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All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the
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NO. COA01-1121
NORTH CAROLINA COURT OF APPEALS
Filed: 3 December 2002
WILLIAM T. SKINNER,
Petitioner,
v
.
NORTH CAROLINA DEPARTMENT OF CORRECTION,
Respondent.
Appeal by petitioner from order entered 4 June 2001 by Judge
David Q. Labarre in Wake County Superior Court. Heard in the Court
of Appeals 6 June 2002.
Browne, Flebotte, Wilson & Horn, P.L.L.C., by Joy Rhyne Webb,
for petitioner appellant.
Attorney General Roy Cooper, by Assistant Attorney General
Neil Dalton, for the State.
TIMMONS-GOODSON, Judge.
William T. Skinner (petitioner) appeals from an order of the
trial court affirming a decision and order of the North Carolina
State Personnel Commission (the Commission). In its decision,
the Commission affirmed the disciplinary action taken by
petitioner's employer, the North Carolina Department of Correction
(respondent), in demoting petitioner. After a careful review of
the record, we affirm the order of the trial court.
The facts pertinent to this appeal are as follows: Petitioner
was employed with respondent in the position of Correction Food
Service Supervisor I at Pasquotank Correctional Institute
(Pasquotank). As a food service supervisor, petitioner oversaw
the preparation and distribution of food to the inmate populationduring his shift, and was responsible for maintaining the kitchen
in a sanitary and orderly fashion. Petitioner's duties included
supervising food service assistants, who in turn supervised the
inmates assigned to work in the food service department.
On 31 December 1996, petitioner received a written warning for
poor job performance. The warning reprimanded petitioner for
allowing an unauthorized deviation from the approved menu at
Pasquotank on 11 December 1996. On 1 May 1997, respondent issued
a second warning to petitioner for unsatisfactory job performance,
due to petitioner's alleged failure to maintain proper sanitary
conditions in the kitchen. On 29 September 1997, petitioner
received notice of a pre-demotion conference to be held on the
following day. The notice advised petitioner of a proposed
recommendation to demote him and listed seven specific incidents
involving unacceptable job performance by petitioner. The notice
invited petitioner to attend the conference in order to respond to
the issues supporting the proposed demotion and transfer.
Petitioner attended the conference, submitting both an oral and
written statement.
On 5 November 1997, respondent transferred petitioner to the
Currituck Correctional Center. On 29 December 1997, respondent
notified petitioner of his demotion to the position of correctional
officer. The notice set forth several grounds for the disciplinary
action, including (1) petitioner's failure to maintain a properly
balanced serving line; (2) tardy delivery of food; (3) unsanitary
conditions in the kitchen; (4) substitution of menu items withoutapproval; and (5) failure to ensure that dishware was properly
cleaned before distribution to the inmates.
After unsuccessfully pursuing an internal agency appeal of his
demotion, petitioner filed two petitions for a contested case
hearing with the Office of Administrative Hearings, alleging racial
discrimination and improper procedural errors by respondent. These
petitions were consolidated for review and came before an
administrative law judge on 15 and 16 March 1999. In a recommended
decision filed 7 May 1999, the administrative law judge concluded
that, although respondent did not discriminate against petitioner
on the basis of his race, respondent lacked just cause in demoting
and transferring petitioner. The administrative law judge
therefore recommended that petitioner be reinstated to his former
position.
The matter came before the State Personnel Commission on 19
August 1999. In its final decision and order dated 22 September
1999, the Commission agreed with the administrative law judge's
conclusion that respondent did not discriminate against petitioner
on the basis of his race. The Commission determined, however, that
respondent's decision to demote petitioner was supported by just
cause due to his unsatisfactory job performance and therefore
affirmed the disciplinary action.
Petitioner filed a petition for judicial review in Wake County
Superior Court on 21 October 1999. Upon review of the whole
record, the trial court entered an order affirming the decision and
order by the Commission. From this order, petitioner appeals.
______________________________________
On appeal, petitioner contends that the trial court erred in
concluding that the Commission's final decision was supported by
substantial evidence of record. Petitioner also asserts that
several of the Commission's conclusions of law are erroneous, and
that the trial court therefore erred in affirming the Commission's
decision. After careful review of the record, we affirm the order
of the trial court.
