Management & Evaluation
The University of Colorado Boulder has developed a performance management program in compliance with the State Personnel Board Rules and Procedures. The performance management program is designed to help employees achieve performance excellence and encourages collaboration between supervisors and employees, with an emphasis on continuous feedback. Human Resources is available to assist employees and supervisors in the administration of the performance management program.
Boulder Campus Performance Management Deadlines and Information
Employees must receive a new plan at the beginning of each evaluation cycle so that they can be fairly evaluated at the end of the performance management cycle. New plans must also be put into place within 30 days of an employee’s hire, promotion, demotion, transfer or change in supervisor.
The performance management cycle is April 1- March 31. All classified staff hired on or before March 31 must receive an evaluation.
All completed evaluations must be sent to the Employee Relations by May 1.
Performance plans should be put in place by June 1. The performance management process requires that a copy of the front page of the planning and evaluation form, with the planning box completed, be sent to Employee Relations by this date.
The performance management process also requires that at least one coaching session/progress review meeting occur within the plan year. If only one coaching session is held, it should be scheduled for the months of October or November.
If you have any questions about the performance management process, please contact Human Resources at 303-492-6475.
Performance management serves as an important mechanism for providing feedback to university staff regarding performance expectations and achievements.
Consistent with Regent Law (Article 3.D), Regent Policies (3.G.D. and 11.C.3), and the Administrative Policy Statement on Performance Ratings for Staff, all university staff, including those who are partially or fully grant-funded, must receive an annual performance plan, a performance evaluation and an overall performance rating for each university staff position an individual employee occupies.
Supervisors are not required to complete performance plans, evaluations and overall performance ratings for retirees occupying temporary university staff positions.
Performance Management Deadlines and Information
The performance management evaluation period for university staff is February 1 – January 31. Supervisors will have the month of February to complete performance reviews based on the evaluation period. The final evaluation and performance score is due on March 1. This cycle was chosen to accommodate the Regents’ annual merit decision making process and to accommodate supervisors and faculty who also have to conduct performance evaluations for faculty and classified employees.
The performance management cycle begins on February 1. Supervisors must conduct evaluation meetings with their employees during the month of February.
A copy of the completed evaluation and rating form must be received by Employee Relations by March 1. Supervisors must conduct planning meetings with their employees during the month of March.
Departments must provide the performance ratings for all university staff to their respective vice chancellor’s office for consideration in the merit process.
A performance plan should be completed for all university staff by April 1.
The performance management cycle ends on January 31.
Performance Management Compliance
Employees who do not have a completed evaluation and rating form on file will not be eligible for a merit increase. Additionally, any supervisor who fails to complete an evaluation for each of their employees will also not be eligible for a merit increase. If the university staff supervisor leaves the university without completing an evaluation for each of his/her employees, the next level supervisor is responsible for completing the evaluations pursuant to these guidelines.
Performance Calibration is a two- step process that includes supervisors who are responsible for conducting the performance evaluations and the reviewer who examines the employee evaluations. The calibration process provides a forum for discussion of employee’s performance with the goal of making sure supervisors apply similar standards for all employees and eliminate biases to the greatest extent possible.
- Ensures supervisors are well versed in the definitions and application of the rating scale
- Helps supervisors have well thought through reasons as to why they gave a particular rating to an employee
- Helps prepare supervisors to have better performance discussions with their employees; provides supervisors with more confidence in their ratings after discussing the rating in a calibration meeting
- Ensures a more consistent and fair evaluation of an employee’s performance by identifying potential supervisor and reviewer biases
- Provides awell thought out basis for merit increases based on performance
- Provides for better professional development and succession planning as more people managers get insights into the capabilities of employees from other areas
Upon completion of employee evaluations, and prior to holding the evaluation meeting with the employee, the evaluations should be sent to the reviewer. The reviewer is usually the supervisor’s manager, but that may vary in certain colleges and departments.
The reviewer reads each evaluation, looking in particular for constructive supervisory comments and ensuring evaluations are thorough and logical. If the reviewer decides a supervisor should alter a particular evaluation, the reviewer sends the evaluation back and waits for revision.
