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 print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
LINDA FARRIS, Petitioner v. BURKE COUNTY BOARD OF EDUCATION,
Respondent
1. Schools and Education_dismissal of teacher_case manager's
report_school board review_whole record test_judicial review
The whole record test is mandated by N.C.G.S. § 115C-
325(j2)(2) for a school board's review of a case manager's report
and recommendation concerning a career teacher. Judicial review
of the school board's action is under N.C.G.S. § 150B-51; in this
case, the school board's action was reviewed for wrongful
procedure.
2. Schools and Education_dismissal of teacher_case manager
hearing_exclusion of evidence_notice requirements
The case manager did not err by excluding evidence from a
hearing concerning the dismissal of a career teacher where the
evidence was not included in the list of witnesses and exhibits
furnished to the teacher. Although the formal rules of evidence
do not apply to a hearing before a case manager, there is no
ambiguity in the notice requirements of N.C.G.S. § 115C-
325(j)(5). While a superintendent is not required to set out the
facts supporting termination in complete detail, the excluded
evidence in this case was readily available at the time the
synopsis of the evidence was prepared and its prejudicial impact
was readily apparent.
3. Schools and Education_dismissal of teacher_review of case
manager's decision_whole record considered by case manager
A school board initially reviewing the results of a case
manager's hearing on the dismissal of a career teacher is bound
by the whole record admitted and considered by the case manager.
The board may view evidence excluded by the case manager but
later submitted to the board in making its initial determination
of whether the case manager addressed all critical issues, but
N.C.G.S. § 115C-325(j2)(7) contemplates a remand to the case
manager if the majority of the board determines that the case
manager did not address a critical factual issue. In this case,
the board failed to follow the statutory procedure and is bound
by the case manager's findings of fact.
4. Schools and Education_dismissal of teacher_case manager's
report_conclusions of law excluded
Respondent school board, when considering the remanded
dismissal of a career teacher, shall not consider certain
paragraphs in the case manager's report because those paragraphs
amounted to conclusions of law.
5. Schools and Education_dismissal of teacher_ex parte contact
between board and attorney_due process
A career teacher's due process rights were not violated in
her dismissal where she alleged that the decision was not made by
an unbiased and impartial decision-maker, based upon identical
findings of fact in the school board's decision and proposed
findings submitted to the case manager by an attorney whose role
was equivocal. Although the teacher argued that the only
reasonable inference was improper ex parte contact, she failed to
establish a record supporting her contention; there is no reason
on this record to make any assumption other than that the
respondent, after making its decision, asked the attorney to
prepare findings, as is common in civil cases. In the absence of
evidence to the contrary, N.C.G.S. § 115C-44(b) requires an
interpretation of the record consistent with proper action by all
parties.
On discretionary review pursuant to N.C.G.S. § 7A-31 of a
unanimous decision of the Court of Appeals, 143 N.C. App. 77, 544
S.E.2d 578 (2001), reversing and remanding a judgment signed by
Caldwell, J., on 13 October 1999 in Superior Court, Burke County.
On 19 July 2001, the Supreme Court allowed petitioner's
conditional petition for discretionary review as to an additional
issue. Heard in the Supreme Court 12 December 2001.
Elliot Pishko Gelbin & Morgan, P.A., by J. Griffin Morgan,
for petitioner-appellant and -appellee.
Starnes, Teele, Aycock & Haire, P.A., by Samuel E. Aycock,
for respondent-appellant and -appellee.
Ferguson, Stein, Wallas, Adkins, Gresham & Sumter, P.A., by
John W. Gresham and S. Luke Largess, on behalf of the North
Carolina Association of Educators, amicus curiae.
Tharrington Smith, L.L.P., by Michael Crowell, on behalf of
the North Carolina School Boards Association, amicus curiae.
EDMUNDS, Justice.
