty-five (55) days shall include at least 45 days’ notice to a certified employee that their position is being eliminated and they are being separated.

B. The layoff notice shall include appeal rights.

C. Proof of delivery of a layoff notice may be established by:

1. A dated return receipt from the United States Postal Services;

2. A dated return receipt from a commercial delivery provider;

3. The employee’s signature and date affixed to the layoff notice;

4. An affidavit of hand-delivery; or 5. An affidavit attesting that the sender transmitted the Layoff Notice to a valid email address combined with a copy of the email.

D. The department must provide written notice to probationary employees who are to be laid off at least fourteen (14) days before the layoff is effective. 7- 16. Upon publishing the Layoff Plan, the department shall give written notice to the certified employee organization that the Layoff Plan has been published. An email to the certified employee organization’s executive director satisfies this written notice requirement.

Retention Rights Board Rule 7-17. Certified employees who, as of January 1, 2013, were within five years of being eligible for full retirement under C.R.S. section 24-51-602(1)(a) shall have retention rights.

A. In making retention decisions when there is more than one employee eligible for retention rights, a department shall rank eligible employees based upon performance and seniority.

B. Unless the Board approves a request to limit the retention area, eligible employees shall have retention rights throughout their department. If a department requests to limit the retention area, it shall submit the request in writing to the Board at least four (4) weeks before the monthly Board meeting and must concurrently serve the request on all affected employees. Within two (2) weeks of receipt of the request to limit the retention area, anyone opposing the request may submit a written opposition to the Board. Departments shall obtain Board approval to limit the retention area at least thirty (30) days before publication of the Layoff Plan.

C. An eligible employee shall meet the minimum qualifications and any bona fide special qualifications in order to have retention rights to a position.

D. The department shall offer retention rights to eligible employees in the following order:

1. To a funded vacant position in the same class as the eligible 2. To an occupied position in the same class as the eligible employee if the person occupying the position is a probationary employee.

2. To a funded vacant position in a previously certified class of the eligible employee.

3. To an occupied position in a previously certified class of the eligible employee if the person occupying the position is a probationary 5. To a position in the same class as the eligible employee that is occupied by a certified employee.

4. To an occupied position in the same class series as the eligible employee that is occupied by a certified employee. In such event, the offer shall be to the highest level position in the same class series that does not result in a promotion.

E. If there are multiple occupied positions that an eligible employee may retain at any step in this order, then the lowest ranked employee based on performance and seniority shall be displaced first.

F. If the only available position at any step in this order falls outside a seventy-five (75) mile radius of the eligible employee’s current work location, then the eligible employee may proceed to the next step. If the eligible employee accepts an offer outside of the seventy-five (75) mile radius, the employee can claim moving expenses as permitted by fiscal

rule.

G. When eligible employees exercise retention rights to a position, saved pay applies for a period of three (3) years after exercising retention rights.

After three (3) years, the eligible employee's base pay shall not remain above the grade maximum for the position.

H. If an eligible employee refuses a retention offer, the employee is laid off and placed on the departmental reemployment list.

Reallocation 7- 18. If a position is allocated downward and the employee elects not to remain in the position or if a position is allocated upward and the employee does not qualify, is not appointed or elects not to remain in the position, the employee will be separated or, given retention rights pursuant to the provisions of Chapter 7, Separation. If a certified employee is separated or demoted due to an upward or downward allocation or layoff, the employee is placed on a departmental reemployment list.

Appeals Board Rule 7-19. All employees who are separated or who are upwardly or downwardly allocated to a different class in the course of a layoff shall have a mandatory right to a hearing before the Board. Acceptance of retention rights to another position does not eliminate the employee’s appeal rights. Appeals shall be filed according to the procedures in Chapter 8, Dispute Resolution.

Recordkeeping Board Rule 7-20. Department heads shall provide any required or requested information to the Director or Board in a timely manner as requested.

Chapter 8 Resolution of Appeals and Disputes

Authority for rules promulgated in Chapter 8, Resolution of Appeals and Disputes, is found in the Colorado Constitution Art. XII §13, § 24-34-402, 24-11-110, 24-50-101, 24- 50-103, 24-50-104, 24-50-104.5, 24-50-123, 24-50-125, 24-50-125.3, 24-50-125.4, 24- 50-125.5, 24-50-131, 24-50-132, and 24-50.5-101 to 107, C.R.S. Board rules are identified by cites beginning with “Board Rule”.

Board Rule 8-1. Chapter 8, Resolution of Appeals and Disputes, Part A contains the State Personnel Board Rules that govern appeals and includes the following:

• Section I: Overview & Filing with the Board.

• Section II: Grievances.

• Section III: Mandatory Board Hearings.

• Section IV: Discretionary Board Hearings & Preliminary Review Process.

• Section V: Petitions for Declaratory Orders.

• Section VI: Rules for Hearings.

• Section VII: General Provisions.

• Section VIII: State Personnel Board Review of Initial Decisions and other final orders issued by an Administrative Law Judge.

• Section IX: Settlement Process.

Chapter 8, Part A. Board Rules for Appeals.

Part A. Section I. Overview & Filing with the Board Board Rule 8-2. Chapter 8, Resolution of Appeals and Disputes applies to employees of and applicants to the state personnel system. Chapter 8, Resolution of Appeals and Disputes does not apply to individuals outside of the state personnel system.

Board Rule 8-2.1 Summary of Chapter 8, Part A The summary is illustrative only. The language in the Board Rules is controlling. There are many parts of Chapter 8 that are not included in this summary.

Filing with the Board An employee wanting to file an appeal with the Board shall follow the filing procedures in Chapter 8, Part A, Section I. The appeal shall use the standard Consolidated Appeal/Dispute Form found on the Board’s website. Appeals are timely if received by the Board or postmarked no later than ten (10) days after receipt of the written notice of the action, or if no notice was required, no later than ten (10) days after the employee knew or should have known of the improper action.

Types of appeals in Chapter 8, Part A

Chapter 8 includes the procedures for resolving appeals and disputes. Appeals proceed depending on the nature of the employee’s claim: (1) Grievances (Part A,

Section II), (2) Disciplinary actions and actions that impact pay, status, or tenure (Part A, Section III), (3) CADA Discrimination (Part A, Section IV); (4) Whistleblower Act (Part A, Section IV); and (5) State Personnel Director’s Procedures (Parts B, C, and D). In general, disciplinary actions and actions that impact a certified state employee’s pay, status, or tenure are subject to a mandatory hearing before the Board. In general, grievance appeals, CADA discrimination claims, and Whistleblower Act claims are subject to a discretionary hearing before the Board. If an employee alleges claims that are subject to both a mandatory and a discretionary hearing, the Board may hear those claims in a single proceeding.

1. Grievances An employee who is attempting to resolve a dispute internally should follow the grievance process and may file an appeal of a Step Two Grievance Decision to the Board. For example, an employee disputes a change to the employee’s work schedule. The Board may use its discretion to review a Step Two Grievance Decision when it appears that: (a) the employment action violates the Whistleblower Act; (b) the employment action violates the Colorado Anti-Discrimination Act (“CADA”); (c) the Step Two Decision violates an employee’s rights under the federal or state constitution; or (d) the Step Two Decision violates the Board’s grievance rules or the department’s grievance procedures.

Part A. Section II: Grievances.

Part A. Section IV: Discretionary Board Hearings & Preliminary Review.

2. Discipline and Actions that impact Pay, Status, or Tenure A certified state employee may appeal a disciplinary action (such as a termination or demotion). A certified state employee may also appeal other actions that adversely affect the employee’s pay, status, or tenure (such as a layoff or administrative separation). The Board will grant a hearing and issue a Notice of Hearing and Prehearing Order.

Part A. Section III: Mandatory Hearings.

Part A. Section VI: Rules for Hearings.

3. CADA Discrimination and Retaliation Employees and applicants may appeal employment actions that violate the Colorado Anti-Discrimination Act (“CADA”). For example, the employee claims the action occurred because of race discrimination. CADA also prohibits retaliation. The Board may use its discretion to review these types of employment actions.

Part A. Section IV. Discretionary Board Hearings & Preliminary Review.

4. Whistleblower Retaliation Employees may appeal employment actions that violate the State Employee Protection Act (commonly referred to as the “Whistleblower Act”). For example, the employee claims the action occurred in retaliation for making protected disclosures.

The Board may use its discretion to review these types of employment actions.

Part A. Section IV. Discretionary Board Hearings & Preliminary Review.

5. State Personnel Director’s Review: selection, performance management, and coverage designation.

An applicant’s or a certified employee’s appeal may fall within the State Personnel Director’s Review process.

Part B. Section I: Filing with the Director.

Part B. Sections I and II: Selection disputes.

Part C: Performance management disputes.

Part D: Coverage designation disputes.

6. Exclusions Employees do not have the right to a hearing in the following situations:

• Discipline of probationary employees for unsatisfactory performance;

• Reversion of trial service employees for unsatisfactory performance;

• Demotion of conditional employees to the class in which last certified;

• Resignations in lieu of a disciplinary action.

However, employees may ask the Board to grant a discretionary hearing in the above-listed situations if the situation falls under Chapter 8, Part A, Section IV.

The following items are not subject to the grievance process:

• Disciplinary actions;

• Any action that adversely affects pay, status, or tenure;

• Selection disputes;

• Performance management disputes that do not result in a disciplinary action;

• Coverage designation disputes;

• In-range salary movements;

• Issues pertaining to leave sharing;

• Discretionary pay differentials; and • Hazardous duty premium pay Board Rule 8-3. All disputes may be resolved informally. Parties with appeals pending before the Board are encouraged to use the settlement process in

Chapter 8, Resolution of Appeals and Disputes, Part A, Section IX.

Board Rule 8-4. Notice of Appeal Rights. Applicants and employees shall be notified, in writing, of any rights to dispute a final department decision that adversely impacts pay, status, or tenure and any final grievance decisions or selection decisions.

A. The notice shall include a statement that the deadline for filing an appeal to the Board is ten (10) days from the date of receipt of the notice, the Board's physical address, email address, website, telephone and facsimile numbers, the requirement that the appeal shall be in writing, and the availability of the Consolidated Appeal/Dispute Form.

Board Rule 8-5. Appealing to the Board.

A. The Appeal. The appeal shall use the standard Consolidated Appeal/Dispute Form found on the Board’s website.

B. Contents of the Appeal. The appeal shall clearly state the following:

1. Identification of the person filing the appeal (“Complainant”), Complainant’s address, telephone number, email address and whether Complainant is a certified employee or a probationary 2. The name, address, email address and telephone number of Complainant’s legal representative, if any.

2. The department (“Respondent”) that took the alleged improper action.

3. The action that Complainant believes was improper and the reasons Complainant disagrees with the action.

4. The date Complainant received notice of the action and a copy of the written notice, if one was provided.

5. The relief requested.

6. The appeal shall indicate if it is being filed with the Board, the Director, or both.

7. The appeal shall be signed by Complainant or Complainant’s attorney.

C. Filing the Appeal. The appeal shall be filed according to rules in Chapter 8, Resolution of Appeals and Disputes, Part A, Section I.

Board Rule 8-6. Where to File. Appeals and other documents may be filed by hand delivery, United States Postal Service, commercial delivery service, facsimile, or via email.

A. The physical address for filing is State Personnel Board, 1525 Sherman Street, 4th Floor, Denver, Colorado 80203.

1. Normal business hours for the Board are from 8:00 a.m. to 5:00 p.m., Monday through Friday, except for official state holidays or days that state offices in Denver are closed due to weather or safety by governor order.

B. The facsimile number is 303-866-5038. Facsimile filings may not exceed ten (10) pages.

C. Filings Via Email.

1. The Board’s email address is dpa_state.personnelboard@state.co.us.

2. The subject line for the filing via email shall include:

a. Case name;

b. Case number (if a new appeal, write “New Appeal”); and c. The phrase “Electronic Filing.”

d. Example: “Doe v. Department (2020B879) (Electronic Filing)” and “Doe v. Department (New Appeal) (Electronic Filing)”.

3. The appeal, motion, or other filings must be attached to the email as a PDF document. The Board will only consider the contents of the attached document. The Board will not consider information in the text of the email. The email is not a filing; rather the email is a method for parties to file something with the Board.

4. As with any filing, the attached filings shall be signed. This can be done by signing the document and scanning the document with the signature. This can also be done by writing or typing “/s/” followed by the filer’s full name on the signature block line, so long as the person filing the document signs a paper form of the document and makes that form available for situations where a judge might seek verification of the signature.

5. Upon its receipt of a filing via email, the Board will send the filing party an email stating “Received.” If disputed, that email may be used by a party as proof of filing. The email will not be part of the record.

Board Rule 8-7. Filing Deadlines.

A. Appeals or petitions for hearing are timely if received by the Board or postmarked no later than ten (10) days after receipt of the written notice of the action, or if no notice was required, no later than ten (10) days after the employee knew or should have known of the alleged improper action.

B. Other documents filed with the Board are due according to the deadlines in Chapter 8, Resolution of Appeals and Disputes, Part A, or as set in a Board Order.

C. If a deadline falls on a weekend, official state holiday, or office closure by governor order, the deadline is extended to the next regular business day.

D. Any motion to extend a deadline shall be filed prior to the deadline.

E. Other than as set forth in part (A) of this Rule, all filings must be received by the Board by 5:00 p.m. Colorado time to be deemed to have been filed on that date F. Upon satisfactory proof that a filing via facsimile or email was untimely because of the Board's technology problems, the Board may enter an order deeming the filing as timely.

G. Failure to timely file an appeal may result in the Board losing jurisdiction over the matter and result in the dismissal of the appeal.

Board Rule 8-8. Requirements for all Board filings.