Once all employee evaluations have been examined and agreed upon by the reviewer – and any necessary changes are made, then a meeting is scheduled between all college/department reviewers. Supervisors may also be in attendance at these meetings if desired. It is up to the particular college and department to determine the level of participation at the calibration meeting.
The HR Liaison pulls together the ratings distribution within that college/ department to be discussed in the calibration meeting. The executive Leader holds a meeting with all the reviewers, and supervisors if desired. In this meeting, the participants look at the rating distributions for the entire college/department and ensure the ratings are being consistently and fairly applied to all employees, and that no single supervisor is giving all employees the same numeric rating.
The group may ask questions about specific ratings and may suggest adjustments based on their experience with the employee. Following the discussion, reviewers ensure that the supervisors understand any changes that need to be made to the evaluations and that these changes are made prior to having the in-person performance evaluation meeting with the employee.
Communicate College/Department Goals. Goals for each area should be communicated in advance and as thoroughly as possible so employees understand how their daily work contributes to the success of the college/department, and so that employees understand the measures on which they will be evaluated.
- Educate supervisors. They need to understand what calibration is, why it is necessary, how it works, and what their role is.
- Don’t hide the process from employees. It could de-motivate employees, if the calibration process is seen as secretive. Be open about the process, but maintain confidentiality outside of the calibration meeting.
- Don’t expect perfection. The calibration process is imperfect because the people using it are imperfect. Each calibration meeting should have checks and balances built in so leaders are held accountable for their evaluation decisions.
- Get the right people involved. Make sure that the reviewer can adequately represent the employees being discussed at the calibration meeting or invite the supervisors if their input is needed.
- Set appropriate ground rules for meetings. Participants must feel open to challenge and debate. They must also feel comfortable asking their peers for advice if they need help in determining or communicating a rating.
- Leverage the information gathered during the process. The power of calibration goes beyond performance ratings. These discussions yield important insight into your top performers and your employee’s who are struggling. Keep this in mind as you set up goals think about your talent pool for the next performance cycle and beyond.
University Staff Competencies
The university staff competency model translates the campus values into behaviors to ensure that employee behavior aligns with the campus culture and vision.
Definition: Gaining the confidence and trust of others through honesty, authenticity, and acceptance of responsibility.
- Accepts responsibility that come with working in the interest of the public good.
- Follows through on commitments- shows consistency between words and actions--does what they say they will do, and what they are expected to do—and makes sure others do the same.
- Accepts responsibility for one’s own conduct in creating a climate of inclusive excellence.
- Acts with a clear sense of ownership.
- Takes personal responsibility for decisions, actions, and failures.
- Establishes clear expectations and processes, and uses data for monitoring work and measuring results.
Definition: Exemplifying excellence through diversity by creating a welcoming and inclusive environment that maximizes the success and inclusion of all students, staff, and faculty.
- Actively seeks and engages with diverse perspectives.
- Identifies and mitigates bias on a personal, institutional and process level.
- Identifies and addresses barriers to inclusion on the personal, institutional and process levels.
- Fosters the health and wellbeing of our campus community by welcoming and encouraging participation of all.
- Contributes to building diversity
- Accepts and honors diverse perspectives
- Understands the importance of diversity and inclusion
- Recognizes and mitigates dynamics created by power differences and hierarchy
Definition: Creating new and better ways for the organization to be successful. Adapting to change and engaging in continuous learning and critical thinking to promote the growth of the individual and the organization.
- Develops useful ideas that are new, better, or unique.
- Introduces new ways of looking at problems.
- Can take a creative idea and put into practice.
- Embraces diverse perspectives to promote or nurture innovation.
- Fosters interdisciplinary/transdisciplinary work.
- Adapts to change.
- Promotes growth of the individual and the organization.
- Engages in continuous learning.
- Engages in critical thinking.
- Takes risks.
Definition: Building partnerships and working collaboratively with others to meet shared objectives.