Petitioner Linda Farris (petitioner) was employed by
respondent Burke County Board of Education (respondent),
teaching educable mentally handicapped children in the sixth,seventh, and eighth grades. Petitioner began her employment with
respondent in 1970 and thereafter attained tenured status as a
teacher.
The record indicates that petitioner's teaching methods and
skills were considered acceptable and unremarkable through most
of her career. However, in 1998, doubts arose. On 12 June 1998,
Dr. Tony M. Stewart (Stewart), respondent's superintendent, wrote
petitioner to inform her that the principal of her school,
Charles W. Sherrill, had recommended that petitioner not be
rehired for the upcoming school year and that Stewart agreed with
the recommendation. In that same letter, Stewart added that he
wished to meet with petitioner on 16 June 1998 to review with her
the facts behind this decision.
When petitioner failed to meet with Stewart after receiving
his 12 June 1998 letter, he sent her a second letter on 29 June
1998. This letter advised petitioner that she had waived her
opportunity to respond to Stewart about the recommendation that
she not be rehired and, in addition, informed her that she had
fourteen days to file a request in writing for either (i) a
hearing on the grounds for [Stewart's] proposed recommendation by
a case manager, or (ii) a hearing within five (5) days before the
board [i.e., respondent] on [Stewart's] recommendation. The
letter included the following language:
GROUNDS FOR DISMISSAL
The grounds for your dismissal are inadequate
performance, insubordination, and neglect of duty,
pursuant to N.C.G.S. § 115C-325(e)(1)(a), (c), and (d).
BASIS FOR THE CHARGES
Attached to this letter . . . is a summary of the
factual basis for my recommendation that you not be
rehired for the coming school year. You have
repeatedly ignored direct orders from your
principals[,] both oral and written. You created, and
refused to correct, health and fire hazards, which
endangered your students. You refused to follow
directives regarding curriculum, and you misrepresented
the status of your plan book.
The administration has demonstrated a thoughtful,
patient, persistent but unavailing effort to get you to
recognize that you were not properly managing your
classroom and to correct the situation. Any or all of
the referenced acts constitute inadequate performance,
insubordination[,] and neglect of duty.
Stewart attached to this letter a nine-page Chronological
Listing Documentation & Correspondence Concerning [Petitioner].
This list, intended to substantiate the decision to terminate
petitioner, detailed letters, conferences, memoranda, and the
like circulated between petitioner and others in the school
system.
On 10 July 1998, petitioner responded by requesting a
hearing before a case manager, and in a letter dated 12 August
1998, petitioner asked Stewart to provide her copies of the
documents described in the attachment to his 29 June 1998 letter.
Stewart complied on 20 August 1998. On 31 August 1998,
petitioner requested from Stewart a list of witnesses, a summary
of the witnesses' anticipated testimony, and a copy of any
documents Stewart intended to provide the case manager at the
upcoming hearing. That same day, Stewart provided petitioner a
list of potential witnesses. The list also included the
following information:
Each of the above individuals will testify aboutthe events that culminated in Dr. Stewart's decision to
recommend to [respondent] that [petitioner's] contract
not be renewed for the next year.
With regard to documents that I plan to introduce,
I may present any of the documents that I have
previously provided to you. Additionally, I will
present reports from the fire marshall [sic] and
possibly the health department, neither of which are
[sic] currently in my possession.
