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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. COA02-40
NORTH CAROLINA COURT OF APPEALS
Filed: 19 November 2002
KELVIN J. LEEKS,
Petitioner
v
.
CUMBERLAND COUNTY MENTAL HEALTH DEVELOPMENTAL DISABILITY AND
SUBSTANCE ABUSE FACILITY,
Respondent
Appeal by petitioner from order entered 6 June 2001 by Judge
Narley L. Cashwell in Wake County Superior Court. Heard in the
Court of Appeals 28 October 2002.
Browne, Flebotte, Wilson & Horn, P.L.L.C., by Joy Rhyne Webb,
for petitioner-appellant.
Douglas E. Canders for respondent-appellee.
TYSON, Judge
Kelvin J. Leeks, (petitioner), appeals from an order which
affirmed the final agency decision of the Cumberland County Mental
Health Development Disabilities and Substance Abuse Facility,
(respondent), terminating petitioner's employment. We affirm.
I. Facts
Petitioner was rehired as a Youth Program Assistant III by
respondent in December 1995 after having worked for respondent from
1981 to 1993. Petitioner worked the night shift at Borden Heights
Group Home, which housed emotionally disturbed and dangerous
youths.
Petitioner began suffering from depression, migraines, and a
sleeping disorder. His doctor advised that he stop working the
night shift. Petitioner requested a lateral transfer from thenight shift to a day shift several times, beginning in May 1996.
Those requests were denied.
On 22 September 1997, petitioner received a written warning
that he had engaged in unacceptable personal conduct, listing: (1)
not conducting proper bed checks, (2) not monitoring clients, and
(3) not performing duties assigned to the lead-staff worker on a
shift.
On 25 February 1998, petitioner prepared, but failed to timely
administer, medications for seven of the youths. Petitioner
recorded the medications by writing the date, name of medication,
the number of pills administered to each client, and whether the
medication was taken orally on the Medication Administration
Record, (MAR). Petitioner did not record the time or initial the
MAR. Around 9:10 a.m., Everett Mitchell, petitioner's supervisor,
sent petitioner home.
Petitioner arrived home and fell asleep. He awoke in the
afternoon and questioned whether he had administered the
medications. He called the group home, and related that he had
dreamed the medication had not been administered. Petitioner was
assured by another worker, Christopher Corders, that the
medications had been given. Corders relied upon petitioner's
partially completed MAR.
Petitioner returned to the group home concerned that he had
forgotten to administer the medication. Petitioner checked the
medicine cabinet and discovered the medication that should have
been distributed that morning. Petitioner contacted SupervisorMitchell, and completed an incident report and significant event
note for each client. Petitioner called the pharmacist for further
instructions concerning the medication. The medication was
administered according to the pharmacist's instructions, and
petitioner signed the records at the time of administration.
A pre-dismissal conference was held on 23 April 1998, followed
by a subsequent meeting on 27 April 1998. On 30 April 1998,
petitioner was terminated from his employment. On 28 July 1998,
petitioner filed a petition for a contested case hearing with the
Office of Administrative Hearings. Administrative Law Judge
Morrison, (ALJ) held the hearing on 15 December 1998 and 17
December 1998. The ALJ filed a recommended decision on 11 February
1999 which upheld the decision of the respondent's director to
terminate petitioner and found that respondent had just cause to
terminate. The ALJ also recommended that petitioner's allegations
of disparate treatment and respondent's failure to accommodate a
handicapping condition be dismissed.
The State Personnel Commission, (Commission) considered the
ALJ's recommended decision on 17 and 18 June 1999, and issued a
recommendation to respondent to find and conclude that the ALJ's
decision be rejected and that petitioner met his burden of proving
that respondent lacked just cause to dismiss plaintiff for personal
misconduct. The Commission found that petitioner's actions gave
respondent just cause to take disciplinary action on the basis of
inadequate job performance. The Commission recommended that (1)
petitioner be reinstated to his former position, (2) petitionerreceive back pay and all other benefits of employment during the
period he was not working, (3) respondent take appropriate
disciplinary action against petitioner, and (4) petitioner be
allowed to request attorney's fees.
On 15 September 1999, respondent issued its final decision
concluding that there was just cause for petitioner's
termination. Respondent dismissed petitioner's claims of disparate
treatment and failure to accommodate his handicapping condition.
An amended final decision was issued on 5 November 1999.
Petitioner petitioned for judicial review on 12 October 1999.