- Understands and prioritizes the goals of the university (‘university first’)
- Understands how their work supports the mission of the university
- Works in partnership with others.
- Values and incorporates diverse perspectives.
- Removes barriers to solve problems.
Definition: Ensuring that key and critical information is shared in a timely fashion. Developing and delivering information in multi modes that demonstrate the needs of different audiences.
- Effective in variety of communications settings (groups, size, position, styles, diverse audiences), and adjusts to fit the audience and the message.
- Attentively listens to others.
- Provides and encourages the expression of diverse ideas and opinions.
- Engages in candid and constructive dialogue on difficult topics.
- Is respectful of each other’s unique backgrounds and perspectives.
The competencies were derived from the campus values identified by the Office of Diversity, Equity and Community Engagement (ODECE) in partnership with the campus. Building on ODECE’s comprehensive, campus-wide input process, behaviors were identified based on the descriptions provided in ODECE’s work, as well as review of nationally known research-based competency models. The work is inclusive of values reflected in the Colorado Creed.
Human Resources is available to assist classified employees and supervisors understand the various dispute resolution processes available on campus. Contact Employee Relations for assistance.
Human Resources administers the formal grievance process for classified staff. The grievance process is used for disputes that do not involve pay, status or tenure and those that are not related to performance management. All grievances must be initiated within 10 calendar days of the incident(s) being grieved. The grievance process is initiated by submitting the grievance form to the Human Resources before the 10-day deadline.
For questions regarding the grievance process, please contact Human Resources at 303-492-6475.
Grievance Policy and Procedures
The University of Colorado Boulder (CU Boulder) grievance process is established for CU Boulder and System Administration certified and probationary classified staff in permanent positions pursuant to Chapter 8 of the State of Colorado Personnel Rules and Procedures. These employees may grieve matters that are not otherwise directly appealable or reviewable by the State Personnel Board. Appealable matters include those that adversely affect current base pay, status or tenure. Grievances may not be initiated to address issues pertaining to leave sharing, discretionary pay differentials or final performance evaluations that do not result in corrective or disciplinary action. The grievance process is administered by the CU Boulder Department of Human Resources, Employee Relations. The grievance process is designed to address and resolve problems, not to be an adversarial process.
The grievance procedure consists of two steps.
- An informal discussion with the person against whom the grievance is filed.
- A formal process initiated by the grievant.
Grievances must be initiated within 10 calendar days of the action being grieved.
- To initiate the grievance process, the grievant must contact Human Resources to schedule a meeting to discuss the grievance.
- Prior to or during this meeting, the grievant must complete the Grievance Form to indicate who and what the grievant wants to grieve and the remedy requested.
- The grievant will also need to provide any documents or paperwork that s/he wants to be considered during the grievance process.
After this meeting, HR will issue a Notice of Grievance to the grievant, which describes the steps and persons involved in the grievance process.
- Any documents submitted by the grievant will be attached.
- All grievance documents will be sent to the Step 1 respondent and the Step 2 decision maker.
- All grievance documents, including the Grievance Form, Notice of Grievance, Step 1 and Step 2 decisions and all supporting documentation submitted by the grievant, Step 1 respondent and Step 2 decision maker will be maintained in the grievant’s official personnel file.
At any time during the grievance process, mediation may be requested through HR by either party involved in the grievance and may be provided by the CU Boulder Ombuds Office or the State Mediation Program.
Time frames designated in the grievance process may be waived or modified if agreed to by both parties. Only issues set forth in the written grievance may be considered after the grievance is filed.
An employee may be represented by any person of the employee’s choice at Step Two or beyond of the grievance process. That person may participate and speak for the employee. However, the employee is expected to participate in the discussion during the grievance process. If the grievant is represented by an attorney, a university attorney will also be present. At the discretion of the respondent at Step 1 and the decision maker at Step 2, the parties may tape record the proceedings.
Step 1 - Informal Discussion:
The grievant has ten (10) calendar days from the date of the Notice of Grievance to initiate a meeting to discuss the grievance with the person named (the respondent) in Step 1 of the Notice of Grievance.