A. The appeal shall be filed in accordance to the requirements in Chapter 8, Resolution of Appeals and Disputes, Part A, Section I.

B. After the appeal has been filed, all documents filed with the Board shall contain the following:

1. The case number;

2. The names of the parties;

3. The title of the document;

4. The contact information for the party or the attorney filing the document, including email address, physical address, and phone number;

5. If the document is filed by an attorney, the attorney registration number; and 6. The signature of the party or the attorney filing the document. This signature is in addition to the signature on the certificate of service.

Board Rule 8-9. Service of Filings and Certificate of Service.

A. Whenever a party files anything with the Board, that party shall serve the opposing party with a copy. This service shall be done at the same time the party files the document with the Board.

B. Service to the opposing party shall be made by email. In the event the opposing party cannot be served by email, service may be accomplished by hand delivery, United States Postal Service, commercial delivery service, or facsimile transmission.

C. When an attorney represents a party, service shall be made to the attorney.

D. Any documents filed with the Board shall include a signed certificate of service. The certificate of service shall provide:

1. The address used to deliver a copy of the document to the opposing party (for example, the email address);

2. The method of delivery of the document to the opposing party (for example, sent email); and 3. The date of delivery of the document to the opposing party.

Board Rule 8-10. Size and Format of Filings. All documents filed with the Board shall be prepared as follows:

A. 8-1/2” x 11” page size, on plain, white paper (recycled paper preferred);

B. Black type or print;

C. No less than twelve (12) point font, excluding footnotes. Footnotes shall be no less than nine (9) point font;

D. Margins of at least one inch (1”) at the top, left, right, and bottom of each page; and E. If single-spaced, there shall be a blank line between each paragraph.

Part A. Section II. Grievances Board Rule 8-11. Actions Subject to the Grievance Process. The grievance process applies to all workplace actions except for: (a) disciplinary actions; (b) any action that adversely affects pay, status, or tenure; (c) selection disputes; (d) performance management disputes that do not result in a disciplinary action; (e) coverage designation disputes; (f) in-range salary movements; (g) issues pertaining to leave sharing; (h) discretionary pay differentials; and (i) hazardous duty premium pay.

Board Rule 8-12. Grievance - General Provisions.

A. The grievance process is designed to address and resolve problems at the lowest level possible.

B. Each department shall establish a grievance process. At a minimum, the department’s grievance process shall include the procedures in Chapter 8, Resolution of Appeals and Disputes, Part A, Section II.

C. Departments shall make their grievance processes readily available to employees. This requirement may be satisfied by posting the grievance process on the department’s website.

D. A grievance initiated within ten (10) days from the disputed action or occurrence suspends the deadline to file an appeal with the Board if the written grievance at Step Two asserts:

1. Discrimination or retaliation in violation of the Colorado Anti- Discrimination Act (“CADA”); or 2. Retaliation for disclosing protected information in violation of the Whistleblower Act.

Board Rule 8-13. Grievance Procedures.

A. Step One:

1. Initiating a Grievance. To initiate the grievance process, the employee shall notify the employee’s supervisor or another person within the employee’s chain of command. Such notification may be verbal, but must communicate that the employee is initiating Step One of the grievance process.

2. Deadline for Initiating a Grievance. The employee shall initiate the grievance process within ten (10) days from the disputed action or occurrence.

3. Step One Discussion. (a) The Step One Discussion shall include the employee and the supervisor or another person within the employee’s chain of command. (b) The Step One Discussion shall include ideas for resolving the matter. (c) The employee does not have the right to representation during the Step One Discussion. (d)

The Step One Discussion shall occur within fourteen (14) days from the employee initiating the grievance process.

4. Step One Decision. (a) The employee shall be informed in writing of the Step One Decision. (b) The Step One Decision is binding on the parties unless the employee proceeds to Step Two of the grievance process. (c) The department shall provide its Step One Decision to the employee within fourteen (14) days from the date of the Step One Discussion. (d) The Step One Decision shall state that if the employee initiates Step Two, the employee must provide a written grievance to the appointing authority within ten (10) days from receipt of the Step One Decision. (e) The Step One Decision shall identify the employee's appointing authority.

B. Step Two:

1. Written Grievance. To initiate Step Two of the grievance process, the employee shall provide a written grievance to the employee’s appointing authority. The written grievance shall include all of the reasons the employee believes the action or occurrence was improper. Only the issues raised in the written grievance will be considered in subsequent proceedings.

2. Deadline for Initiating Step Two. (a) The employee shall initiate Step Two of the grievance process within ten (10) days from receipt of the Step One Decision. (b) If the department fails to issue the Step One Decision within fourteen (14) days from the Step One Discussion, the employee may initiate Step Two without awaiting the Step One Decision but shall do so no later than twenty-one (21) days after the Step One Discussion.

3. Review of Step Two Grievance. (a) The appointing authority will review the grievance at Step Two of the grievance process unless the appointing authority appoints another person or a panel to investigate and/or make recommendations regarding the grievance.

(b) The appointing authority may delegate the Step Two Decision to another person or a panel.

4. Step Two Meeting. (a) The appointing authority or delegate will meet with the employee to gather information and/or attempt to resolve the grievance. (b) The Step Two Meeting shall occur within twenty-eight (28) days from the employee initiating Step Two. (c)

The employee may bring a representative to the Step Two Meeting that may or may not be an attorney. (d) A representative during the Step Two Meeting may participate and speak during the meeting but the employee is expected to answer any questions and actively participate.

5. Step Two Decision. (a) The employee shall be informed in writing of the Step Two Decision. (b) The department shall provide its Step Two Decision to the employee within fourteen (14) days from the date of the Step Two Meeting. (c) The Step Two Decision is binding on the parties unless the employee elects to appeal the Step Two Decision to the Board.

C. Any of the timeframes for completion of the grievance process may be waived or modified if agreed to by both parties, including deferral of action to allow the parties a chance to resolve the issue.

Board Rule 8-14. Deadline for Appealing Step Two Decision to the Board. (a) The employee shall file an appeal to the Board within ten (10) days from receipt of the Step Two Decision. (b) If the department fails to issue the Step Two Decision within forty-two (42) days from the date the employee initiated Step Two, the employee may appeal to the Board without awaiting the Step Two Decision but shall do so within fifty-two (52) days after initiating Step Two. (c) The Board may exercise its discretion to hear an appeal of a Step Two Decision under the Board Rules for discretionary hearings set forth in Part A, Section IV of this Chapter 8.

Board Rule 8-15. Effect of a Separation on a Pending Grievance.

A. If a grievant is separated from employment in the state personnel system, any grievance pending at the department level is ended.

B. If the grievant’s employment is restored at the same department, then the grievant may resume any grievance that had been pending at the time of the separation. To resume a grievance, the restored employee shall notify the supervisor in writing within ten (10) days after the employee’s return to work.

C. A separation does not preclude the Board from hearing a discrimination or a whistleblower claim related to the facts underlying a grievance.

Board Rule 8-15.1. Grievance Flowcharts The diagram is illustrative only. The language in the Board Rules is controlling.

Part A. Section III. Mandatory Board Hearings Board Rule 8-16. Appeals Subject to a Mandatory Hearing before the Board.

A. Except as provided in this Rule, any employment action that adversely affects a certified employee’s current base pay, status, or tenure may be appealed and will be set for hearing if timely filed. An adverse action includes the loss of rights to which an employee is entitled (including denial of reemployment rights or removal from a reemployment list).

B. Employees do not have the right to a hearing in the following situations;

1. Discipline of probationary employees for unsatisfactory performance;

2. Reversion of trial service employees for unsatisfactory performance;

3. Demotion of conditional employees to the class in which last certified; and 4. Resignations in lieu of a disciplinary action.

Board Rule 8-17. Hearing.

A. If the appeal is subject to a mandatory hearing before the Board, an Administrative Law Judge will issue a Notice of Hearing and Prehearing Order that sets the appeal for hearing.

B. The hearing will proceed pursuant to the rules set forth in Chapter 8, Resolution of Appeals and Disputes, Part A, Section VI.

C. If good cause is shown or upon agreement of the parties, an Administrative Law Judge may receive all or parts of the evidence by telephone, video-conferencing, or in written form.

Part A. Section IV. Discretionary Board Hearings & Preliminary Review Board Rule 8-18. Appeals Subject to the Board’s Discretion. The Board may use its discretion to grant a hearing for employment actions where the applicant or employee does not have a right to a mandatory hearing and when it appears that:

A. The employment action violates the State Employee Protection Act (commonly known as the “Whistleblower Act”);

B. The employment action violates the Colorado Anti-Discrimination Act (“ CADA”);

C. An appointing authority’s decision violates a rule or statute relating to the comparative analysis process. However, the Board may only review such decision after the Director has issued a final decision pursuant to § 24-50- 112.5(4), C.R.S.;

D. A department’s final grievance decision violates an employee’s rights under the federal or state constitution;

E. A department’s final grievance decision violates the Board’s grievance Rules or the department’s grievance procedures; or F. A final decision of the Director on a matter involving the overall administration of the state personnel system is arbitrary, capricious, or contrary to rule or law.

G. The Board cannot grant a hearing to a probationary employee who appeals discipline for unsatisfactory performance unless the employee alleges unlawful discrimination or other statutory or constitutional violation.

Board Rule 8-19. Petitioning the Board for a Discretionary Hearing.

A. Individuals wishing to request a discretionary hearing shall file an appeal with the Board using the Consolidated Appeal/Dispute Form. An appeal requesting a discretionary hearing is often referred to as a “Petition for Hearing.”

B. The Board shall grant or deny a Petition for Hearing within one hundred and twenty (120) days from the filing of the appeal with the Board.

C. If the Board grants a Petition for Hearing, the matter is set for hearing and proceeds in accordance to the Rules for Hearings in Chapter 8, Resolution of Appeals and Disputes, Part A, Section VI.

D. Upon receipt of a Petition for Hearing, an Administrative Law Judge will issue a Notice of Preliminary Review unless the petition alleges a violation of CADA or the Whistleblower Act.

Board Rule 8-20. Allegations of a Violation of the Colorado Anti-Discrimination Act (“ CADA”) . Pursuant to § 24-50-125.3, C.R.S., the Board has discretionary jurisdiction over claims of discrimination within the state personnel system.

A. CCRD Investigations. Upon receipt of an appeal on matters covered by the CADA, § 24-34-402, C.R.S., the Board will refer the matter to the Colorado Civil Rights Division (“CCRD”) for investigation and issue a Notice of Referral.

1. If the applicant or employee wants the CCRD to investigate the discrimination claim, the person shall file a charge of discrimination with the CCRD. The person shall file the charge with the CCRD within twenty (20) days from the date of the certificate of service of the Board’s Notice of Referral.

2. Within ten (10) days from filing a charge of discrimination with the CCRD, the applicant or employee shall file a verification with the Board indicating that a CCRD charge has been filed. If an individual fails to file a verification, the Board may deem that the individual has waived the CCRD investigation and the Board will proceed to reviewing the discrimination claim.

3. At any time prior to completion of the CCRD investigation, the applicant or employee may waive the CCRD investigation and the Board will then proceed to Preliminary Review or hearing.

4. If the allegation is against the CCRD, the Board will contract with a third party to investigate the matter.

5. The Board will issue a Notice of Preliminary Review or hearing after four hundred and fifty (450) days from the date the Board referred the matter to the CCRD even if the CCRD investigation is not completed.

B. CCRD Opinions.

1. When the CCRD completes its investigation, the CCRD issues a written opinion of probable cause or no probable cause. The CCRD provides its opinion to the Board. The Board then notifies the parties of the CCRD’s opinion and their right to appeal it to the Board within ten (10) days of receipt of the notification.

2. If the CCRD concludes there is probable cause of unlawful discrimination, the Board will set the matter for hearing.

3. If the CCRD concludes there is no probable cause of discrimination, the individual may file an objection with the Board within ten (10) days from the notification of the CCRD’s no probable cause opinion.

4. To file an objection of the CCRD opinion, the applicant or employee shall provide a written statement to the Board indicating that the individual requests the Board to decide the discrimination claim.

5. If an applicant or employee does not file an objection to the Board within ten (10) days from receipt of the notification of the CCRD’s no probable cause opinion, the discrimination claim will be deemed abandoned and will be dismissed.

6. If an applicant or employee files an objection to the Board within ten (10) days from receipt of the notification of the CCRD’s no probable cause opinion, the Board shall:

a. Set the matter for hearing or adopt the CCRD’s opinion as its own if the matter falls under § 24-50-125.3, C.R.S.; or i. For the Board to adopt the CCRD’s opinion, the CCRD’s findings must demonstrate that Complainant is unable to establish a prima facie case of discrimination as set forth in Bodaghi & State Personnel Board v. Department of Natural Resources, 995 P.2d 288 (Colo. 2000).

ii. Prior to adopting the CCRD's opinion, the Board shall issue an Order to Show Cause to the parties to show why the Board should not adopt the opinion.

b. Set the matter for Preliminary Review if the matter falls under § 24-50-123, C.R.S.; or c. Set the matter for hearing if the matter falls under § 24-50- 124 or § 24-50-125, C.R.S.

Board Rule 8-21. Allegations of a Violation of the Whistleblower Act. Pursuant to § 24-50.5-104, C.R.S., the Board has discretionary jurisdiction over claims of retaliation in violation of the Whistleblower Act filed by employees in the state personnel system.

A. Employees shall file both the Consolidated Appeal/Dispute Form and the Whistleblower Complaint Form. Both forms are available on the Board’s website.

B. The Board will notify the employee of the notice requirements of the Governmental Immunity Act, § 24-10-101, C.R.S., et seq.