Upon appeal from an order of the superior court entered after
a review of an agency decision, the appellate court must examine
the trial court's order to determine first, whether the trial court
exercised the appropriate standard of review, and secondly, whether
the trial court properly applied that standard to the record before
it. See ACT-UP Triangle v. Commission for Health Services, 345
N.C. 699, 706, 483 S.E.2d 388, 392 (1997). The standard of review
to be utilized by the superior court depends upon the issues raised
in the petition for judicial review. See id. When the petitioner
contends the agency decision was affected by error of law . . . de
novo review is the proper standard; if it is contended the agency
decision was not supported by the evidence . . . or was arbitrary
and capricious . . . the whole record test is the proper standard.
R.J. Reynolds Tobacco Co. v. N.C. Dep't of Env't & Natural Res.,
148 N.C. App. 610, 614, 560 S.E.2d 163, 166, disc. review denied,
355 N.C. 493, 564 S.E.2d 44 (2002). The reviewing court may be
required to utilize both standards of review if warranted by the
nature of the issues raised. Id. In the instant case, petitioner alleged that the Commission's
decision was not supported by the evidence. Thus, the superior
court was required to perform a whole record test to determine
whether the administrative agency's decision was supported by
substantial evidence.
The 'whole record' test requires the reviewing court to
examine all competent evidence (the 'whole record') in order to
determine whether the agency decision is supported by 'substantial
evidence.' Amanini v. N.C. Dept. of Human Resources, 114 N.C.
App. 668, 674, 443 S.E.2d 114, 118 (1994). Substantial evidence is
that which a reasonable mind would regard as adequately supporting
a particular conclusion. See Dorsey v. UNC-Wilmington, 122 N.C.
App. 58, 62, 468 S.E.2d 557, 560, cert. denied, 344 N.C. 629, 477
S.E.2d 37 (1996). Under the whole record test, the reviewing court
must take into account both the evidence that justifies the
agency's decision and the contradictory evidence from which a
different result could be reached. See R.J. Reynolds Tobacco Co.,
148 N.C. App. at 617, 560 S.E.2d at 168. Under this standard, the
reviewing court is not allowed to replace the agency's judgment as
between two reasonably conflicting views, even though the court
could justifiably have reached a different conclusion had the
matter been before it de novo. Id. at 618, 560 S.E.2d at 168.
In the case sub judice, the trial court indicated that it had
employed the whole record test, which was the proper standard of
review. Inasmuch as the record on appeal indicates that the trial
court applied the whole record test, our only question is whetherthe court did so properly. See N.C. Dept. of Correction v. Myers,
120 N.C. App. 437, 441, 462 S.E.2d 824, 827 (1995), affirmed per
curiam, 344 N.C. 626, 476 S.E.2d 364 (1996).
Petitioner argues that the Commission's findings are not
supported by substantial evidence in the record, which in turn do
not support the Commission's conclusion that petitioner was demoted
and transferred for just cause. We therefore examine the record to
determine whether substantial evidence exists to support the
Commission's findings.
Petitioner first objects to the Commission's finding that
[o]n the morning of July 31, 1997, Assistant
Superintendent Barnes entered the food service
area and observed that the two lines serving
food were in disarray. One was staffed with
three inmate servers, and one was staffed with
five. This was causing confusion and disorder
among the inmates because one line was moving
faster than the other.
Petitioner asserts that this finding is unsupported by the evidence
of record. We disagree.
Van Barnes (Barnes), the assistant superintendent for
custody and operation at Pasquotank, testified at the hearing that
he arrived at the food service area where petitioner worked in the
late morning hours of 31 July 1997. Barnes explained that when he
entered,
[t]he kitchen was in the process of preparing
some trays. I noticed that there was some
confusion. The trays for Unit 5 had not left
the institutional kitchen, therefore I knew
that the food that was going down to Unit 5
would not be on time if it was already 10:45
and the policy says or the instructions given
to the kitchen that the food that is to go
down to Unit 5 has to leave at 10:40. We werealready behind time. Our line is a consistent
line which is -- with a serving line to the
right and a serving line to the left, same
amount of compartments on both sides to hold
the food. On one side of the line there
[were] five inmates, on the other side of the
line there [were] three. This was causing the
trays going down to Unit 5 not to be prepared
as quickly as we needed them to be prepared.
I believe that I spoke to [petitioner] . . .
and instructed him that we needed to speed
this process up and balance the line out and
in fact he moved one and balanced it out to
four and five instead of five and three.