- The respondent shall inform the grievant and HR in a signed, written document of the respondent’s decision within seven (7) calendar days after the informal discussion.
- If the respondent’s decision does not resolve the matter or if the grievant does not receive a written decision within seven (7) calendar days or by the date mutually agreed upon by the parties, the grievant may proceed to Step 2.
Step 2 - Formal Process:
Within five (5) calendar days of receipt of the Step 1 written decision, the grievant may initiate Step 2 by notifying the decision maker designated in Step 2, and Human Resources, in writing, of his/her intent to proceed.
The Step 2 decision maker, in reaching a decision, may:
- Convene a meeting with the grievant;
- Consider only the submitted grievance materials;
- Appoint an objective person or panel to make recommendations; or
- Delegate the decision.
The Step 2 decision maker must issue a final, written decision within 30 calendar days of the initiation of the Step 2 process.
The Step 2 decision is binding unless the grievant files a petition for hearing with the State Personnel Board. The Board’s decision to hear the petition for hearing is discretionary.
The petition must be filed within 10 calendar days after receipt of the Step 2 written decision, or after the expiration of the 30 days or any extension period. The grievant must provide the Step 2 decision maker and Employee Relations with a copy of the petition.
The petition must be addressed to: State Personnel Board, ATTN: Appeals Processing,1525 Sherman Street4th floor, Denver, Colorado 80203 or fax to: 303-866-5038. If the grievance involves an allegation of discrimination, written notice must be sent to the State Personnel Board within 10 calendar days of the alleged discriminatory practice.
El proceso de quejas de la Universidad de Colorado Boulder (UCB) fue establecido para UCB, para el personal del Sistema Administrativo certificado y para el personal clasificado en posiciones permanentes y probatorias, conforme al Capítulo 8 de las Reglas y Procedimientos de Personal del Estado de Colorado. Estos empleados pueden introducir quejas sobre asuntos que no sean, de otra manera, directamente apelables o discutibles por el Comité de Personal del Estado. Los asuntos apelables incluyen aquellos, que de una manera adversa, afectan el salario básico actual, el estatuto o la permanencia en un cargo o vitalicio. Las quejas no deberán ser iniciadas para tratar casos relacionados con la donación de horas al banco para enfermedad (leave sharing), para la diferencia salarial discrecional o para las evaluaciones finales sobre el desempeño laboral, siempre y cuando no resulten en una acción correctiva o disciplinaria. El proceso de quejas es administrado por la Oficina de Relaciones con los Empleados, en el departamento de Recursos Humanos de la Universidad de Colorado Boulder (UCB). El proceso de quejas está designado para tramitar y resolver problemas y no para ser un proceso adversario.
Procedimineto Para El Proceso De Quejas
El proceso de quejas consta de dos pasos. El primer paso es una discusión informal con la persona contra la cual que se introduce la queja. El segundo paso es un proceso formal iniciado por el denunciante (la persona que introduce la queja).
El proceso de queja debe ser iniciado dentro de los 10 días regulares del calendario una vez que el hecho ha sido planteado. Para iniciar el proceso de queja, el denunciante debe ponerse en contacto con la Oficina de Relaciones con los Empleados y concertar una reunión para discutir dicha queja. Antes o durante esta reunión, el denunciante debe llenar el Formulario sobre el Proceso de Quejas que indique contra quién es la queja, que es lo que se desea presentar y que solución busca. El denunciante también necesitará proveer cualquier documento o papeles que él/ella quiere que sean considerados durante el proceso de la queja.
Después de esta reunión, la Oficina de Relaciones con los Empleados entregará al denunciante una Notificación sobre Proceso de Quejas la cual describe los pasos y las personas envueltas en el proceso de dicha queja. Cualquier documento que sea introducido por el denunciante, deberá ser adjunto. Todos los documentos de la queja serán enviados al paso 1, el acusado, y al paso 2, la persona que toma la decisión. Todos los documentos relacionados con la queja incluyen, el Formulario sobre el Proceso de Quejas, la Notificación de la Queja, las decisiones denotadas en el paso 1 y el paso 2 y todos los documentos de apoyo introducidos por el denunciante, en el paso1, el acusado, y en el paso 2, la persona que toma la decisión serán mantenidos en el archivo personal oficial del denunciante.