C. The Board will refer the whistleblower complaint to the department.

D. The department shall respond to the whistleblower complaint as follows:

1. The department’s response shall provide substantive responses to each of the material allegations in the whistleblower complaint.

2. The department shall file its response within forty-five (45) days from the date the complaint was filed with the Board. A whistleblower complaint is deemed filed upon the Board’s receipt of the following three items: (a) A completed Consolidated Appeal/Dispute Form; (b) A completed Whistleblower Complaint Form; and (c) A copy of the written notice of the disciplinary action (if any).

E. Upon the department filing its response to the whistleblower complaint, unless the matter is stayed pending a CCRD investigation, the Board will issue a Notice of Preliminary Review or a Notice of Hearing.

Board Rule 8-22. Allegations Regarding the Comparative Analysis Process.

A. Pursuant to § 24-50-112.5(4)(e), C.R.S., the Board has discretionary jurisdiction to review final decisions of the Director regarding alleged violations of the comparative analysis process.

B. The Board may only grant the Petition for Hearing when it appears that the appointing authority’s decision violates the comparative analysis standards set forth in § 24-50-112.5, C.R.S., in any other provision of law, or in any Director’s Procedures relating to the comparative analysis Board Rule 8-23. Other Allegations Subject to the Board’s Discretion. The Board will issue a Notice of Preliminary Review upon the timely filing of an appeal that alleges:

A. A department’s final grievance decision violates the employee’s rights under the federal or state constitution;

B. A department’s final grievance decision violates the Board’s grievance Rules or the department’s grievance procedures; or C. A final decision of the Director on a matter involving the overall administration of the state personnel system was arbitrary, capricious, or contrary to rule or law.

Board Rule 8-24. The Parties’ Obligation to Disclose Information. Within fifteen (15) days from the date of the certificate of service of the Notice of Preliminary Review, the parties shall provide to each other the disclosures of documents as required in Part A, Section VI of this Chapter 8 for mandatory disclosures.

Board Rule 8-25. Information Sheets. After the Board issues a Notice of Preliminary Review, each party is required to file an Information Sheet.

A. Deadlines.

1. Complainant shall file an Information Sheet with the Board within twenty-five (25) days from the date of the Notice of Preliminary Review.

2. Respondent shall file its Information Sheet with the Board within ten (10) days from its receipt of Complainant’s Information Sheet.

3. Complainant may file a reply in further support of Complainant’s Information Sheet within five (5) days of Complainant's receipt of Respondent's Information Sheet.

B. Extension of Time. Motions for extension of time of more than five (5) days to file Information Sheets will not be granted.

C. Page Limits. Information Sheets are limited to ten (10) pages. Replies in further support of Complainant’s Information Sheet are limited to five (5) pages. These page limits do not include the case caption, signature block, certificate of service and exhibits.

D. Burden. The Complainant has the burden to persuade the Board that it appears the employment action violates the applicant’s or employee’s rights. In CADA cases, the Complainant meets their burden by establishing the four prongs of a prima facie case of discrimination as set forth in Bodaghi & State Personnel Board v. Department of Natural Resources, 995 P.2d 288 (Colo.2000), including that the evidence in the record supports or permits an inference of unlawful discrimination. In Whistleblower Act cases, the Complainant meets their burden by establishing disclosure of matters within the Whistleblower Act’s protections and that the disclosures were a substantial or motivating factor in the discipline. In cases alleging a violation of the grievance process, Complainant meets their burden by establishing facts showing that the department violated a Board Rule or department procedure governing grievances, the applicable Rule or Procedure, and that meaningful relief can be granted.

E. Content of Complainant’s Information Sheet. Complainant’s Information Sheet shall state the following information:

1. The facts Complainant is prepared to prove if a hearing is granted;

2. The legal arguments and authorities that support Complainant’s claims;

3. The names of all anticipated witnesses, together with a description of the person’s anticipated testimony;

4. A list of each exhibit that supports Complainant’s claims; and 5. A description of the remedy or relief sought by Complainant.

F. Content of Respondent’s Information Sheet. Respondent’s Information Sheet shall state the following information:

1. The facts Respondent is prepared to prove if a hearing is granted;

2. The legal arguments and authorities that support Respondent’s defenses;

3. The names of all anticipated witnesses, together with a description of the person’s anticipated testimony;

4. A list of each exhibit that supports Respondent’s defenses; and 5. A description of any remedy or relief sought by Respondent.

G. Filing Requirements for Information Sheets and Exhibits. In addition to the Board’s general requirements for all filings, the parties shall:

1. Carefully review all exhibits and redact any personal identifying information. Redactions shall include mailing and physical addresses, email address(es), telephone number(s), dates of birth, social security numbers, driver license numbers, passport numbers, employee identification numbers, military identification numbers, student identification numbers, health insurance identification numbers, biometric data, and any other personal identifying information; and 2. Provide the Board with an electronic version of the Information Sheets as a Word document and an electronic version of the exhibits as a PDF file. If creating electronic versions is not available to you, then please contact the Board for assistance.

Board Rule 8-26. Preliminary Recommendation.

A. An Administrative Law Judge will review the material presented by the parties in their Information Sheets.

B. An Administrative Law Judge will issue a Preliminary Recommendation indicating whether the judge recommends that the Board grant or deny a hearing.

C. The Preliminary Recommendation shall recite the parties’ factual allegations and legal arguments.

Board Rule 8-27. Board Decision Whether to Grant or Deny a Hearing.

A. The Board will consider the Preliminary Recommendation and render a decision whether to grant or deny a hearing pursuant to § 24-50-123(3), C.R.S.

1. In making its decision whether to grant or deny a hearing, the Board will only consider the Preliminary Recommendation and the material provided by the parties in their Information Sheets, including any exhibits.

B. If a hearing is granted, it will proceed in accordance with the Rules for Hearings in Chapter 8, Resolution of Appeals and Disputes, Part A,

Section VI.

C. If a hearing is denied, the Board will issue an order that includes further appeal rights.

Part A. Section V. Petitions for Declaratory Orders Board Rule 8-28. Any person may petition the Board to issue a Declaratory Order regarding the applicability of a statute, or Board Rule, or other legal authority.

However, parties to appeals pending before the Board shall not file Petitions for Declaratory Orders on issues raised in those appeals.

Board Rule 8-29. Form of a Petition for a Declaratory Order.

A. Petitions for Declaratory Orders shall conform to the filing requirements in

Chapter 8, Resolution of Appeals and Disputes, Part A, Section I.

B. Petitions for Declaratory Orders shall specify:

1. The statute or Board Rule or other legal authority that the petitioner requests the Board to entertain.

2. A description of the controversy or uncertainty giving rise to the petition.

3. Whether a Declaratory Order will remove the controversy or uncertainty.

4. Whether the petitioner has another avenue for resolving the controversy or uncertainty; and 5. Whether there is another proceeding pending before the Board, the CCRD, a court, or another department involving the controversy or uncertainty.

Board Rule 8-30. Review of a Petition for a Declaratory Order.

A. Upon receipt of a Petition for a Declaratory Order, an Administrative Law Judge may:

1. Order briefing on the issues presented in the Petition for a Declaratory Order; and/or 2. Hear oral arguments on the issues presented in the Petition for a Declaratory Order.

B. At its sole discretion, an Administrative Law Judge will either issue a Declaratory Order or notify the petitioner that a Declaratory Order is not being issued.

Board Rule 8-31. A Declaratory Order may be reviewed by the Board pursuant to

Chapter 8, Resolution of Appeals and Disputes, Part A, Section VIII. Following Board review, a Declaratory Order is subject to judicial review.

Part A. Section VI. Rules for Hearings Board Rule 8-32. Notice of Hearing. An Administrative Law Judge will issue a Notice of Hearing and Prehearing Order upon receipt of an appeal subject to a mandatory hearing, upon the Board granting a discretionary hearing, or when the Board does not adopt the CCRD’s opinion as its own. At the discretion of the Administrative Law Judge, the Notice of Hearing may be in the form of a Scheduling Conference.

Board Rule 8-33. Mandatory Disclosures.

A. Within twenty-one (21) days from the date of the certificate of service of the Notice of Hearing or of a Notice of Scheduling Conference, the parties shall provide to each other these mandatory disclosures:

1. Complainant shall produce all documents and recordings in Complainant's possession that are relevant to the factual allegations or claims at issue in the appeal. Complainant shall also produce any witnesses Complainant knows that may have information relevant to the factual allegations or claims, and a brief description of the information believed to be known by that witness.

If the Complainant is appealing a termination, the Complainant shall also produce all documents relevant to calculation of lost pay and benefits including:

i. Income and benefits of subsequent employment, including the last three (3) months of pay stubs.

(a) Respondent shall not contact a prospective or current employer to discover information about Complainant without providing Complainant ten (10) days notice so Complainant has an opportunity to file a motion for protective order or a motion to quash. If Complainant files such a motion, Respondent shall not initiate contact until the motion is ruled upon.

ii. Unemployment benefit documents that are relevant to any calculation of damages.

2. Respondent shall produce all:

a. Documents in the Complainant’s personnel file;

b. The relevant personnel policies and employee handbooks;

c. The materials discussed by the appointing authority during the Rule 6-10 meeting and any of its recordings of the meeting;

d. Documents and recordings relevant to the factual allegations, claims, or defenses at issue in the appeal including;

i. documents or recordings considered or relied upon by the appointing authority in making a disciplinary decision;

ii. documents or recordings among or between the appointing authority, Complainant, Complainant's supervisor, and human resources relevant to the issues in the appeal;

iii. documents or recordings of any investigation related to the factual allegations; and iv. any witness statements.

e. Documents showing the Complainant’s compensation and benefits at the time of the disputed action including Complainant's pay stubs for the three months preceding the disputed action;

f. Unemployment benefit documents that are relevant to any calculation of damages; and g. Any witnesses that the Respondent knows that may have information relevant to the factual allegations or claims, and a brief description of the information believed to be known by that witness.

B. At least thirty (30) days before the close of discovery, the parties shall disclose any expert witnesses a party may call at hearing including:

1. The name, address, email address, telephone number and the qualifications of the expert witness; and 2. A detailed statement as to the opinions or conclusions to which the expert is expected to testify. This requirement may be satisfied by the party incorporating a resume for each expert and a report containing the opinions or conclusions of each expert, along with the basis of each opinion or conclusion.

C. The parties shall not file their disclosures with the Board.

D. The term “documents” in this Board Rule includes writings, drawings, graphs, charts, photographs, emails, notes, or other documents of any kind.

Board Rule 8-34. Discovery. Unless modified by the Administrative Law Judge for good cause, the following procedures govern discovery:

A. Discovery Deadlines. Discovery requests shall be served no later than twenty-eight (28) days from the date of the certificate of service of the Notice of Hearing or of a Notice of Scheduling Conference. Depositions shall be completed at least twenty (20) days prior to the start of an evidentiary hearing. Responses to interrogatories, requests for production of documents, and requests for admissions shall be provided within twenty (20) days from service of the request.

B. Permitted Discovery. Each party may take a combined total of not more than twelve (12) hours of depositions. Each party may serve up to fifteen (15) requests for production of documents. Each party may serve twenty (20) interrogatories consisting of one (1) question each. Each party may serve twenty (20) requests for admission consisting of one (1) admission each.

1. For good cause shown, the Board may modify the limits in this rule.

Board Rule 8-35. Prehearing Statements. At least fifteen (15) days prior to the start of the evidentiary hearing, the parties shall file a Prehearing Statement with the A. Statement of Claims and Defenses. A statement of all claims or defenses asserted by the party filing the Prehearing Statement. Complainant shall also include background information, including the action being appealed and date of the action, the date Complainant was notified of the action, Complainant’s job position and time in the position at the time of the action (including date Complainant was certified in the position), Complainant’s current position, and the reasons Complainant disagrees with the action;

B. Undisputed Facts. A statement of the facts that the party filing the Prehearing Statement believes are stipulated or undisputed;

C. Disputed Issues of Fact. A statement of the facts that the party filing the Prehearing Statement believes are true but the opposing party disputes;

D. Pending Motions. A list of all outstanding motions that the Administrative Law Judge has not yet decided;

E. Points of Law. The legal arguments and authorities that support the party’s claims or defenses, including statutes, case law, Board Rules, and Board decisions;

F. Witnesses. The name, address, email address, and telephone number of any witness who the party may call at hearing, with a description of the person’s testimony;

G. Experts. The name, address, email address, telephone number and the qualifications of any expert witness a party may call at hearing, together with a detailed statement as to the opinions or conclusions to which the expert is expected to testify. This requirement may be satisfied by the party incorporating a resume for each expert and a report containing the opinions or conclusions of each expert, along with the basis of each opinion or conclusion;

H. Exhibits. A list of any exhibits the party intends to offer as evidence at the hearing;

I. Redactions to Exhibits. Both sides shall carefully review all exhibits and redact any personal identifying information. Redactions shall include mailing and physical addresses, email address(es), telephone number(s), dates of birth, social security numbers, driver license numbers, passport numbers, employee identification numbers, military identification numbers, student identification numbers, health insurance identification numbers, biometric data, and any other personal identifying information;

J. Stipulations. A listing of all stipulations of fact or law, or admissibility of evidence (including exhibits), as well as any other stipulations reached by the parties; and K. Remedy. List the remedies and/or relief the party is requesting. If the party is requesting the Board to order the opposing party to do something, the party shall specify what it wants the Board to order. If Complainant is requesting money damages, Complainant shall list the precise amount and the basis for requesting that amount. If a party is requesting another type of remedy, the party shall specify the nature of the request.

Board Rule 8-36. Subpoenas to Provide Testimony.

A. Respondents shall make the appointing authority and other employees with relevant information available to furnish testimony at a deposition or an evidentiary hearing even without a subpoena.