Judge Cashwell heard arguments and affirmed the final decision of
respondent. Petitioner appeals.
II. Issues
The issues are (1) whether substantial evidence in the record
supports the trial court's findings of fact that petitioner
intentionally pre-wrote MARs and then called respondent after
dreaming that he did not dispense the medicine, (2) whether
petitioner's pre-writing MARs constitutes a falsification of
medical records, a violation of state law, and unacceptable
personal conduct, (3) whether substantial evidence in the record
supports the trial court's findings of fact of petitioner's
disability, and (4) whether petitioner sufficiently alleged a claim
for disability discrimination.
Chapter 150B of the North Carolina General
Statutes, the North Carolina Administrative
Procedure Act, governs trial and appellate
court review of administrative agency
decisions.... Although G.S. § 150B-51(b) lists
the grounds upon which a court may reverse or
modify an administrative agency decision, the
proper standard of review to be employed by
the court depends upon the nature of the
alleged error.
Amanini v. N.C. Dept. of Human
Resources, 114 N.C. App. 668, 674, 443 S.E.2d
114, 118 (1994). If a petitioner asserts that
the administrative agency decision was based
on an error of law, then "de novo" review is
required.
Id. ... On the other hand, if a
petitioner asserts that the administrative
agency decision was not supported by the
evidence, or was arbitrary and capricious,
then the court employs the "whole record"
test.
Id. ... The standard of review for an
appellate court upon an appeal from an order
of the superior court affirming or reversing
an administrative agency decision is the same
standard of review as that employed by the
superior court.
In re Appeal of Ramseur, 120
N.C. App. 521, 463 S.E.2d 254 (1995).
Dorsey v. UNC-Wilmington, 122 N.C. App. 58, 62-63, 468 S.E.2d 557,
559-560 (1996).
In ACT-UP Triangle v. Commission for Health Services, 345 N.C.
699, 483 S.E.2d 388 (1997), our Supreme Court stated, [t]he
appellate court examines the trial court's order for error of law.
The process has been described as a twofold task: (1) determining
whether the trial court exercised the appropriate scope of review
and, if appropriate, (2) deciding whether the court did so
properly. 345 N.C. at 706, 483 S.E.2d at 392 (citations omitted.)
The whole record test allows a reviewing court to determine
whether an administrative decision has a rational basis in the
evidence. Id. at 706-707, 483 S.E.2d at 392 (citations omitted).
IV. Findings of Fact Seven and Eight
Petitioner argues that the respondent's findings of fact seven
and eight, later adopted by the superior court, were not supported
by substantial evidence. Finding seven states, [p]etitioner
called the group home on the afternoon of February 25, 1998
advising that he had had a 'dream' that he had not given the
medications that morning. Petitioner alleges that he did much
more than inform respondent of a dream. Petitioner testified that
he called the home, drove to the home, checked the medicine
cabinet, discovered the truth of his mistake, reported the
incident, and called and followed the instructions of the
pharmacist.
Petitioner's testimony is corroborated by other witnesses, and
clearly shows that petitioner did more than just call[] the group
home. This evidence does not contradict, but supplements the
finding that petitioner called the group home and told them about
his dream. Testimony of other witnesses supports this statement.
The trial court's finding has a rational basis in the evidence.
Id.
Finding eight states that petitioner intentionally pre-wrote
the client medication charts and failed to administer medications
to seven youths who were to receive their medication before leaving
for school that morning. Petitioner argues that the substantial
evidence does not show that he pre-wrote all of the medication
notes.
Petitioner admitted partially pre-writing the medicationnotes. He did not record the time of administration nor initial
the record. Petitioner contends that the MAR was not complete
until the MAR was signed and medication administered with the time
noted and that he did not violate respondent's policy by partially
pre-writing the notes. Petitioner asserts that he simply forgot to
administer the medications, and this omission was not intentional.
Petitioner's testimony merely explains finding eight. This
evidence does not refute the fact that petitioner intentionally
partially pre-wrote false medication notes and failed to dispense
the medications. There is substantial evidence in the record to
support finding eight.
V. Conclusions of Law Five and Six
Petitioner contends that conclusions of law five and six are
erroneous as a matter of law, because the actions alleged are not
improper personal conduct and are not supported by substantial
evidence.
N.C.G.S. § 126-35 (2001) states [n]o career State employee
subject to the State Personnel Act shall be discharged, suspended,
or demoted for disciplinary reason, except for just cause. Just
cause can be established by unacceptable job performance or
unacceptable personal conduct. 25 NCAC 1J.0604(c) (2002).