This testimony by Barnes provides competent and substantial
evidence in support of the Commission's finding. We therefore
overrule petitioner's exception to this finding.
Petitioner next argues that the Commission erred in finding
that petitioner did not follow clean as you go procedures in
Finding of Fact Number Four. Petitioner contends that this finding
is unsupported by the evidence. We first note that the Commission
never actually found that petitioner did not follow clean as you
go procedures. Instead, Finding of Fact Number Four recites the
following facts:
4. Petitioner acknowledged during his pre-
disciplinary conference that the clean as you
go procedures[] mean that once you make a
mess, you clean it up. Petitioner
acknowledged at the hearing that he did not
think he could ever clean the kitchen to the
satisfaction of Mr. Creecy. Petitioner had
received a written warning on May 1, 1997, for
among other things, unsanitary conditions in
the kitchen. The written warning stated As
the Food supervisor I, it is your
responsibility to ensure that a sufficient
number of staff or inmates are not only
performing their assigned duties, but are
present to perform those duties as well.[]
At his pre-disciplinary conference, the
Petitioner stated that the reason the kitchenwas such a mess was that he did not have
enough janitors on the day in question to
clean it up. He did not allege prior to the
hearing, during the investigation of these
matters nor [at] his pre-disciplinary
conference that the clean as you go procedures
were in fact being followed. In his written
statement he specifically stated that the
clean as you go procedures were suspended
due to the shortage of inmate janitors.
As there is substantial evidence of record to support each of the
above-stated facts, the Commission did not err in Finding of Fact
Number Four. We overrule this assignment of error.
Petitioner further objects to the Commission's finding
regarding an unauthorized substitution of food items and unclean
dishware. As to the unauthorized deviation from the approved menu,
petitioner testified that he was the food service supervisor
assigned to the first shift on 28 August 1997. The first shift
supervisor oversees the preparation and serving of the breakfast
menu and preparation of the lunch menu. Captain Curtis Brown, a
correctional officer at Pasquotank, testified that numerous inmates
approached him with complaints about the lunch service on 28 August
1997. Captain Brown stated that the inmates were frustrated and
angry about a deviation from the posted menu. Captain Brown
approached petitioner concerning the problem because petitioner was
the only food supervisor in the kitchen at the time the
substitution was made. Petitioner argues that, because it was the
responsibility of the second shift supervisor to oversee the
serving of the lunch that day, he was not responsible for the
unauthorized food substitution. The evidence demonstrated,
however, that there were no other food supervisors present when theunauthorized substitution occurred.
As to the unclean dishware, the Commission found that
Petitioner addressed the situation regarding
cheese being left in the coffee cups on August
29, 1997 as soon as the matter was brought to
his attention. These cups had been run
through the dishwasher but apparently some
residue was left in the bottom of the cups.
Petitioner's failure to ensure that the cups
were clean was just another example of his
inability to produce a clean and sanitary well
functioning kitchen.
Petitioner argues that there is no substantial evidence to support
this finding. Although petitioner agrees that the coffee cups were
not clean, he maintains that it was the responsibility of his
assistants to ensure that the cups were clean. As supervisor,
however, it was ultimately petitioner's duty to thoroughly inspect
and maintain sanitary conditions in the kitchen. The finding by
the Commission was therefore supported by substantial evidence.
Petitioner further objects to Finding of Fact Number Nine, in
which the Commission found that
Sanitation of the kitchen during the a.m.
shift was an on-going problem while Petitioner
was the Food Service Supervisor I. On January
7, 1997 the cleanliness of the kitchen on the
a.m. shift was a topic of a meeting
discussion and a subject of a memorandum
received by Petitioner. . . . Petitioner was
issued a written warning for the lack of
cleanliness in the kitchen on May 1, 1997.
The written warning cited among other things;
the dirty condition of the grill and water
standing on the floors. The warning letter
further stated; As the Food Service
Supervisor I, it is your duty and
responsibility to ensure that [the staff] and
the inmates are performing their duties and
maintaining the proper level of cleanliness in
the kitchen.
There was clearly substantial evidence to support this finding.
Several witnesses testified to numerous incidents involving
unsanitary conditions in the kitchen, and petitioner received a
written warning on 1 May 1997 expressly admonishing him for his
failure to maintain clean and sanitary conditions. This assignment
of error is overruled.