B. For non-state employees, parties may issue and serve subpoenas in conformance with the Colorado Rules of Civil Procedure for those individuals to appear at a deposition or an evidentiary hearing.

C. For appeals under this Chapter 8, Resolution of Appeals and Disputes, state employees who serve as witnesses may count any time spent at a deposition or hearing as work time.

Board Rule 8-37. Evidentiary Hearings.

A. Any stipulated exhibits and facts will be admitted into evidence.

B. The party with the burden of proof proceeds first and may call witnesses and seek the admission of evidence. The opposing party proceeds second and may call witnesses and seek the admission of additional evidence. In cases with mixed burdens of proof, the Administrative Law Judge shall determine the order of presentation on a case-by-case basis. Regardless of who has the burden, witnesses may be called out of order at the discretion of the Administrative Law Judge.

C. At the sole discretion of the Administrative Law Judge, a party may present rebuttal evidence.

D. Each party is responsible for deciding the witnesses to call at the hearing.

Testimony is given under oath or affirmation. Each party may crossexamine the other party’s witnesses.

E. Each party is responsible for deciding the exhibits to use and to offer for admission into evidence.

F. The Administrative Law Judge may call a witness and may also examine any witness called by a party.

G. The Administrative Law Judge will record the proceedings by an electronic recording device.

H. The Administrative Law Judge may issue orders to promote expeditious and efficient hearings, including limiting the time each side has to present its evidence.

Board Rule 8-38. Conduct and Decorum. To ensure proper conduct and decorum, an Administrative Law Judge may:

A. Exclude any person from the hearing;

B. Restrict media access as provided by the Colorado Code of Judicial Conduct and the Rules of Civil Procedure; and C. Enter other orders that are reasonable to maintain the order and decorum of the proceedings.

Board Rule 8-39. Initial Decision. The Administrative Law Judge shall issue the Initial Decision no later than forty-five (45) days after the close of the hearing. The Initial Decision shall include findings of fact and conclusions of law affirming, modifying, or reversing the action of the appointing authority.

Part A. Section VII. General Provisions Board Rule 8-40. The Colorado Rules of Civil Procedure and Evidence. To the extent practicable, the Colorado Rules of Civil Procedure (“C.R.C.P.”) and the Colorado Rules of Evidence (“C.R.E.”) apply to the proceedings at the Board.

A. In the event the C.R.C.P. or the C.R.E. are inconsistent with this Chapter 8, Resolution of Appeals and Disputes, the Board Rules control.

B. Unless the context requires otherwise, whenever the terms “court,”

“judge,” or “jury” appear in the C.R.C.P. or the C.R.E., the terms are construed to mean the Board or an Administrative Law Judge.

C. An Administrative Law Judge has the discretion to admit evidence not admissible under C.R.E., as permitted by law.

Board Rule 8-41. Representation.

A. During the Step Two grievance process, an employee may have a representative that may or may not be an attorney. During all other proceedings under this Chapter 8, Resolution of Appeals and Disputes,

Part A, an individual may only appear on their own behalf, or by an attorney authorized to engage in the practice of law in Colorado.

B. An attorney representing a party shall file an entry of appearance or sign a pleading. The entry of appearance shall contain the attorney’s name, mailing address, email address, telephone number, attorney registration number, and the identity of the party for whom the appearance is made.

C. In the event a party is not represented, counsel for the represented party is responsible for coordinating with the unrepresented party for the

purpose of scheduling conferences, obtaining hearing dates, and preparing any joint filings or stipulations.

D. Attorneys may provide limited representation to Complainants so long as the representation complies with the Colorado Rules of Professional Conduct and the Colorado Rules of Civil Procedure.

Board Rule 8-42. Current Information. Anyone who files an appeal or who enters an appearance shall keep the Board informed of their current email address, mailing address and telephone number. Failure to provide the Board with current information may result in dismissal.

Board Rule 8-43. Hearing to Determine Jurisdiction. If the Board’s jurisdiction is in doubt, the Administrative Law Judge may set a hearing limited to determining whether the Board has jurisdiction.

Board Rule 8-44. Consolidation of Appeals.

A. If an applicant or employee files more than one appeal with the Board, the Board may consolidate the appeals into a single proceeding.

B. Parties may file a motion requesting consolidation of appeals. The Board may also consolidate appeals on its own motion.

C. An Administrative Law Judge will not consolidate appeals unless:

1. The appeals relate to the same or closely related facts;

2. Consolidation will likely result in greater efficiencies for the parties and for the Board;

3. Consolidation will not significantly delay the Board’s resolution of the earlier filed appeal; and 4. Consolidation will not unduly prejudice any party.

Board Rule 8-45. Informal Requests for Information. Parties may informally request information from the opposing party. Informal requests are not subject to oversight by the Board or by an Administrative Law Judge. Informal requests may be made at any time.

Board Rule 8-46. Privilege Log. If a party asserts a privilege relative to any document or materials, that party shall provide the opposing party a privilege log describing the title, author, date, and subject matter of the document or material, along with the legal basis for asserting the privilege.

Board Rule 8-47. Motions.

A. Motions. Motions are a formal request to the Board to enter an order.

B. Deadline for Responding to a Motion. Unless ordered otherwise by an Administrative Law Judge, the responding party has ten (10) days after receipt of a motion to file a response.

C. Replies. Unless ordered otherwise by an Administrative Law Judge, the moving party may not file a reply in further support of a motion.

D. Length of Motions and Responses. Unless ordered otherwise by an Administrative Law Judge, motions and responses are limited to ten (10) pages. This page limit does not include the case caption, signature block, certificate of service and any exhibits.

E. Duty to Confer, Certification of Conferral, and Summary of the Conferral.

1. Prior to filing a motion, the party filing the motion shall confer in good faith with the opposing party about the motion.

2. The first paragraph of a motion shall contain a certification that the party filing the motion has conferred in good faith with the opposing party about the motion.

3. The first paragraph of the motion shall state if the motion is opposed or unopposed.

4. If no conferral has occurred, the first paragraph of the motion shall state the reasons for not conferring and describe all efforts to confer.

5. If the parties agree to a motion’s request, the caption on the motion shall include the word “Unopposed.”

6. A good faith conferral requires the parties to initiate efforts to confer long enough before the anticipated filing to engage in a meaningful communication.

F. Legal Authority. Motions shall include the legal arguments and authorities that support the motion.

G. No Oral Argument. Unless ordered otherwise by an Administrative Law Judge, motions will be determined based upon the information in the written motion and response.

H. Time-Sensitive Motions. A party filing a time-sensitive motion may request an expedited ruling. The Administrative Law Judge exercises sole discretion of whether to issue an expedited ruling.

I. Stipulations for Extensions of Time. Stipulations between the parties for extensions of time are not controlling unless there is an order granting the extension of time.

J. Failure to Respond to a Motion. The Administrative Law Judge may grant a party’s motion if the opposing party does not timely respond to the motion.

K. Motions for Reconsideration. The parties are discouraged from filing motions for reconsideration. If the Administrative Law Judge does not rule on a motion to reconsider within twenty-one (21) days from the filing of the motion, it is denied Board Rule 8-48. Modifications.

A. For good cause shown, the Board may modify or waive the requirements of this Chapter 8, Resolution of Appeals and Disputes, Part A.

B. If seeking a modification, parties shall comply with the requirements for filing motions set forth in Chapter 8, Resolution of Appeals and Disputes,

Part A.

C. Any motion to extend a deadline shall be filed prior to the deadline.

Board Rule 8-49. Public Nature of Proceedings. All proceedings before the Board are open to the public except that an Administrative Law Judge may conduct a hearing in private if good cause is established.

Board Rule 8-50. Security. For good cause, a party may file a motion requesting security during any hearings or Board meetings. If the motion is granted, the party requesting security may be charged the reasonable costs for providing such security.

Board Rule 8-51. Sanctions.

A. Failure to comply with the provisions in this Chapter 8, Resolution of Appeals and Disputes, Part A, may result in sanctions as determined at the discretion of an Administrative Law Judge.

1. Failure, without good cause, of a party to appear at a hearing may result in judgment for the opposing party.

2. During the Preliminary Review process, (a) if a Complainant fails to file a complete and timely Information Sheet, the matter may be dismissed; and (b) if a Respondent fails to file a complete and timely Information Sheet, the Board will decide whether to grant a hearing based solely upon the information provided by the Complainant.

B. Upon final resolution of a proceeding under this Chapter 8, Resolution of Appeals and Disputes, Part A, attorney fees and costs may be assessed against a party if the Board finds that the personnel action from which the proceeding arose, or the appeal of such action was frivolous, in bad faith, malicious, a means of harassment, or was otherwise groundless.

1. Frivolous means that no rational argument based on the evidence or law was presented.

2. In bad faith, malicious, or as a means of harassment means that the appeal or defense was pursued to annoy or harass, made to be abusive, stubbornly litigious, or disrespectful of the truth.

3. Groundless means that despite having a valid legal theory, a party fails to offer or produce any competent evidence to support the theory.

C. Attorney fees may also be assessed against a party as permitted by law.

D. Pursuant to § 24-50.5-104(2), C.R.S. attorney fees shall be assessed against the department if the Board finds a violation of the Whistleblower Act.

E. Any party seeking sanctions or attorney fees shall file and serve a motion within ten (10) days of:

1. The alleged failure to comply with the provisions in this Chapter 8, Resolution of Appeals and Disputes, Part A;

2. When the party knows or reasonably should have known of the alleged abuse giving rise to the request for fees;

3. A final order of an Administrative Law Judge, including an order of dismissal;

4. An Initial Decision; or 5. A final order of the Board relating to action taken during a public Board Meeting.

F. Anyone potentially affected by a motion for sanctions or for attorney fees may request a hearing. The Administrative Law Judge may hold a hearing if the judge determines that a hearing will materially assist in deciding the motion.

Part A. Section VIII. State Personnel Board Review of Initial Decisions and Other Final Orders Issued by an Administrative Law Judge Board Rule 8-52. General Provisions.

A. The purpose of this Section is to provide the procedures for the Board to review Initial Decisions and other final orders issued by an Administrative Law Judge.

B. The first party to request the Board to review an Initial Decision or other final order is the “Appellant.” The other party is the “Appellee.”

C. Except as provided in this Section, the parties shall follow the filing requirements in Chapter 8, Resolution of Appeals and Disputes, Part A.

Board Rule 8-53. Procedures for Initiating a Request for the Board to Review an Initial Decision or Other Final Order Issued By an Administrative Law Judge.

A. Designation of Record.

1. The record may include transcripts of any proceedings, documents that the parties have filed during the course of the proceedings, exhibits, and any orders issued by an Administrative Law Judge.

2. The Appellant shall file a Designation of Record with the Board no later than twenty (20) days from the date of the certificate of service of the disputed Initial Decision or other final order. The Appellant’s Designation of Record shall specify all portions of the record that the Appellant deems necessary and relevant.

3. Within ten (10) days from Appellant’s Designation of Record, the Appellee may file an additional Designation of Record specifying any other portions of the record that the Appellee deems necessary and relevant.

4. If neither party designates an item to be included in the record, then the Board will not consider that item as part of its review.

5. Any party who designates a transcript as part of the record shall arrange for preparation of the transcript directly with a neutral and certified court reporter.

6. A party designating a transcript shall file the transcript with the Board within fifty-nine (59) days from the date Appellant files the Designation of Record. If no transcript is filed by the deadline, the record will not include the transcript.

7. Any transcript to be included as part of the record shall be signed and certified by the court reporter who prepared the transcript.

B. Notice of Request for Board Review.

1. The party requesting the Board to review an Initial Decision or other final order shall file a Notice of Request for Board Review.

2. The Notice of Request for Board Review shall state the basis for requesting the Board review, including the disputed findings of fact and/or conclusions of law.

3. The Appellant shall file the Notice of Request for Board Review within thirty (30) days from the date of the certificate of service of the disputed order.

C. Payment. A party requesting Board review of an Initial Decision or other final order shall submit a $5.00 payment for the certification of the record at the time the party files the Notice of Request for Board Review. This amount does not include the cost of a transcript, which needs to be paid directly to the court reporter by the party.

D. Certification of Record. The Board shall certify the record within sixty (60) days from the date the record is designated.

Board Rule 8-54. Briefing. Upon certification of the record, the parties shall file written arguments for the Board to consider as part of its review.

A. Briefing Schedule.

1. The Appellant shall file an opening brief within twenty (20) days from the certification of record.

2. The Appellee shall file an answer brief within ten (10) days from service of the opening brief.

3. The Appellant may file a reply brief within five (5) days from service of the answer brief.

4. If both parties request Board review, the parties shall file simultaneous briefs using the above briefing deadlines.

B. Extensions of Time. No motions for extension of time will be granted unless the parties are able to complete all briefing at least fourteen (14) days before the Board meeting related to the briefs.

C. Page Limit. Briefs are limited to ten (10) pages. This page limit does not include the case caption, table of contents, tables of citations, signature block, certificate of service, and exhibits.

D. Briefs shall conform to Chapter 8, Resolution of Appeals and Disputes,

Part A, Section I, with respect to margins, font size, and other requirements.

E. Copies. Parties shall file an original and seven copies of their briefs with the Board.

Board Rule 8-55. Board Review.

A. Review Date. The Board will review and render a written decision within ninety (90) days from the certification of record.

B. Materials Considered in the Board Review. In reviewing an Initial Decision or other final order, the Board will only consider:

1. The disputed order; and 2. The items included in the certified record. If the certified record does not contain a transcript of the evidentiary hearing, the Board is bound by the findings of fact in the Initial Decision.

C. Oral Argument. In general, no oral argument is permitted.

Board Rule 8-56. Any party appealing to the Colorado Court of Appeals shall serve a copy of the Notice of Appeal on the Board at the time of filing the notice.