En cualquier momento durante el proceso de la queja, una mediación podrá ser requerida a través de la Oficina de Relaciones con los Empleados por cualquiera de las partes envueltas en la queja, esta podría ser ofrecida por la Oficina del Ombuds en la Universidad de Colorado Boulder, o a través del Programa de Mediación del Estado (State Mediation Program).
Si ambas partes están de acuerdo, el tiempo estimado asignado para el proceso de la queja puede ser renunciado, o modificado. Solamente los asuntos presentados en la queja escrita, podrán ser considerados una vez que dicha queja ha sido introducida.
Un empleado puede ser representado por cualquier persona que el empleado haya escogido en el Paso 2 ó más allá del proceso de la queja. La persona puede participar y hablar por el empleado. Sin embargo, se espera que el empleado participe en la discusión durante el proceso. Si el denunciante está representado por un abogado, un abogado de la Universidad también estará presente. A discreción del acusado, en el Paso 1, y a la discreción de la persona que toma la decisión, en el Paso 2, las partes involucradas podrán grabar los procedimientos.
Paso 1 - Discusión Informal
El denunciante tiene diez (10) días regulares del calendario desde la fecha de la Notificación de la Queja para concertar una reunión y discutir la queja con la persona nombrada en el Paso 1 (el acusado) en la Notificación de la Queja.
El acusado deberá informar al denunciante y a la Oficina de Relaciones con los Empleados de su decisión, por medio de un documento escrito y firmado, dentro de los siete (7) días regulares del calendario después de la discusión informal. Si la decisión del acusado no resuelve el asunto, o si el denunciante no recibe un decisión por escrito dentro de los siguiente siete (7) días regulares del calendario, o para la fecha mutuamente acordada por las partes, el denunciante puede proceder con el Paso 2.
Pasó 2 - Proceso Formal
Dentro de los (5) días regulares del calendario de haberse recibido por escrito la decisión en el Paso 1, el denunciante podrá proceder con el Paso 2 notificando por escrito a la persona que toma la decisión designada en el Paso 2, y a la Oficina de Relaciones con los Empleados, de su intención de proceder con este paso.
La persona que toma la decisión en el Paso 2, al alcanzar su decisión, puede:
- Concertar una reunión con el denunciante;
- Considerar solamente el material introducido;
- Nombrar una persona o un panel para hacer recomendaciones; o
- Delegar la decisión.
La persona que toma la decisión en el Paso 2, debe emitir una decisión final por escrito dentro de los 30 días regulares del calendario, después de haberse iniciado el proceso en el Paso 2.
La decisión en el Paso 2, es decisiva a menos que el denunciante introduzca una petición para una audiencia con el Comité de Personal del Estado (State Personnel Board). La decisión del Comité de oír la petición en una audiencia estará a la discreción del mismo Comité.
La petición debe ser introducida dentro de los 10 días regulares del calendario después de haberse recibido la decisión por escrito del Paso 2, ó después de que hayan expirado los 30 días, o cualquier otro período de prórroga. El denunciante debe entregar a la persona que toma la decisión en el Paso 2, y a la Oficina de Relaciones con los Empleados una copia de dicha petición.
La petición debe ser enviada a:
State Personnel Board, Procesamiento de apelaciones: ATTN
1525 Sherman Street
Denver, Colorado 80203, o puede ser enviada por fax al teléfono 303-866-5038. Si la queja implica una alegación de discriminación, se debe enviar una notificación por escrito al Comité de Personal de Estado (State Personnel Board) dentro de los 10 días regulares del calendario de la presunta práctica discriminatoria.