The hearing before the case manager was held on 3 September
1998 and 8 October 1998. At the hearing, petitioner objected to
certain evidence that had not been set out in Stewart's 29 June
1998 notice. This evidence included photographs of petitioner's
classroom purporting to show roach droppings and a rat's nest in
addition to clutter, letters to petitioner, and the testimony of
two witnesses whose names had been provided, but not the
pertinent substance of their testimony. One of these witnesses,
Beth Wright (Wright), petitioner's teacher assistant, testified
that petitioner used classroom time to talk to friends on the
telephone and to call a psychic hotline, that petitioner had
returned her students three hours late from a field trip to
Biltmore Estate because petitioner spent over an hour and a half
in the gift shop, that petitioner had called an African-American
student a monkey, that petitioner would give massages to
individuals while students were present in the classroom, and
that petitioner spent only about ten percent of her time
teaching. The other witness, Joel Hastings (Hastings), Director
of Exceptional Children, testified about petitioner's failure to
maintain some of her students' records necessary for continued
state and federal funding, and petitioner's relationship with a
particular student. Hastings also expressed concern that therewas the lack of quality individualized instruction in the
[petitioner's] classroom, plus there was a fear of intimidation
if someone went to an administrator about those concerns. The
case manager held in abeyance her rulings on petitioner's
objections to this evidence.
On 9 November 1998, the case manager filed a report that
included findings of fact and a recommendation that Stewart's
grounds for petitioner's dismissal were not substantiated by a
preponderance of the evidence. That same day, Stewart wrote
petitioner informing her that he intended to submit a written
recommendation to respondent that petitioner be terminated.
Accordingly, petitioner requested a hearing before respondent.
On 18 November 1998, Stewart recommended in writing to respondent
that petitioner be terminated, stating:
The grounds for my recommendation are inadequate
performance, insubordination, and neglect of duty,
pursuant to N.C.G.S. § 115C-325(e)(1)(a), (c)[,] and
(d). [Petitioner] repeatedly ignored direct orders,
both oral and written, from principals. [Petitioner]
created, and refused to correct, health and fire
hazards, including giving special education children
seriously outdated food, all of which endangered her
students. [Petitioner] refused to follow directives
regarding curriculum, and she misrepresented the status
of her [lesson] plan book.
The administration has demonstrated a thoughtful,
patient, persistent but unavailing effort to get
[petitioner] to recognize that she was not properly
managing her classroom.
Pursuant to requests by both parties, on 24 November 1998,
the case manager filed an Amended Report of Case Manager in
which she made rulings on evidentiary challenges raised at the
hearing, sustaining petitioner's objections to the photographs
and the evidence described above offered by Wright and Hastings. In particular, the case manager found that the photographs had
not been provided to petitioner in advance of the hearing, as
required by N.C.G.S. § 115C-325(j)(5); that the letters were both
insufficiently specific to allow petitioner to prepare a defense
and outside the scope of the notice provided petitioner by
Stewart; and that the testimony of Wright and much of the
testimony of Hastings were insufficiently specific and outside
the scope of the notice provided petitioner. However, Hastings'
testimony as to one inspection of petitioner's classroom, where
outdated food was discovered, was admitted. Accordingly, the
excluded evidence was not included in the case manager's findings
of fact in her amended report, which read in pertinent part:
5. That [petitioner] has taught for 28 years in
the Burke County Public Schools as a special education
teacher. That during the last eight years [petitioner]
has taught a self-contained class for the educationally
and mentally handicapped. . . .
6. That each student in [petitioner's] class was
required to be taught based on the student's
individualized educational plan (IEP). That over the
course of 28 years, [petitioner] acquired a large and
wide variety of teaching materials that accumulated in
her classroom and office to accommodate her students
and their special needs. That [petitioner's] classroom
was cluttered with these items.
7. That the clutter in her classroom was of
concern to her various principals over the last four
years. That at various times and on various occasions,
these principals . . . encouraged and requested
[petitioner] to clean her classroom. On several
occasions, [petitioner] was directed to clean her
classroom.
6. [sic] That during 1995 through 1996, Betty
Terrell was the principal at Liberty Middle School[
(See footnote 1)
]and [petitioner's] assigned principal. . . . That
Ms. Terrell sent [petitioner] a letter in March, 1996
simply documenting that a general cleaning of her room
had not been accomplished. That Ms. Terrell did not
warn [petitioner] that her behavior was insubordinate.