Part A. Section IX. Settlement Process Board Rule 8-57. Parties are encouraged to resolve disputes at the lowest level and as informally as possible. Parties may settle at any time. Parties may agree to use alternative dispute forms other than the settlement process in this Section.

Board Rule 8-58. Scheduling Settlement Conferences. Subsequent to filing an appeal with the Board, any party may ask the Board to facilitate a settlement conference.

A. In most situations, the Board will assign an Administrative Law Judge to serve as the settlement facilitator. The Administrative Law Judge who serves as a settlement facilitator shall be someone other than the Administrative Law Judge assigned to adjudicate the dispute.

B. If one party requests a settlement conference, the opposing party shall appear at least once at a conference and attempt in good faith to settle the matter.

C. The Administrative Law Judge assigned to adjudicate the dispute may waive the requirement of a settlement conference upon good cause shown.

D. The Administrative Law Judge assigned to adjudicate the dispute may require a settlement conference even if the parties do not request one.

E. A settlement facilitator may determine that settlement discussions are futile. The settlement facilitator may terminate the settlement conference at the facilitator’s sole discretion.

Board Rule 8-59. Provisions Relating to Settlement Conference.

A. Unless information reveals the intent to commit a felony, inflict bodily harm, or threaten the safety of a child, settlement discussions are confidential. Therefore, the parties shall keep confidential all communications made in connection with a settlement discussion.

B. Neither party may call a settlement facilitator as a witness in any legal proceedings relating to the dispute. Neither party may contact a settlement facilitator for information.

C. Settlement communications are not discoverable or admissible at the hearing. However, this does not preclude admission of facts or evidence known to the parties prior to the settlement conference or discovered independently by the parties.

D. All notes taken by a settlement facilitator are kept in a separate area that is not accessible to the Administrative Law Judge assigned to adjudicate the dispute. The settlement facilitator shall destroy the notes once the settlement process has concluded.

E. The settlement facilitator shall not disclose discussions at the settlement conference to the Administrative Law Judge assigned to adjudicate the dispute.

F. The parties participating in a settlement conference shall have someone present at the conference with authority to resolve the dispute.

G. In general, only the parties and their legal representatives may participate in a settlement conference. However, the settlement facilitator may permit a third party to attend if that will facilitate the conference. A party shall provide at least two (2) business days notice if that party wishes to invite a third party to participate in the settlement conference.

H. Any settlement agreement reached shall be put in writing and reviewed by both parties prior to signature.

Board Rule 8-60. Upon reaching a signed settlement agreement, the parties shall file a joint or unopposed motion with the Board requesting a dismissal.

Board Rule 8-61. Alleged Breach of a Settlement Agreement.

A. If either party contends the opposing party has not complied with the terms of a settlement agreement, the party may seek judicial review or other remedies as set forth in the parties’ agreement.

Rules 8-62 through 8-69 Intentionally left blank. (04/01/2021)

Chapter 8, Part B. Director’s Review of Appeals. 8- 70. Chapter 8, Resolution of Appeals and Disputes, Part B, contains the Director’s Rules that govern Director’s Appeals and includes the following:

• Section I: Filing Appeals with the Director.

• Section II: Resolution of Director’s Appeals. 8- 71. Chapter 8, Resolution of Appeals and Disputes, Part B, Director’s Review of Appeals, applies to applicants to and employees of the state personnel system.

Chapter 8, Resolution of Appeals and Disputes, Part B, does not apply to positions or individuals outside of the state personnel system.

A. The Director's Review of Appeals is an impartial process.

1. The Director's Review of Appeals process is not a grievance and as such, no party has an absolute right to legal representation during the process, but may have an advisor present. The parties are expected to represent and speak for themselves.

2. The Director shall not substitute their judgment for that of the appointing authority. (07/01/2025) 8- 72. All Director’s Appeals brought before the Director may be resolved informally. If a remedy is granted while a Director’s Appeal is pending, it shall be deemed moot and dismissed with prejudice. 8- 73. Retaliation against any person involved in any Director’s Appeal process is prohibited. 8- 74. Notice of the Director’s Appeal Rights. Applicants and employees shall be notified by the department, in writing, of any rights to appeal a procedure used in a final department decision regarding selection. The notice shall include a statement setting forth the time limit for filing an appeal with the Director, the address to submit the filing, the requirement that the appeal shall be in writing, and the availability of the Consolidated Appeal/Dispute Form.

Part B. Section I. Filing Appeals with the Director 8- 75. The Director’s Appeal Filing. All appeals in the state personnel system are administratively processed through the Board using the Consolidated Appeal/Dispute Form. Appeals are forwarded with notice that the appeal has been dismissed by the Board and given to the Director for review.

A. The Director’s Appeal. The Director’s Appeal shall use the Consolidated Appeal/Dispute Form found on the DPA/Division of Human Resources or the Board’s website.

B. Contents of the Director’s Appeal. The Director’s Appeal contains the information according to Chapter 8, Resolution of Appeals and Disputes,

Part A, Section I., C. Filing the Director’s Appeal. The Director’s Appeal shall be filed according to Chapter 8, Resolution of Appeals and Disputes, Part A, Section I.

D. The filing of a timely Director’s Appeal must meet the following criteria:

1. The Director’s Appeal shall be filed with the Board within ten (10) days from when the employee knew or should have known of the alleged improper action. The first day of the count is the day after the date on the department’s notification and each calendar day thereafter.

2. If a deadline falls on a weekend, official state holiday, or by 3. Any filing via facsimile or email that is received by the Board by 5:00 p.m. Colorado time shall be deemed to have been filed on that date.

3. If the filing is through mail by the United States Postal Services, the date of filing is the postmark.

4. If the filing is hand delivered to the Board, the date stamp is the official date of filing.

5. Failure to timely file an appeal may result in the Director losing jurisdiction over the matter and the Director’s Appeal being dismissed.

E. The Director will review the appeal based on the information provided by the appellant as submitted in the appeal. The Director retains the ability to request additional information from all parties. (07/01/2025) 8- 76. Only an applicant or a certified employee (“Appellant”) who is directly affected as a result of an action by a department (“Respondent”) may appeal to the Director.

The following procedural events shall be reviewed by the Director:

A. An allocation of an individual position occupied by a certified employee to a lower pay grade;

B. An applicant’s objection of their removal from consideration from selection, which includes the minimum qualification review and comparative analysis C. Other processes under the authority of the Director as a general matter of administration of the state personnel system or as mandated by law.

These include alleged violations to the Fair Labor Standards Act and Family Medical Leave Act. 8- 77. The following procedural events are not subject to Director’s Appeals and shall not be reviewed by the Director: (07/01/2025)

A. Hiring once an applicant has advanced to referral and an applicant received an offer to interview;

B. Personal services contracts;

C. Job evaluation system and actions;

D. Grievances;

E. Allegations of whistleblower, discrimination, or retaliation;

F. Corrective or disciplinary actions;

G. Any action that adversely affects pay, status, or tenure;

H. Performance management disputes that result in corrective and/or disciplinary action;

I. In-range salary movements;

J. Issues pertaining to leave sharing;

K. Discretionary pay differentials; and L. Premium pay, including hazardous duty. (07/01/2026) 8- 77.1. Repealed. (07/01/2026) 8- 78. Confidentiality of Director’s Appeal Materials. Examination data and documents will be stored confidentially and only released if a judicial review is filed or otherwise required by law.

Part B. Section II. Resolution of Director’s Appeals 8- 79. The Director’s Appeal Decision. The Director shall issue a written decision no later than ninety (90) days after the Director receives a referral of the matter from the Board or notice that the appeal has been dismissed by the Board. Both parties, Appellant and Respondent, will receive a copy of the Director’s final decision.

A. The Director may overturn a decision by a department only if found to be arbitrary, capricious, or contrary to rule or law.

B. Failure by the Director to issue a decision within the ninety (90) day time limit will cause the Director to adopt the department’s decision.

C. The matter appealed must be resolved within the ninety (90) days, after which the Director loses jurisdiction. The Director does not have the

authority to extend the time period. 8- 80. An Appellant may withdraw a Director’s Appeal at any time prior to the Director issuing a final decision. If an Appellant withdraws a Director’s Appeal, it will be considered moot and dismissed with prejudice. 8- 81. In the event that an employee with a pending Director’s Appeal separates from the state personnel system, the Director’s Appeal is dismissed with prejudice. 8- 82. Pursuant to § 24-50-112.5(4)(e), C.R.S., the Board has discretionary jurisdiction to review final decisions of the appointing authority regarding alleged violations of the comparative analysis process after the Director issues their final decision.

Chapter 8, Part C. Department Internal and Director’s External Performance Management Disputes. 8- 83. Chapter 8, Resolution of Appeals and Disputes, Part C, contains the Director’s Rules that govern Department Internal and Director's External Dispute Resolution for Performance Management and includes the following:

• Section I: Filing an Internal Dispute for Performance Management with the Department.

• Section II: Resolution of an Internal Dispute for Performance Management with the Department.

• Section III: Filing an External Dispute for Performance Management with the Director.

• Section IV: Resolution of an External Dispute for Performance Management with the Director. 8- 84. Chapter 8, Resolution of Appeals and Disputes, Part C, Department Internal and Director's External Performance Management Disputes, applies to employees of the state personnel system. Chapter 8, Resolution of Appeals and Disputes, Part C, does not apply to individuals outside of the state personnel system.

A. Throughout Chapter 8, Resolution of Appeals and Disputes, Part C, “Director’s External Dispute” refers to performance management disputes that are reviewed by the Director.

B. The Department Internal and Director's External Performance Management Disputes are impartial processes.

1. The Department Internal and Director's External Performance Management Disputes processes are not grievances or appeals and as such, no party has an absolute right to legal representation during the processes, but may have an advisor present. The parties are expected to represent and speak for themselves.

2. The scope of authority of those individuals making final decisions throughout the dispute resolution process for performance management is limited to reviewing the facts surrounding the current action, within the limits of the department’s performance management program.

3. Individuals making final decisions 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. Further, these individuals shall not render a decision that would alter a department’s performance management program. 8- 85. All Director's External Performance Management Disputes brought before the Director may be resolved informally. If a remedy is granted while a Director’s External Performance Management Dispute is pending, it shall be deemed moot and dismissed with prejudice. 8- 86. Retaliation against any person involved in any Department Internal or Director's External Performance Management Dispute process is prohibited. 8- 87. Notice of Department Internal and Director's External Performance Management Dispute. The department’s performance management program shall include the department’s internal and Director’s external processes and scope to dispute an individual's annual performance evaluation. 8- 87.1 Summary of Chapter 8, Part C The summary is illustrative only. The language in the Director’s Procedures are controlling. There are many parts of Chapter 8 that are not included in this summary.

Filing with the State Personnel Director An employee wanting to file a performance dispute with the State Personnel Director shall follow the filing procedures in Chapter 8, Part A, Section I. The appeal shall use the standard Consolidated Appeal/Dispute Form found on the State Personnel Board’s website. Disputes are timely if received by the State Personnel Board or postmarked no later than five (5) days after receipt of the written notice of the action, or if no notice was required, no later than five (5) days after the employee knew or should have known of the improper action.

Types of performance disputes in Chapter 8, Part C

Chapter 8, Part C includes the procedures for resolving external performance disputes by the State Personnel Director. Disputes proceed depending on the nature of the employee’s claim. In general, the State Personnel Director reviews procedural events outlined in the department’s performance management programs.

1. State Personnel Director’s External Performance Disputes Only an applicant or a certified employee (“Appellant”) who is directly affected as a result of an action by a department (“Respondent”) may file an external dispute with the State Personnel Director under Chapter 8, Part C. Department Internal and Director’s External Performance Management Disputes. These events include:

• The individual final overall performance evaluation, including lack of a final overall evaluation; and • Application of a department’s performance management program to the individual employee’s final overall evaluation.

Part C. Section I: Filing an Internal Dispute for Performance Management with the Department.

2. Exclusions The State Personnel Director shall not review actions filed under the jurisdiction of the State Personnel Board which include grievances, discipline or any actions that impact pay, status, or tenure, or claims that allege whistleblower, discrimination or retaliation.

The State Personnel Director shall not review the following actions:

• The content of a department’s performance management program;

• Matters related to the funds appropriated; and • The performance evaluations of other employees. (07/01/2025) 8- 88. Only a certified employee, who is directly affected as a result of an action by a department may file a Director’s External Dispute. Only the following procedural events shall be reviewed by the Director:

A. The individual final overall performance evaluation, including lack of a final overall evaluation; and B. The application of a department’s performance management program to the individual employee’s final overall evaluation. 8- 89. The following performance management matters are not disputable:

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

B. Matters related to the funds appropriated; and C. The performance evaluations of other employees. (07/01/2025) 8- 90. Every effort shall be made by the parties to resolve the issue at the lowest possible level in a timely manner before initiating the Director’s External Dispute

Part C. Section I: Filing an Internal Dispute for Performance Management with the Department. 8- 91. Internal Stage. The first stage is the department internal dispute resolution process. Each department shall communicate and administer a detailed internal dispute resolution process that complies with the requirements of, and is approved in advance by, the Director. A description of the process shall be communicated to all department employees through the department’s performance management plan and shall include the following elements.

A. The time limits and the process for filing a written request for review of the issue(s) throughout the dispute resolution process.

B. The appointing authority at the department who is the final decision maker unless it is delegated in writing and publicized in advance. Employees shall be notified of the authorized decision maker for their disputes.

C. The time limits for issuing the final written department decision.

D. Any other specific requirements established by the Director.

Part C. Section II: Resolution of Internal Dispute for Performance Management with the Department. 8- 92. Internal Stage Conclusion. A department’s decision on issues involving an individual performance evaluation concludes at the internal stage and no further internal recourse is available.