Title 25 of the North Carolina Administrative Code defines
unacceptable personal conduct as:
(1) conduct for which no reasonable person
should expect to receive prior warning; or (2)
job-related conduct which constitutes a
violation of state or federal law; . . . (4)
the willful violation of known or written work
rules; . . . or (6) the abuse of client(s) . .. .
25 NCAC 1J.0614(i) (2002).
This Court delineated the difference between unacceptable job
performance and unacceptable personal conduct and held that
termination for engaging in the latter category is appropriate for
'those actions for which no reasonable person could, or should,
expect to receive prior warnings.' Amanini v. N.C. Dept. of Human
Resources, 114 N.C. App. 668, 679, 443 S.E.2d 114, 120-21 (1994)
(quoting State Personnel Manual, Sec. 9 at 3; 25 NCAC 1J.0604(b)
(1984)(amended March 1994)). The State Personnel Manual lists,
careless errors, poor quality work, untimeliness, failure to
follow instructions or procedures, or a pattern of regular absences
or tardiness[] as examples of unsatisfactory job performance. Id.
at 679, 443 S.E.2d at 121 (citing State Personnel Manual, Sec. 9,
at 8.1-8.2). Unacceptable personal conduct includes
insubordination, reporting to work under the influence of drugs or
alcohol, and stealing or misusing State property. Id.
Conclusions of law five and six hold that petitioner
intentionally pre-wrote medication notes describing client
responses to medications not administered. The court concluded
this action was a falsification of medical records done willfully
and intentionally, that jeopardized the care of the clients, and
constituted unacceptable personal conduct.
Petitioner contends that he did not willfully falsify medical
records, but instead partially pre-wrote the medication notes and
neglected to administer the medications. Petitioner argues thatthe notes were not false until he neglected to give the
medications.
Petitioner cites testimony of Emile Archambault, manager of
another group home, who admitted pre-writing medication notes, to
support his argument that such conduct was common and did not
constitute improper personal conduct. Petitioner asserts that if
his conduct was reprehensible, it only rose to the level of
unsatisfactory job performance.
Termination for just cause due to unsatisfactory job
performance requires the employer to issue prior warnings before
termination. Parks v. Dept. of Human Resources, 79 N.C. App. 125,
132, 338 S.E.2d 826, 829, disc. review denied, 316 N.C. 553, 344
S.E.2d 8 (1986). The agency must give the employee at least one
or more written warnings followed by a warning or other
disciplinary action which notifies the employee that failure to
make the required performance improvements may result in
dismissal. 25 NCAC 1J.0605(b) (2002). Petitioner received prior
warning on 22 September 1997 which cited petitioner for improper
personal conduct in not performing his duties as required. This
warning was insufficient to terminate petitioner's employment for
just cause on the grounds of job performance. If petitioner's
conduct rose to the level of improper personal conduct, his
employment could be terminated without any warning.
Petitioner cites Parks to support his contention that his
actions did not rise to improper personal conduct. In Parks, a
health care technician failed to report resident abuse. Id. at127, 338 S.E.2d at 827. This Court held that the negligence was a
basis for unsatisfactory job performance but not improper personal
conduct. Id. at 134, 338 S.E.2d at 830. Similarly, this Court in
Amanini found that a terminated employee's actions, leaving his
nurses' station without notifying his supervisor and abandoning his
patients, fell into the category of unsatisfactory job performance.
Amanini, 114 N.C. App. at 680, 443 S.E.2d at 121.
In both cases, this Court found the employees' behavior
insufficient to terminate on the grounds of improper personal
conduct. The facts at bar are distinguishable and are sufficient
to terminate plaintiff for improper personal conduct under the
current statute.
After Parks and Amanini were decided, the N.C. Administrative
Code was amended to add job-related conduct which constitutes a
violation of state or federal law as grounds for termination for
improper personal conduct. 25 NCAC 1J.0614(i)(2) (2002).
Respondent alleges that petitioner's actions in pre-writing
the medication notes violated 10 NCAC 14V.0209(c)(4) (2002), which
requires that [a] Medication Administration Record (MAR) of all
drugs administered to each client must be kept current.