Any action that adversely affects current base pay, status or tenure of a classified staff (except annual total compensation survey, discretionary pay differentials, leave sharing, personal services contracts, and job evaluation actions) may be appealed and will be set for hearing by the State Personnel Board.
- Other actions may be heard by the Board at the Board’s discretion.
- All appeals must be filed within 10 calendar days of the incident(s) being appealed.
- It is necessary to follow the instructions and use the appeal form provided by the State Department of Personnel.
For assistance and information about the appeal process, contact Human Resources at 303-492-6893.
State of Colorado Appeal Forms
Human Resources administers the dispute resolution process for classified staff who choose to formally dispute their final evaluation or the application of the university’s performance management program to the individual employee’s plan and/or final overall evaluation.
- Classified staff have five working days from the date of her/his evaluation meeting to file a dispute as indicated on the last page of the Planning and Evaluation form.
- Employees must initiate the process by completing the dispute resolution form and submitting copies to their supervisor, appointing authority and the Human Resources within the five-day deadline.
- The dispute resolution process is attached to the Planning and Evaluation form.
For questions regarding the dispute resolution process, contact Human Resources at 303-492-6893.
Dispute Resolution Process
This overview of the Dispute Resolution Process is an abbreviated version of the formal process that is available in its entirety at your campus Human Resources department. Before initiating this process, you are encouraged to have a meeting with your supervisor to identify and possibly rectify the issue about which you are concerned.
What Issues Are Disputable?
The State Personnel Director has defined the specific performance management matters that may be disputed by an employee and has specified the stages at which these matters will be reviewed. They are:
- The individual final overall performance evaluation, including lack of a final overall evaluation; and,
- The application of the University’s performance management program to the individual employee’s final overall evaluation.
Please note that the first issue must be decided at the first stage (internal), and is not reviewable further. Issue 2, if not resolved at the University level, is reviewable at the second stage (State Personnel Director).
What Issues Are Not Disputable?
- The content of the University’s performance management program (or an approved campus modification of the program);
- Matters related to the funds appropriated; and,
- The performance evaluations and merit pay of other employees;
First Stage—Internal: University of Colorado Campus Level
To initiate the internal review process, the employee must submit a review request on the standard university form to the Decision Making Authority. When disputing the individual final overall performance evaluation rating, the written request must be filed within five (5) working days after the meeting at which the rater formally presents the employee with his/her final overall performance evaluation and during which the employee and rater discuss the performance rating. Copies of the written request must be submitted to the supervisor and to Human Resources.
Unless there are extraordinary circumstances, the Decision Making Authority or designee must, within five working days from receipt of the form, meet with the employee, the supervisor, and with any other persons whom the employee or the supervisor deem to have pertinent information. The Decision Making Authority remains responsible for scheduling the meeting with the affected parties and for adhering to the schedule for completion of the review. After the meeting, the Decision Making Authority has five working days to render a decision.
Second Stage—External: State Personnel Director
The second stage applies to issue 2 only. If unsatisfied with the decision of the Decision Making Authority, the employee may file a written request for external review with the State Personnel Director within five working days from the date the internal decision is received. This request must be submitted on the standard Consolidated Appeal/Dispute Form available from Human Resources. Mail, hand-deliver, or fax the form to:
Colorado State Personnel Board
1525 Sherman Street,
Denver, Colorado 80203
The request must include a copy of the original written performance management issue(s) raised by the employee and the final written decision from the internal review stage. A copy of this written request also must be sent to Employee Relations.
This request will be screened based upon specific criteria established by the State Personnel Director, and if it is determined that further review is not warranted, that decision is final and binding and the employee will be notified accordingly. If, however, further review is warranted, the Director shall select a qualified neutral third party to review the decision who must within thirty days issue a written decision, which is final and binding.
Dispute Resolution Forms
Human Resources provides support for both employees and supervisors with the goal of creating the best work environment possible for everyone. Employees are encouraged to contact Human Resources to understand their rights and responsibilities with regard to disciplinary processes. Because these processes are complex, we advise all employees, regardless of role or level, to strategize with the HR team on their unique concerns. Contact HR for further guidance.