A. The Director’s External Dispute Notice. For issues disputable at the external stage, the department shall give written notice to the employee.

1. This notice shall include a statement that the deadline for filing an external performance management dispute to the Director is five (5) days from the date of receipt of the notice, the Board's physical address, email address, website, telephone and facsimile numbers, the requirement that the external performance dispute shall be in writing, and the requirement to include copies of the individual’s annual performance evaluation, original written dispute and the department’s final decision and the availability of the Consolidated Appeal/Dispute Form.

Part C. Section III: Filing External Dispute for Performance Management with the Director. 8- 93. The Director’s External Dispute Process. This external stage is administered by the Director. Only the issue(s) as originally presented in writing to the department during the department’s internal process shall be considered during the Director’s external performance management dispute resolution process. 8- 94. The Director’s External Dispute Filing. All external disputes for performance management in the state personnel system are administratively processed through the Board using the Consolidated Appeal/Dispute Form. External disputes for performance management are forwarded immediately to the Director for review.

A. The Director’s External Dispute. The Director’s External Dispute shall use the Consolidated Appeal/Dispute Form found on the DPA/Division of Human Resources or the Board’s website.

B. Contents of the Director’s External Dispute. The Director’s External Dispute contains the information according to Chapter 8, Resolution of Appeals and Disputes, Part A, Section I.

C. Filing the Director’s External Dispute. The Director’s External Dispute shall be filed according to Chapter 8, Resolution of Appeals and Disputes, Part A, Board Rules for Appeals, Section I.

D. The filing of a timely Director’s External Dispute must meet the following criteria:

1. The Director’s External Dispute shall be filed with the Board within five (5) days from when the employee received the final department decision regarding the internal dispute. The first day of the count is the day after the date on the department’s notification and each calendar day thereafter.

2. If a deadline falls on a weekend, official state holiday, or by 3. Any filing via facsimile or email that is received by the Board by 5:00 p.m. Colorado time shall be deemed to have been filed on that date.

3. If the filing is through mail by the United States Postal Services, the date of the filing is the postmark.

4. If the filing is hand delivered to the Board the date stamp is the official date of the filing.

5. Failure to timely file an appeal may result in the Director losing jurisdiction over the matter and the Director’s External Dispute being dismissed.

Part C. Section IV: Resolution of External Dispute for Performance Management with the Director. 8- 95. The Director’s External Dispute Authority. The Director’s authority regarding final decisions on performance management disputes is limited to reviewing the facts surrounding the current action, within the limits of the department’s performance management program.

A. If the department has failed to render a final decision, the dispute will be remanded back to the department to issue a final decision to the B. The Director shall not substitute their judgment for that of the rater, reviewer, or the department’s dispute resolution decision maker.

C. The Director’s review will be to ensure the procedures outlined in the department’s performance management program were followed. 8- 96. The Director’s External Dispute Decision. The Director shall issue a written decision that is final and binding within thirty (30) days from receipt of filing.

A. In reaching a final decision that concludes the department’s performance management program was not followed, the Director has the authority to instruct a department to:

1. Follow a department’s performance management program;

2. Correct an error; or 3. Reconsider an individual performance plan or final overall evaluation.

B. The Director may also require the department to use other appropriate conflict resolution methods.

C. The Director shall not render a decision that would alter a department’s performance management program. 8- 97. An employee may withdraw a Director’s External Dispute at any time prior to the Director issuing a final decision. If an employee withdraws a Director’s External Dispute, it will be considered moot and dismissed with prejudice. 8- 98. In the event that an employee with a pending Director’s External Dispute separates from the state personnel system, the Director’s External Dispute is dismissed with prejudice.

Rule 8-99 Intentionally left blank. (04/01/2021)

Chapter 8. Part D. Director’s Review of Coverage Designation Disputes. 8- 100. Chapter 8, Resolution of Appeals and Disputes, Part D, contains the rules that govern the Director’s Coverage Designation Disputes and includes the following:

• Section I: Filing Coverage Designation Disputes with the Director.

• Section II: Resolution of Director’s Coverage Designation Disputes. 8- 101. Chapter 8, Resolution of Appeals and Disputes, Part D, Director’s Review of Coverage Designation Disputes, applies to decisions about whether certain employees are appropriately designated as covered and non-covered employees under the Colorado Partnership for Quality Jobs and Services Act. Chapter 8, Resolution of Appeals and Disputes, Part D, does not apply to challenges to the exemption of an employee from the state personnel system.

A. Chapter 8, Resolution of Appeals and Disputes, Part D, only applies to disputes regarding the designation of covered and non-covered employees under the Colorado Partnership for Quality Jobs and Services Act, § 24-50-Part 11, C.R.S., and specifically § 24-50-1102(3)(a)-(h). The term “Director’s Coverage Designation Dispute” refers to these disputes. A designation of covered or non-covered is based on the individual’s position description and job duties.

B. Only the department’s designated Labor Relations representative or the certified employee organization can request a Director’s Coverage Designation Dispute using the Covered/Non-covered Employee Designation Dispute Form found on the Department of Personnel and Administration website.

C. Nothing in Chapter 8, Resolution of Appeals and Disputes, Part D, is intended to preclude an employee, department, or certified employee organization from asserting an employee’s status as covered or noncovered under the Colorado Partnership for Quality Jobs and Services Act as a defense in an Unfair Labor Practice charge. 8- 102. Every reasonable effort shall be made by the parties to resolve the issue at the lowest possible level in a timely manner before initiating the Director’s Coverage Designation Dispute process. 8- 103. All Director’s Coverage Designation Disputes brought before the Director may be resolved informally or withdrawn. If a dispute is resolved informally between the parties or withdrawn while a Coverage Designation Dispute is pending, the parties shall promptly notify the Director and the dispute shall be considered moot and dismissed with prejudice. 8- 104. Retaliation against any person for their involvement in any Director’s Coverage Designation Dispute process is prohibited. 8- 105. Confidentiality of Supporting Documents. Supporting documents shall be stored confidentially and only released if a review is filed with the Colorado Department of Labor and Employment, Division of Labor Standards and Statistics or as otherwise required by law.

Part D. Section I. Filing Coverage Designation Disputes with the Director. 8- 106. The Coverage Designation Dispute Process. Only the issues identified in the Covered/Non-covered Employee Designation Dispute Form shall be considered by the Director.

A. Internal Stage. The first stage is the department’s internal dispute resolution process. Each department shall communicate and administer the internal dispute resolution process established by the Director.

1. To initiate the department’s internal dispute resolution process, the employee shall notify the employee’s supervisor or other authorized person in writing. Such notification may be verbal, but must communicate that the employee is initiating the internal coverage designation dispute process.

2. A discussion between the employee and the supervisor or other authorized person shall occur within ten (10) days of the employee initiating the department’s internal dispute resolution process.

a. The employee may bring a representative, that may or may not be an attorney, to the discussion.

b. A representative, that may or may not be an attorney, may participate and speak during the discussion but the employee is expected to answer any questions and actively participate.

3. The department shall provide a written decision to the employee no later than twenty-five (25) days after the discussion. 8- 107. Notice of Director’s Coverage Designation Dispute Rights. The department’s designated Labor Relations representative and the certified employee organizations shall be notified by the department, in writing, of the right to dispute a department’s final decision of the internal dispute regarding a covered designation.

A. The notice shall include:

1. A statement setting forth the physical address, email address, website, telephone and facsimile numbers of the Director;

2. The requirement that the dispute shall be in writing;

3. The location of the Covered/Non-covered Employee Designation Dispute Form;

4. Filing instructions for supporting documentation; and 5. The requirement to include copies of the original written coverage dispute and the department’s final decision of the internal dispute. 8- 108. The Director’s Coverage Designation Dispute Stage. This external stage is administered by the Director. Only the issues in the original written coverage dispute filed with the department’s internal dispute process shall be reviewed by the Director.

A. The Director’s Coverage Designation Disputes shall use the Covered/Noncovered Employee Designation Dispute Form. 8- 109. Where to file. The Covered/Non-covered Employee Designation Dispute Form and other documents may be filed by hand delivery, United States Postal Service, commercial delivery service, facsimile, or via email.

A. The physical address for filing is State Personnel Director, 1525 Sherman Street, 3rd Floor, Denver, Colorado 80203. (07/01/2025)

1. Normal business hours for the Director are from 8:00 a.m. to 5:00 p.m., Monday through Friday, except for official state holidays or days that state offices in Denver are closed due to weather or safety or by governor order.

B. The facsimile number is 303-866-2021. Facsimile filings may not exceed ten (10) pages.

C. Filings via email.

1. The email address for the Designation Disputes is DPA_LaborRelations@state.co.us.

2. The subject line for the filing via email shall include:

a. Department;

b. Position Number;

c. Case number (if a new Designation Dispute, write “New Designation Dispute”); and d. The phrase “Electronic Filing.”

e. Examples: “Department of State AAA12345 (2021-LR-0000)

Electronic Filing” or “Department of State AAA12345 (New Designation Dispute) Electronic Filing.”

3. The Covered/Non-covered Employee Designation Dispute Form and any relevant documents must be attached to the email as a PDF document. The Director will only consider the contents of the attached documents. The Director will not consider information in the text of the email. The email is not a filing; rather the email is a method for parties to file something with the Director. Nothing in this paragraph precludes the Director from requesting the parties to submit additional documents.

4. As with any filing, the attached filings shall be signed. This can be done by signing the document and scanning the document with the signature. This can also be done by writing or typing “/s/” followed by the filer’s full name on the signature block line, so long as the person filing the document signs a paper form of the document and makes that form available for situations where the hearing officer might seek verification of the signature.

D. Size and format of filings. All documents filed with the Director shall be prepared as follows:

1. 8-1/2” x 11” page size, on plain, white paper (recycled paper preferred);

2. Black type or print;

3. No less than twelve (12) point font, excluding footnotes. Footnotes shall be no less than nine (9) point font;

4. Margins of at least one inch (1”) at the top, left, right, and bottom of each page; and 5. If single-spaced, there shall be a blank line between each paragraph.

Part D. Section II. Resolution of Director’s Coverage Designation Dispute. 8- 110. The Director has authority to determine whether an employee was properly designated as covered or non-covered under the Colorado Partnership for Quality Jobs and Service Act based on their position description and job duties.

A. If the department has failed to render a final decision, the designation dispute will be remanded back to the department to issue a final decision to the employee and the certified employee organization.

B. The Director shall not substitute their judgment regarding the position description or job duties for that of the appointing authority. The Director may overturn the appointing authority’s decision about whether the position is covered or not covered under the Colorado Partnership for Quality Jobs and Services Act.

C. The Director shall not render a decision that would alter an individual’s position description or job duties. 8- 111. The Director or designee shall issue a written decision within ninety (90) days from receipt of filing. 8- 112. Any of the timeframes for completion of the dispute process may be waived or modified if agreed to in writing by both parties, including deferral of action to allow the parties a chance to resolve the issue. 8- 113. Pursuant to § 24-50-1106(4), C.R.S., the Colorado Department of Labor and Employment, Division of Labor Standards and Statistics has jurisdiction to hear final decisions of the Director regarding whether certain employees are appropriately designated as covered or non-covered employees. 8- 114. Once a decision by the Director is accepted or affirmed by the Colorado Department of Labor and Employment, Division of Labor Standards and Statistics, it is final unless permanent, material changes are made to the official position description.

Chapter 9 Fair Employment Practices

Authority for rules promulgated in Chapter 9, Fair Employment Practices, is found in the Colorado Constitution Art. XII § 13(1), C.R.S. Title 24, Article 34, Part 4, and in C.R.S. § 24-50-112.5(1)(b). Board rules are identified by cites beginning with “Board Rule”.

Board Rule 9-1. It is to the benefit of the state to employ a diverse workforce that reflects the character of its general population to assist in providing effective services to citizens.

Board Rule 9-2. The state is committed to special efforts to increase representation of the population throughout all levels of the state personnel system. The state will continue to attract and retain qualified persons representing the population as future changes occur.

Discrimination Board Rule 9-3. Discrimination and/or harassment against any person is prohibited because of disability, race, creed, color, sex, sexual orientation, gender identity, gender expression, religion, age, national origin, ancestry, political affiliation, veteran’s status, marital status, or any other protected class recognized under the Colorado Anti-Discrimination Act (CADA). This applies to all employment decisions.

Board Rule 9-4. In determining whether discrimination or harassment has occurred, the Board shall apply Colorado law, including the standards and guidelines adopted by the Colorado Civil Rights Commission. The Board may refer to federal law in the event Colorado legal standards are unclear.

Board Rule 9-5. Each department shall notify applicants and employees of Board

Rule 9-3 prohibiting discrimination and harassment. Any means or method reasonably designed to clearly communicate the information may be used.

A. Each department will notify applicants and employees of the title, business address, email address, and telephone number of the ADA coordinator.

Appointing authorities and employees should consult with their ADA coordinator concerning what constitutes a disability, reasonable accommodation, and undue hardship.

Board Rule 9-6. If the Board finds that discrimination or harassment has occurred, it may order affirmative relief that the Board determines to be appropriate, including reinstatement or rehiring of employees, with or without back pay, front pay, and any other relief authorized by the statutes governing the Board. This does not prohibit settlement by the parties at any stage of the proceedings.

Disputes Board Rule 9-7. For any complaint of discrimination or harassment within the Board's and the Director's jurisdiction, refer to the provisions in Chapter 8, Resolution of Appeals and Disputes, for further information. For complaints of discrimination or harassment outside the Board's jurisdiction, a person may be able to bring claims in other forums and should consult with an attorney.