Medications administered shall be recorded immediately after
administration. This administrative rule is authorized in Chapter
122C, under which the North Carolina Department of Health and Human
Services regulates the licensing and operation of facilities
including the group home where petitioner worked, and has the
effect of law. Gainey v. N.C. Dept. of Justice, 121 N.C. App. 253,259; 465 S.E.2d 36, 41 (1996) (citation omitted).
Petitioner failed to administer the medications and falsely
reported giving them to the clients. The actions of the employees
in Parks and Amanini were omissions to act, not affirmative acts.
Petitioner knowingly and falsely pre-wrote the medication records.
While petitioner's failure to administer the medications is
negligence, his pre-writing the MARs is a falsification of medical
records, a job-related violation of state law.
In addition to intentionally filling out medication
administration records without actually administering the
medication, the respondent and superior court concluded that
petitioner also pre[wrote] high risk intervention[, (HRI),]
notes describing the client's responses to taking medications.
This conclusion is supported by substantial evidence.
The record contains the HRI reports from 25 February 1998
regarding patients under petitioner's care. Petitioner's reports
contain substantially the same note on every HRI. In the section
titled Narrative Summary of Activity and Client Progress,
petitioner wrote [s]taff monitored and assisted client in taking
his A.M. medication. Staff prepared and instructed client in
taking said medication. Client evidenced progress toward overall
goal. Staff praised client after he took his medication.
(Emphasis added).
With respect to one HRI report, the following dialogue
occurred at the hearing:
Q. If you'll go about four pages in,
[petitioner], where you have the HRInote.
A. Yes, sir.
Q. In the middle of the page it says, Staff
monitored and assisted client in taking his
medication.
A. The same generic note, yes, sir.
Q. Staff prepared and instructed client in taking
medication. Client evident [sic] progress towards
overall goal. Staff praised client after he took
his medication.
A. Uh-huh.
Q. That's a false statement, isn't it?
A. Yes, that's --
Q. The client had got no medication, isn't that true?
A. Yes, sir.
Q. And you made that statement and signed it
yourself, is that correct?
A. That was a prewritten statement, yes, sir.
Q. Okay. And it's false.
A. Yes, that one is.
Also, respondent asked petitioner if he intentionally fill[ed] out
these HRI notes prior to the time of the event? Petitioner
answered, [y]es. Respondent's witness, Dr. Martin, elaborated on
the possible dramatic consequences of falsely reporting drug
administration. Finding this evidence credible, the trial court
did not err in concluding that petitioner's acts established
unacceptable personal conduct.
VI. Findings of Fact Seventeen through Twenty
Petitioner argues that findings of fact seventeen through
twenty are not supported by substantial evidence and that the trial
court erred by concluding that petitioner failed to prove he was
terminated for reasons associated with his handicapping condition.
Findings of fact seventeen through twenty state:
17. The job of Youth Program Assistant
(Petitioner's job) in high-risk adolescent
group homes requires an employee to be able to
work all shifts as needed by the Mental Health
Center. 18. Petitioner submitted a sick slip to his
supervisor requesting a transfer from the
night shift because of an alleged sleeping
disorder, but Petitioner submitted no other
medical information to the Mental Health
Center to support this claim. Petitioner
refused to sign a medical release form
allowing the Mental Health Center to get more
information from his doctor regarding his
condition. He did not otherwise provide any
information regarding his medical condition
except his annual physical.
19. Petitioner did not apply for other vacant
YPA III positions although he was aware of
their availability[.]
20. Petitioner's physical examination
completed March 5, 1998; documented no
findings other than hypertension.
As to finding of fact 17, the testimony of petitioner, co-
worker Mims, and Director of Child and Family Services Jenkins,
showed that most YPAs worked a specific shift. There is no
evidence to support this finding other than respondent's contention
that petitioner was expected to work all shifts needed.
Substantial evidence supports the contrary finding. Finding of
fact 17 is contrary to substantial evidence in the whole record.
Finding of fact 18 is also not supported by substantial
evidence in the record. The testimony of petitioner, Jenkins, and
Murphy, Residential Services Supervisor, supported petitioner's
contention that respondent was aware of petitioner's health
problems by presentment of prescriptions. Petitioner submitted a
sick slip to Mr. Mitchell, petitioner's immediate supervisor, and
requested transfer to the day shift. Mr. Mitchell spoke to Diane
Toler, Human Resources Director for respondent. Toler advised
Mitchell to try and obtain a medical release form for petitioner's
doctor. Respondent never requested such a form. Respondent'spolicy was silent on what documentation was needed to show a
disability and did not mandate a particular form. The trial court
erred in concluding that petitioner only provided respondent with
a sick slip. Uncontested evidence shows that petitioner also
provided his prescriptions. Petitioner's failure to sign a medical
release is supported by the substantial evidence. Its relevance is
dubious given the testimony of petitioner that respondent never
requested a form and the testimony of Toler that respondent's
policy did not mandate its use.