Petitioner objects to the Commission's finding that [a]t the
hearing, the petitioner gave entirely different excuses for all of
the deficiencies noted in his letter of demotion. Petitioner
asserts that his answers at the pre-demotion conference did not
differ materially from those he gave at the hearing, and that there
is no evidence to support the Commission's contrary finding.
Petitioner further asserts that there was no evidence to support
the Commission's finding that [n]o evidence was presented relative
to the petitioner's 'appraisal'.
We agree with petitioner that the responses he submitted at
the hearing did not differ materially from those he gave at the
pre-demotion conference. For example, at the pre-demotion
conference, petitioner explained that the imbalance in the serving
lines had been caused by a staff shortage. At the hearing,
petitioner elaborated on this answer, asserting that a late count
among the inmates had caused his inmate servers to arrive late,
thus resulting in the staff shortage. Petitioner gave similar
testimony regarding his other responses, none of which differed
materially from those he gave at the pre-demotion hearing. Thus,
the Commission's finding that petitioner gave entirely differentexcuses for all of the deficiencies is unsupported by substantial
evidence. The Commission further erred in finding that there was
no evidence concerning petitioner's appraisals. Petitioner
presented evidence at the hearing tending to show that he did not
receive a performance appraisal in 1996.
Although we determine that the Commission erred in finding
that petitioner's explanations at the conference were entirely
different from those given at the hearing, and that no evidence
was presented regarding an appraisal of petitioner, we conclude
that these isolated findings were not material to the issue of
petitioner's unsatisfactory job performance or his subsequent
demotion. We therefore overrule this assignment of error.
By his next assignment of error, petitioner contends that the
Commission erred in finding that [t]here was no credible evidence
of intentional discrimination against the petitioner on account of
his race. Petitioner asserts that he presented evidence for a
prima facie case of racial discrimination, and that the Commission
erred in determining otherwise. We disagree.
In order to make out a prima facie case for discrimination,
the plaintiff may show that he is (1) . . . a member of a minority
group, (2) he was qualified for the position, (3) he was
discharged, and (4) the employer replaced him with a person who was
not a member of a minority group. Dept. of Correction v. Gibson,
308 N.C. 131, 137, 301 S.E.2d 78, 82-83 (1983). The plaintiff may
also demonstrate discrimination by showing the discharge of a
black employee and the retention of a white employee underapparently similar circumstances. Id. at 137, 301 S.E.2d at 83.
Plaintiff asserts in the present case that he established a
prima facie case by demonstrating that he is an African-American
man and was qualified for his position as a food service
supervisor. Petitioner presented no evidence, however, that he was
replaced by a person who is not a member of a minority group.
There was also no evidence that other, non-minority food service
supervisors were retained under similar circumstances. In fact,
the evidence tended to show that Peggy Caroon, a Caucasian woman
and petitioner's fellow food service supervisor, was also
recommended for demotion and transfer on poor performance grounds.
Incidentally, the recommendation to demote both petitioner and Ms.
Caroon was made by the administrator of Pasquotank, Charles M.
Creecy, Jr., who is an African-American man. As petitioner failed
to make out a prima facie case for discrimination, the Commission
did not err in its finding. We overrule this assignment of error.
By his next assignment of error, petitioner argues that the
Commission's conclusion that petitioner received all of the due
process to which he was entitled is unsupported by the evidence
and erroneous as a matter of law. Petitioner thus contends that
the trial court erred in affirming the Commission. We do not
agree.
We note again that questions of law are to be reviewed de
novo. See Amanini, 114 N.C. App. at 674, 443 S.E.2d at 118. 'De
novo' review requires a court to consider a question anew, as if
not considered or decided by the agency. Id. [W]here theinitial reviewing court should have conducted de novo review, this
Court will directly review the State Personnel Commission's
decision under a de novo review standard. Id. at 677, 443 S.E.2d
at 119. Although it is unclear whether or not the trial court in
the instant case reviewed de novo those errors asserted by
petitioner to be errors of law, we employ the appropriate standard
of review regardless of that utilized by the reviewing trial court.
See Souther v. New River Area Mental Health, 142 N.C. App. 1, 4,
541 S.E.2d 750, 753, affirmed per curiam, 354 N.C. 209, 552 S.E.2d
162 (2001).