Chapter 10 Personal Services Agreements

Authority for rules promulgated in this chapter is found in §§24-50-501 through 514 (Part 5), C.R.S. 10-1. The Colorado Constitution does not specify the services that shall be performed by state employees and offers no guidance concerning criteria or mechanisms for delineating, enlarging, or reducing the state personnel system. The Director promulgates these rules to effectuate the labor policy established by the General Assembly in statute, balancing personal services contracting and the state personnel system. Contracts for personal services that create an independent contractor relationship are permissible if they satisfy the provisions of this chapter regarding the business case, the impact on the state personnel system, and contract process and requirements. 10-2. Determination of the Business Case. The threshold decision for entering into any personal services contract requires the department head to determine the business case based on accountability, cost, and quality.

A. Consideration of accountability includes:

1. whether there are adequate safeguards to ensure that government

authority is not improperly delegated;

2. the extent to which the function requires direct daily control over individual workers in order to effectively establish and implement state policy regarding public health, welfare, peace, and safety;

3. the extent to which the service can be provided through alternative means should the contractor fail to perform; and, 4. the extent to which the department has sufficient resources and expertise to monitor, measure, and enforce performance of the contract.

B. Consideration of cost includes an analysis in accordance with appropriate fiscal and procurement requirements, including the following, if applicable:

1. the extent to which the state will not realize the full value of, or recover the investment in, capital improvements or equipment;

2. a comparison of state costs to the contract price, including any fixed and variable costs solely attributable to the particular function, as well as inspection, supervision, and monitoring;

3. any price increases over the term of the contract; and, 4. the difference between the state’s and the contractor’s contributions to employee health insurance, to ensure that projected state savings are not attributable to lower contractor costs of health insurance.

C. Consideration of quality includes timeliness, functionality, durability, efficiency, contractor qualifications, flexibility, and any additional investment that yields greater effectiveness over the term of the contract. 10-3. Evaluation of Potential Impact on Certified Employees. In addition to the business case, the department head shall also evaluate the potential impact on the state personnel system. The following provisions apply depending on the nature of the contract and the statutory basis for approval.

A. For purposes of determining whether a “service agreement” exists, in which the services are incidental to the purchase or lease of real or personal property, the department head shall consider whether the predominant purpose of the contract is the acquisition of labor, skills, creativity, or judgment, as opposed to acquisition of property.

B. If a contract involves equipment, materials, facilities, or maintenance and operational support services, the department head will consider the 1. whether the demand for services in a particular geographic area is insufficient to justify investment in hiring permanent employees and purchasing capital equipment; and, 2. whether it is impractical or cost effective for departments in a particular geographic area to share the costs and use permanent state employees to meet the total demand upon the state in that geographic area.

C. Services for persons in the physical or legal custody of the state are not “purchased services”.

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: (7/1/07)

1. a temporary need for a specific task or result for a finite period of time. Such a contract shall state an ending date;

2. an occasional need that is seasonal, irregular, or fluctuating in nature; or, 3. an urgent need for immediate action to protect the health, welfare, or safety of people or property, or to meet an externally imposed deadline beyond the department’s control.

E. A department shall not use a succession of alternating temporary employment and personal services contracts in order to avoid either the timely creation or filling of permanent positions. A person may work as a state temporary employee nine (9) months and subsequently be retained as a contract worker by a different department. (3/30/13)

F. The department head shall approve each purchase order or contract for services acquired against an authorized price agreement unless the Director has approved the agreement in advance. A proposed acquisition shall comply with any conditions established by the Director regarding the use of a price agreement. 10-4. Contract Process and Requirements. All personal services contracts will conform to the following requirements regarding forms, reporting, and content.

A. As used in this chapter, contracts include any amendments but do not include acquisitions where a commitment voucher (e.g., state contract, purchase order) is not required by state fiscal rule, as such minor acquisitions of services do not implicate the state personnel system as a whole. Commitments to acquire services shall not be artificially divided to avoid review. Departments shall establish methods for retrieval of payment vouchers for personal services obtained within the scope of this exemption.

B. All personal services contracts shall be accompanied by supporting documents in the form prescribed by the Director.

C. Repealed (04/01/2020)

D. Consideration shall be given to contractors providing a preference for hiring veterans of military service in the following manner.

1. In all solicitations for personal services, whether by competitive sealed bidding or competitive sealed proposals, as defined by law, any tie between offerors shall first be broken by awarding the contract to the offeror utilizing the greatest quantitative or numerical preference for veterans in hiring offeror’s employees.

2. Solicitations for personal services done by competitive sealed proposal may include as a scored criterion the extent and quality of any preference for veterans of military service given by offeror in the hiring of offeror’s employees. The relative weight assigned such criterion for veteran’s preferences in personal services contract solicitations, consistent with the preference given by the state personnel system to veterans in the hiring of state employees, shall not exceed five percent (5%).

E. In addition to contract provisions required by statute, personal services contracts shall contain:

1. provisions addressing the consequences and potential mitigation of improper or failed performance by the contractor;

2. clearly defined measurements of performance outcomes;

3. sanctions for untimely or poor performance;

4. the independent contractor clause as required within contract special provisions of state fiscal rules; and 5. provisions concerning the orderly transition of functions between the department and the contractor during implementation or following termination of the contract, if applicable.

F. A personal services contract shall not create an employment relationship.

Chapter 11 – State Benefits Plans

Authority for rules promulgated in this chapter is found in:

State of Colorado Constitution Article XII, Section 13; The Patient Protection and Affordable Care Act (PPACA), commonly called the Affordable Care Act (ACA), and 26 United States Code (U.S.C.) 63; The Family Medical Leave Act (FMLA); Americans with Disabilities Act (ADA); Family Care Act (FCA); Uniformed Services Employment and Reemployment Rights Act (USERRA).

State of Colorado Revised Statutes (C.R.S.) §24-50-104, 24-50-109.5, and Part 6, 1-6- 115, 1-6-122, 1-7-102, 8-40-101, 14-2-101, 14-15-103, 24-11-101, 24-11-112, 24-18- 102, 24-33.5-825, 24-50-401, 28-1-104, 28-3-601, 28-6-602, 28-3-607, 28-3-609, and 28-3-610. 11-1. The state reserves the sole right to add, modify, or discontinue any State of Colorado Employees Group Benefits Plan (the “state benefits”) as deemed necessary. 11-2. The Director complies with applicable federal and state law and regulations that govern state benefits plans, as well as the terms and conditions of the state benefits plans contracts and plan documents. Governing laws and regulations, and these rules shall prevail in the event of a conflict with contracts or plan documents. (7/1/10) 11-3. Chapter 11, State Benefits Plans rules apply to all departments administering and all employees eligible for state benefits plans. (02/2017)

Director Responsibilities 11-4. The Director will provide all benefits information, written directives and training to departments necessary for department benefits administrators to fulfill their responsibilities as delegated agents to the plans. (7/1/10) 11-5. The Director has sole authority to determine eligibility, negotiate contracts, determine plan designs, set rates and coverage tiers, define the plan year, and establish open enrollment periods, in accordance with law, regulations, and approved funding. (7/1/10) 11-6. The Director’s online benefits administration system is the official system of record for all eligibility and enrollment transactions. (7/1/10)

Department Responsibilities 11-7. All departments shall exercise due diligence when administering benefits in the best interests of the plans and all members. Benefits administrators are delegated agents of the Director in their respective departments. As a delegated agent of the Director, the responsibilities of the department benefits administrator(s) include, but are not limited to, the following:

A. Know and comply with plan documents and basic plan features, law and regulations, rules, benefits administration system, deadlines, the Director’s website, and written directives;

B. Communicate, disseminate, explain, and answer questions on all benefitsrelated information including, but not limited to, options and changes, process, requirements and eligibility;

C. Provide prompt notice of enrollment opportunities and information so employees can elect benefits during open enrollment or enroll within thirtyone (31) days of hire or an employee’s notice of a qualified event. The first day (day 1 of the 31 days) is the day after hire or a qualified event;

1. Qualifying Life Events due to Medicare or Medicaid, allow for sixty (60) day notification period.

2. Effective dates for all Qualifying Life Events, except for births and adoptions, are the first of the month following the date the event is entered into the benefits administration system. Effective dates for births and adoptions are the date of the event.

D. Monitor deadlines and assist employees with meeting those deadlines;

E. Provide employees with access to and training in the use of the benefits administration system, and assist employees with transactions;

F. Refrain from advising an employee of which individual elections to make and assisting an employee in the commission of fraud or attempted fraud of a state benefits plan; and G. Process timely and accurate transactions and payments. This includes regular review of pending actions, supporting documentation, and system reports in order to promptly approve elections, terminate coverage, investigate suspicious or questionable actions or data, correct errors, and verify continuing dependent eligibility. 11-8. These responsibilities apply to all departments, including those that offer their own separate group benefits plans to other employees not covered by the 24-50-

Section 6 “State Employees Group Benefits Act”. (7/1/10)

Employee Responsibilities 11-9. Employees are responsible for knowing, understanding, and adhering to these rules, plan documents for the terms and conditions of coverage, and eligibility and enrollment requirements in order to make timely and informed choices, including, but not limited to, the following:

A. Employees shall enter all required information in the benefits administration system in a timely and accurate manner in order to comply with eligibility and enrollment requirements for themselves and eligible dependents;

B. Enrollment of employees and eligible dependents is restricted to initial hire, annual open enrollment, and Qualifying Life Events defined by law and plan documents. Elections are irrevocable for the plan year, except in limited circumstances specified by law or regulations.

1. Any permitted enrollment, modification, or termination of enrollment shall be entered into the official benefits administration system within thirty-one (31) days before or after a Qualifying Life Event (sixty (60) days for Medicare and Medicaid Qualifying Life Events).

a. Coverage changes are effective the first of the month following the date the Qualifying Life Event is entered into the benefits administration system except for births/adoptions where coverage is retroactive to the date of birth/adoption.

b. Any supporting documentation required for the enrollment, modification, or termination of enrollment shall be submitted within forty-five (45) days of the qualifying event.

c. For open enrollment only, the transactions shall be entered into the official benefits administration system with accompanying documentation within the allotted time established. (07/01/2022)

2. Due dates are strictly enforced. Employees shall proactively communicate with their department benefits administrator before missing a deadline to determine if an extension can be provided due to unforeseen circumstances.

3. Employees are responsible for verifying their benefit elections annually during open enrollment; and 4. Employees who transfer from one (1) department to another shall notify both department benefits administrators to avoid a potential lapse in coverage.

C. Employees shall remove any dependent by the end of the month in which the dependent ceases to meet eligibility requirements.

1. Failure to do so may result in the employee’s continuing financial liability for total premium (employee and employer contributions) and/or cost of paid claims for the ineligible dependent, as specified in law and regulations, plan documents, and these rules.

D. Any enrollment or qualified change to enrollment constitutes authorization to begin or end payroll deductions.

1. Employees shall verify the accuracy of their payroll deductions and notify their department benefits administrator of any error. The notice shall be in writing and within fifteen (15) days from the pay date in which the first payroll deduction occurred.

2. If an employee fails to notify the department of the payroll error within the fifteen (15) day period, the employee may continue to be liable for the election for the remainder of the plan year unless the election is not consistent with plan documents, rules, laws, regulations, and written directives. 11-10. It is unlawful for any employee or dependent to intentionally provide false, incomplete, or misleading facts, information, or documents in written or electronic form, including within the benefits administration system for the purpose of defrauding or attempting to defraud the State of Colorado. The Director shall investigate when there is reason to believe an employee or dependent is committing or attempting to commit fraud against any state benefits plan. If the Director finds evidence of fraud or attempted fraud, the employee, dependent, or both may be subject to any or all of the following sanctions: (7/1/10)

A. Immediate termination of coverage;

B. Denial of future enrollment;

C. Requirement to reimburse the state contributions and claims costs during the time of ineligible coverage;

D. Filing of criminal charges; and/or E. Notice to the employee’s department, which may take employment action, such as corrective or disciplinary action.

Eligibility 11-11. Employees and their dependents shall meet the eligibility requirements as defined in state law, plan documents, and rules to qualify for enrollment in the state benefits plans. (7/1/10)

A. Dependents may not enroll in the state benefits plans unless the employee is enrolled.

B. If the employee and spouse/partner are both employees of the state;

1. Each employee may be enrolled separately, or may be covered as a dependent of one of the spouse/partners, but not both.

2. If both the employee and spouse/partner make a separate election under the state benefits plans, only one (1) parent may enroll children as dependents. 11-12. Additional criteria and documentation requirements are contained in the State of Colorado Employees Group Benefits Plan, law and regulations, rule, and other written directives, which are available in the Division of Human Resources (DHR)

Employee Benefits Unit. Dependents may be federal tax dependents (qualified) or non-tax dependents (non-qualified). Coverage for non-qualified dependents is subject to taxable income regulations. Eligible dependents are specified in statutes, primarily § 24-50-603(5), C.R.S., as modified or further defined by other state statutes. 11-13. Legal documentation is required to add any dependent to a state benefits plans.

Coverage of Benefits 11-14. Initial coverage in state benefits plans is effective on the first (1st) day of the month following the date of hire or initial eligibility unless otherwise specified by the contracts, law, or regulations. (1/1/14) 11-15. All coverage for a qualifying event is prospective from the beginning of the next month or the date of entry into the official benefits administration system, whichever is later, except for initial coverage for new employees and newborn children. (1/1/14) 11-16. Elections made during open enrollment are effective the first (1st) day of the new plan year. 11-17. Termination of coverage is subject to law and regulation, plan documents, and contracts, as well as the following rules. (7/1/10)

A. If at any time during the plan year any dependent ceases to meet the eligibility criteria, coverage ends on the last day of the month in which that dependent becomes ineligible.