Finding of fact 19, which states petitioner did not apply for
other vacant YPA III positions although he knew of their
availability, is not supported by substantial evidence. Several
exhibits evidence lateral transfer requests by petitioner. The
finding is not supported by any evidence and is contradicted by
substantial evidence.
Finding of fact 20, that petitioner's physical examination
documented no findings other than hypertension, is supported by
the examination record. Petitioner alleges that the substantial
evidence bears witness to petitioner's other medical problems.
Presuming that to be true does not change the validity of the
conclusions of the physical examination. Substantial evidence in
the record supports the trial court's finding this fact.
VII. Disability Discrimination
Although petitioner has alleged and shown there is no rational
basis in the evidence for part of findings of fact 17, 18, and 19,
petitioner does not assert that he is disabled and entitled tothe protection of the North Carolina Persons with Disabilities
Protection Act, (NCPDPA) and the Americans with Disabilities Act,
(ADA). N.C.G.S. § 168A (2001); 42 U.S.C. § 12102(2) (2001).
To prevail on an ADA claim, petitioner must prove that: (1) he
has a disability as defined by the ADA; (2) he is qualified for the
job; and (3) he was unlawfully discriminated against by an employer
because of his disability. Johnson v. Trustees of Durham Tech
Cmty. Coll., 139 N.C. App. 676, 684, 535 S.E.2d 357, 363 (2000)
(citing Martinson v. Kinney Shoe Corp., 104 F.3d 683 (4th Cir.
1997)). Under the ADA, the term "disability" is defined as "a
physical or mental impairment that substantially limits one or more
of the major life activities of such individual[.]" 42 U.S.C. §
12102(2)(A) (2001). Major life activities are defined as those
of central importance to daily life. Toyota Motor Mfg., Ky., Inc.
v. Williams, 534 U.S. 184, 197, 151 L. Ed. 2d 615, 631 (2002).
The impairment's impact must also be permanent or long-term. Id.
at 196, 151 L. 2d. 2d at 631.
Under NCPDPA, a '[p]erson with a disability' means any person
who (i) has a physical or mental impairment which substantially
limits one or more major life activities; (ii) has a record of such
an impairment; or (iii) is regarded as having such an impairment.
N.C.G.S. § 168A-3 (2001). The term "[p]hysical or mental
impairment" in this subdivision, excludes (A) sexual preferences;
(B) active alcoholism or drug addiction or abuse; and (C) any
disorder, condition or disfigurement which is temporary in nature
leaving no residual impairment. N.C.G.S. § 168A-3 (2001)(emphasis supplied).
Petitioner discussed his headaches with Supervisor Mitchell.
He also showed his drug prescriptions to Mitchell, Murphy, and
Jenkins. These facts could be sufficient for respondent to find
and treat petitioner as a person with a disability. Petitioner
failed to fully inform respondent of his condition. Petitioner
failed to prove that the depression and sleep disorder qualify as
physical or mental impairments. There is no showing that either
condition is permanent or long-term as required by the North
Carolina statute and federal case law. N.C.G.S. § 168A-
3(7)(a)(iii)(c) (2001), Toyota Motor Mfg., Ky., Inc. v. Williams,
534 U.S. 184, 197, 151 L. Ed. 2d 615, 631 (2002).
We find no error in the trial court's conclusion that
petitioner failed to prove his termination resulted from disability
discrimination.
VIII. Summary
There was a rational basis in the evidence for the trial court
to make findings of fact seven and eight. These findings support
the trial court's conclusions of law five and six.
Findings of fact seventeen and nineteen were not supported by
substantial evidence in the whole record. Finding twenty was fully
supported, and finding eighteen was partially supported by the
evidence.
Findings of fact seventeen through twenty pertain to
petitioner's claim of disability discrimination. The lack of
evidence to support these findings is not reversible error. Petitioner failed to prove a claim of disability discrimination.
We affirm the award of summary judgment by the trial court,
that petitioner engaged in unacceptable personal conduct when he
falsified the MARs in violation of state law.
Affirmed.
Chief Judge EAGLES and THOMAS concur.
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