Section 126-35 of the North Carolina General Statutes provides
in pertinent part that
No career State employee subject to the State
Personnel Act shall be discharged, suspended,
or demoted for disciplinary reasons, except
for just cause. In cases of such disciplinary
action, the employee shall, before the action
is taken, be furnished with a statement in
writing setting forth in numerical order the
specific acts or omissions that are the
reasons for the disciplinary action and the
employee's appeal rights. The employee shall
be permitted 15 days from the date the
statement is delivered to appeal to the head
of the department.
N.C. Gen. Stat. § 126-35(a) (2001). A state employee who has a
right to continued employment is entitled to a predetermination
opportunity to respond to the allegations against him. See
Leiphart v. N.C. School of the Arts, 80 N.C. App. 339, 349, 342
S.E.2d 914, 921-22, cert. denied, 318 N.C. 507, 349 S.E.2d 862
(1986).
In the instant case, petitioner does not dispute that hereceived two detailed written warning letters, as well as a notice
of the pre-demotion conference outlining the specific grounds for
the proposed disciplinary action. Petitioner attended the
conference and was given the opportunity to respond to the charges
of unsatisfactory job performance. Petitioner nevertheless argues
that his due process rights were denied because he was never given
an action plan following any of his written warnings, as required
by the Department of Correction disciplinary process and
procedures. In order to claim relief based on a violation of the
internal review process, however, petitioner must demonstrate that
there was a substantial chance there would have been a different
result in his case if the established internal procedures had been
followed. Leiphart, 80 N.C. App. at 353, 342 S.E.2d at 924.
Petitioner sets forth no evidence tending to show that, had he been
given an action plan following the written warnings, he would not
have been demoted. Because there is no evidence that petitioner's
due process rights were denied, the trial court properly affirmed
the Commission's conclusion that petitioner received the due
process to which he was entitled. We therefore overrule this
assignment of error.
By his final assignment of error, petitioner argues that the
trial court erred in affirming the Commission's conclusion that
[p]etitioner's demotion was with just cause as he performed
unsatisfactorily in his job duties. Petitioner asserts that this
conclusion is not based on substantial evidence and is contrary to
law. We disagree. Pursuant to section 126-35(a) [n]o career State employee
subject to the State Personnel Act shall be discharged, suspended,
or demoted for disciplinary reasons, except for just cause. N.C.
Gen. Stat. § 126-35(a). 'Just cause' is a legal basis, set forth
by statute, for the termination [or demotion] of a State employee,
and requires the application of legal principles. Thus, its
determination is a question of law. Gainey v. N.C. Dept. of
Justice, 121 N.C. App. 253, 259 n.2, 465 S.E.2d 36, 41 n.2 (1996).
Just cause may consist of either unsatisfactory job performance
or unacceptable personal conduct. N.C. Admin. Code tit. 25, r.
1J.0604(b) (June 2002). Unsatisfactory job performance is
defined as work-related performance that fails to satisfactorily
meet job requirements as specified in the relevant job description,
work plan, or as directed by the management of the work unit or
agency. N.C. Admin. Code tit. 25, r. 1J.0614(j) (June 2002).
Careless errors, poor quality of work, or failure to follow
instructions or procedures may constitute unsatisfactory job
performance. See Amanini, 114 N.C. App. at 679, 443 S.E.2d at 121.
In the instant case, there was substantial evidence that
petitioner did not satisfactorily meet his job requirements, which
included supervising inmate workers and ensuring that the kitchen
was kept in a clean and orderly fashion. Petitioner received two
written warnings concerning his poor job performance, detailing
petitioner's failure to follow proper procedure and failure to
maintain sanitary conditions in the kitchen. Petitioner's ability
to perform satisfactorily was particularly critical at Pasquotank,as noted by the Commission as follows:
Pasquotank Correctional Institution is a high
security prison housing many of North
Carolina's most dangerous felons. At any
given time, up to 250 inmates can be in the
dining hall at once. It is therefore
essential that all kitchen functions perform
in an orderly fashion. Even seemingly
innocuous incidents such as switching items on
the menu and having an imbalanced serving line
can cause a security risk.
After conducting our de novo review, we conclude that respondent
had just cause to demote petitioner for unsatisfactory job
performance.
In conclusion, we hold that the trial court did not err in
affirming the decision and order of the State Personnel Commission.
The order of the trial court is hereby
Affirmed.
Judges MARTIN and CAMPBELL concur.
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