B. Coverage in state benefits plans is terminated on the last day of the month that employment ends.

Payment of Contributions 11-18. Departments shall make prompt monthly payments based on enrollment in the official benefits administration system. (7/1/10)

A. The employee’s current department as of the last day of the month is responsible for payment. In the event of a transfer where benefits have been paid (partial or full) by the prior department that is not responsible for the benefit, only the State contribution should be refunded by the prior department and deducted as a one-time catch-up by the current department responsible for the month. The employee contribution should be left untouched unless it is identified that there is a true over or under payment by the employee for the benefit at the state level, not department level. (07/01/2025)

B. A department is liable for both state and employee contributions when failing to promptly enter an employee termination.

C. Known uncollected benefits premiums of separated employees, and state and employee contributions, are required to be paid by the end of the fiscal year. Departments will need to pay both state and employee contributions with state funds and may create a receivable for the employee contributions to the department. (07/01/2025) 11-19. Employees shall make an irrevocable election for the plan year to have contributions deducted on a pre-tax or after-tax basis as defined by the State of Colorado Salary Reduction Plan, law and regulations, rule, and written directives.

The employee’s contribution is deducted from the employee’s pay or, under certain circumstances, paid by personal payment for the selected state benefits plans, in arrears by the end of the month in which an employee is covered. 11-20. An enrolled employee who works or is on paid leave one (1) or more regularly scheduled, full workdays in a month, is eligible for the full state benefits contribution. (7/1/10) 11-21. When an employee is on leave, departments shall continue to pay the state contribution for those benefits that do not require an employee election (e.g., basic life and short-term disability) as long as the employee remains on the payroll, regardless of status. The department shall contact the employee to arrange a payment plan for benefit contributions that will be owed for the duration of the employee’s leave. (07/01/2025)

A. During paid leave or mandatory furlough, the employee contribution continues to be paid through payroll deduction and the department continues to pay the state contribution.

B. During unpaid leave, the employee shall pay the total premium (employee and employer contributions) for all elected benefits to the department within the month of coverage, except as noted below. If the employee fails to pay when due, coverage will be terminated but shall be reinstated on the first day of the month following their return to work with the exception of voluntary long-term disability coverage. Voluntary long-term disability coverage for unpaid leave for longer than 90 days will require late entrant underwriting for reinstatement. If the employee fails to return after the leave, any contributions due will be recovered as specified by federal regulations. (07/01/2025)

1. During unpaid leave pursuant to the Family Medical Leave Act of 1993, the department shall continue to pay the state contribution as long as the employee continues to pay the employee contribution by the due date specified in the family/medical leave notice.

2. While an employee is on voluntary furlough or short-term disability leave, the department shall continue to pay the state contribution for all elected benefits as long as the employee continues to pay the employee contribution as agreed upon with their department.

3. While an employee is on FAMLI leave, the department shall continue to pay for all elected benefits as long as the employee continues to pay the employee contribution by the due date specified as agreed upon with the department. (07/01/2025) 11-22. Refunds for employee and state contributions are subject to plan limitations and as defined in law and regulations, rule, and written directives. (7/1/10) 11-23. When there is a difference between the contribution paid by the employee and the actual contribution due, the difference is paid by the employee. (e.g., change in coverage tier). (7/1/10)

Director’s Review of Benefits Appeals 11-24. The Director’s Benefits Appeal Filing. All Director’s Benefits Appeals are administratively processed through the Division of Human Resources (DHR)

Employee Benefits Unit using the Colorado State Employees Group Benefits Eligibility Determination Appeal Form.

A. The Director’s Benefits Appeal. The Director’s Benefits Appeal shall use the Colorado State Employees Group Benefits Eligibility Determination Appeal Form found on the DHR website.

B. Contents of the Director’s Benefits Appeal. The Director’s Benefits Appeal contains the information for denial of eligibility for the state benefits plan.

C. The filing of a timely Director’s Benefits Appeal must meet the following criteria:

1. The Director’s Benefits Appeal shall be filed with the DHR Employee Benefits Unit within thirty-one (31) days of the denial of eligibility for state benefits plans. The first day of the count is the day after the date on the notification and each calendar day thereafter.

2. If a deadline falls on a weekend, official state holiday, or by 3. Any filing via facsimile or email that is received by the DHR Employee Benefits Unit by 5:00 p.m. Colorado time shall be deemed to have been filed on that date.

3. If the filing is through mail by the United States Postal Services, the date of filing is the postmark.

4. Failure to timely file an appeal may result in the Director’s Benefits Appeal being dismissed without a review.

D. Where to File. Appeals and other documents may be filed by United States Postal Service, facsimile, or via email.

1. The mailing address for filing is Department of Personnel and Administration, Division of Human Resources Employee Benefits Unit, 1525 Sherman Street, 3rd Floor, Denver, Colorado 80203.

a. Normal business hours for the DHR Employee Benefits Unit are from 8:00 a.m. to 5:00 p.m., Monday through Friday, except for official state holidays or days that state offices in Denver are closed due to weather or safety by governor order.

2. The facsimile number is 303-866-3879. Facsimile filings may not exceed ten (10) pages.

3. The DHR Employee Benefits Unit’s email address is state_benefits@state.co.us.

E. The Director will issue a final written decision within forty-five (45) days of receipt of the benefits appeal.

1. The ineligibility decision may be overturned only if found to be arbitrary, capricious or contrary to rule or law.

Denial of Claims Appeals 11-25. Provider Denied Claim: Appeals of denied claims under any of the state benefits plans shall follow the specific appeal process defined in the specific contract, plan document, summary plan description, or regulated entity. The provider will issue a final written decision in accordance with its process. (7/1/10)

A. Appeals of denied claims under fully insured plans are regulated by the State of Colorado Division of Insurance, and follow the plan’s appeal process as defined in the contract and plan document.

B. Appeals of denied claims under self-funded plans are not regulated by the State of Colorado Division of Insurance, and follow the third-party administrator’s appeal process as defined in the contract and plan document.

Colorado State Employee Assistance Program (CSEAP) 11-26. Services provided include but are not limited to counseling services, crisis intervention, consultations with supervisors and managers, facilitated groups, trainings, and workshops. (7/1/10) 11-27. Any state employee and any participating departments or entities may use CSEAP services. State employees from non-participating departments or entities may have limited access to CSEAP services.

A. Participating departments and entities and individual state employees from participating departments and entities may access or participate in all CSEAP services. Some services provided by CSEAP may include cost(s) incurred by the participating department or employees.

B. Any individual state employee from a non-participating department or entity may access counseling and available open-access webinar services from CSEAP.

C. Non-participating departments or entities may access limited CSEAP crisis counseling or critical incident response services regardless of whether the department or entity financially contributes to CSEAP. Availability of these services to non-participating departments is based upon available CSEAP resources.

D. The program may include other persons if necessary to provide effective assistance to the employee.

E. The Director will determine the number of sessions available to employees within a twelve (12) month period. Additional sessions may be authorized at the discretion of the counselor. 11-28. Participating departments or entities are defined as those that make payments to any state fund or account that funds CSEAP. In the event that departments or entities do not contribute to the state risk management fund and/or other funding source for CSEAP, departments or entities may arrange payment (when a structure for payment exists) to the Department of Personnel and Administration for CSEAP services.

Supplement State Contribution Program 11-29. State employees who are eligible to enroll in medical and dental benefits and have at least one (1) dependent child who will be or could be covered under state benefits may apply to the Supplement State Contribution Program. A child cannot be covered under Child Health Plan Plus (CHP+). 11-30. Approval of application is subject to the established Supplement State Contribution Program’s policy. 11-31. Determination of the Supplement State Contribution Program is final and cannot be appealed, as it does not relate to eligibility.

Editor’s Notes

History Chapters 1, 2, 3, 5, 6, 8, 10 eff. 07/01/2007.

Chapters 1, 4, 7, 8 eff. 10/01/2007.

Chapters 3, 5 eff. 07/01/2008.

Chapters 1, 2, 3, 4, 5, 6, 8 eff. 08/01/2008.

Preamble, Chapter 7 emer. rules eff. 04/10/2009.

Rule 5-13 A emer. rule eff. 05/20/2009; expired eff. 08/20/2009.

Rules 7-4, 7-15, 7-18, and 7-21 eff. 07/01/2009.

Preamble, 8-2, 8-50(C) eff. 12/01/2009.

Preamble, 1-51, 1-70, 2-7, Chapter 5, 8-78 eff. 05/01/2010.

Chapter 11 eff. 07/01/2010.

Preamble, Chapter 8-50(C) eff. 08/14/2010.

Preamble, Chapters 1 and 4 eff. 03/15/2011.

Chapters 3, 6-8 eff. 09/01/2012.

Preamble, Rules 1-25, 1-37.1, 1-38.2, 1-43, 1-46, 1-54, 1-55, 1-56.1, 1-61, 1-62.2 – 1- 62.4, 1-64.1, 2-10.B.1, Chapter 4, 8-42, 8-46.A, 8-46.1, 8-53, 8-81, 9-7, 10-3.F emer. rules eff. 01/02/2013.

Preamble emer. rule eff. 01/15/2013; rule 2-13 emer. rule repealed eff. 01/15/2013.

Entire rule eff. 03/30/2013.

Preamble, Chapters 5 and 8 eff. 07/01/2013.

Entire rule eff. 01/01/2014.

Preamble, Rules 1-2, 1-26, 4-42, 6-10, 6-14, 8-28, 8-38 – 8-39, 8-45, 8-47, 8-51.A, 8- 51.F, 9-6, eff. 01/01/2015.

Preamble, Rules 5-19 – 5-20 eff. 01/14/2015.

Preamble, Procedures 3-18, 5-1, 5-2, 5-5, 5-7 – 5-10, 5-12 – 5-16, 5-18 – 5-21, 5-25, 5- 28 – 5-32, 5-34, 5-37, 5-38, 11-3, 11-9, 11-11, 11-12, 11-16, 11-19, 11-21 eff. 02/14/2017. Procedure 11-7 H repealed eff. 02/14/2017.

Preamble, Chapters 2, 3, 7 eff. 01/01/2018.

Preamble, Chapter 8 eff. 01/14/2018.

Preamble, Procedures 3-9.C, 3-26, 3- 27, 3- 42, 5-6, 5-10, 5-17, 5- 17.D, 5- 21 - 5-24, 5- 33 - 5-36 eff. 11/01/2019. Procedure 9-7 repealed eff. 11/01/2019.

Preamble, Procedures 3-49.D.4, 5-39 – 5-41 emer. rules eff. 03/13/2020; expired 07/11/2020.

Preamble, Chapters 1, 3, 5, 10, 11 eff. 04/01/2020. Procedures 1-79.C-E, 10-4.C repealed eff. 04/01/2020.

Preamble, Procedures 5-4.A, 5-7(Table) emer. rules eff. 04/01/2020.

Preamble, Procedures 5-4.A, 5-7(Table), 5-17.A emer. rules eff. 07/01/2020.

Preamble, Procedure 5-39 emer. rules eff. 07/02/2020; expired 10/30/2020.

Preamble, Procedures 3-49.D.4, 5-4.A, 5-7(Table), 5-17.A, 5-21.A, 5-23, 5-38.A, 5-40, 5- 41 eff. 08/01/2020.

Preamble, Chapters 1, 3, 4, 5 eff. 01/01/2021.

Preamble, Procedures 5-5.E, 5-15.D, 5-16 emer. rules eff. 01/13/2021. Procedure 5- 17.C emer. rule repealed eff. 01/13/2021.

Preamble, Chapter 7 eff. 02/01/2021.

Preamble, Chapter 8. Part D emer. rules eff. 03/15/2021.

Preamble, Procedures 5-5.E, 5-15.D, 5-16, eff. 04/01/2021. Procedure 5-17.C repealed eff. 04/01/2021.

Preamble, Chapter 8 eff. 05/01/2021.

Preamble, Chapter 6 eff. 07/01/2021.

Preamble, Chapter 9 eff. 09/01/2021.

Preamble, Chapter 5 Authority, Rule 5-16 emer. rules eff. 05/14/2022.

Preamble, Chapter 11 eff. 07/01/2022. Preamble, Rules 5-7, 5-10, 5-16 emer. rules eff. 07/01/2022.

Preamble, Board Rules 1-5, 1-19, 8- 7.C, 8-25.A.2-3, 8-35.H, 9-3, Procedures Chapter 5

Authority, 5- 1.D.1, 5- 4.A, 5-5.E, 5- 7, 5- 10, 5-16, 5-39.A, eff. 09/01/2022.

Board Rule 1-2 eff. 07/01/2023.

Preamble, Chapter 5 Authority, Rules 5-4, 5-5 emer. rules eff. 08/07/2023.

Preamble, Chapter 5 Authority, Rules 5-1.D, 5-4, 5-5, 5-6.B, 5-7, 5-16.C, 5-28, 5-29 - 5- 35, 5-37.A, 11-21.B.3 eff. 12/01/2023.

Board Rules 1-19, 1-71, 4-5, 4-6, 8-6(C)(5), 8-20(A)(5), 8-20(B)(6)(a)(i), 8-33(A)(1), 8- 37, 8-51(E) eff. 05/01/2024.

Board Rule 1-71 eff. 04/01/2025.

Preamble, Chapters 1-8, 11 eff. 07/01/2025.

Board Rule 1-2(E)(2) eff. 09/15/2025.

Boar d Rules 1-2, 8-21 eff. 05/15/2026.

Preamble, 1- 64.1, 3-8, 3- 30, 3-42, 3-50.1, 3-54, 5-7, 5-10, 5-30, 5- 45, 8-77, 8-77.1 eff. 07/01/2026.