7. [sic] That during 1996 through 1997, Malinda
Bollinger was the principal of North Liberty [] School
and [petitioner's] assigned principal. . . . On
August 14, 1996, Ms. Bollinger specifically directed
[petitioner] to clean her classroom and store materials
and supplies. That Ms. Bollinger wrote [petitioner]
that failure to clean the classroom would constitute
insubordination. That [petitioner] complied with that
directive on the same day she received Ms. Bollinger's
letter and notified Ms. Bollinger in writing of her
compliance with these clear and specific
instructions. . . .
8. That during 1997 through 1998, Mr. Sherrill
was the principal of Liberty Middle School and
[petitioner's] assigned principal. That on
September 8, 199[7], Mr. Sherrill gave [petitioner]
specific directions regarding the cleaning of her
classroom. Two months later on November 10, 1997,
Mr. Sherrill noted compliance of his instructions by
[petitioner].
9. On February 10, 1998, in response to a call
from the health department, all the classrooms at North
Liberty School were inspected. Items of outdated food
were found in [petitioner's] classroom or office.
10. [Petitioner] was not given a warning, a plan
for improvement or any written notification that
Mr. Sherrill viewed her as being insubordinate or
having neglected her duty as a result of the food items
that were found in her classroom or office.
11. That despite the ongoing differences
regarding the condition of her classroom between
[petitioner] and her principals, . . . [petitioner] was
evaluated by both Ms. Terrell and Ms. Bollinger as
being above standard in every teaching function.
[Petitioner] was observed and evaluated by Mr. Sherrill
on December 8, 1997. . . . Mr. Sherrill evaluated
[petitioner] as being standard in two of the categories
he observed and below standard in the other three
categories he observed. [Petitioner] was againevaluated on May 4, 1998 by evaluators who did have
some training and experience in special education and
was found to be performing at standard in each category
they observed which were the same categories evaluated
by Mr. Sherrill. On June 2, 1998, Mr. Sherrill
completed a Teacher Performance Appraisal Instrument
for [petitioner]. He rated her at being standard in
the three categories in which he had previously found
her to be below standard. Then, although never having
given her any documentation or warnings, he rated her
as being below standard or unsatisfactory in three
categories in which he had never previously evaluated
her.
12. That on two occasions, Mr. Sherrill claimed
that [petitioner] was insubordinate because she failed
to have lesson plans in a lesson plan book as she had
been instructed. Mr. Sherrill offered into evidence
blank pages of a lesson plan book. However, additional
pages obtained by Mr. Sherrill consist of lengthy
instructions written for substitute teachers which
would not fit within a lesson plan book. Mr. Sherrill
did not request the lesson plan book from [petitioner].
[Petitioner] testified that she maintained a lesson
plan. On May 4, 1998, [petitioner] was observed by
assistant principal Susan Jones and by Jeannette N.
Davis. The Formative Observation Data Analysis of this
observation does not note the failure to maintain a
lesson plan book. That a former principal and a
teacher of the in-school suspension program (ISS) at
Liberty Middle School, testified that anytime one of
[petitioner's] students was sent to in-school
suspension they always came with a lesson plan.
13. Two long[-]term special education teachers
testified that they reviewed the individualized
educational plans of [petitioner's] students and
[petitioner's] lesson plan book. Ms. Horn testified
that formal lesson plans were not always necessary in a
special education class like the one [petitioner]
taught. Both teachers testified that the
individualized education plans for [petitioner's]
students were well thought out and appropriated [sic].
Further, both teachers confirmed that [petitioner's]
method of teaching, including the utilization of
recipes and field trips, were [sic] effective methods
of teaching middle school educationally mentally
handicapped children and focused on appropriate lessons
which would help these children in the future.
. . . .
16. Except for his approximately one hour
observation of [petitioner] on December 8, 1997,Mr. Sherrill spent no other time observing [petitioner]
or monitoring her teaching ability. Mr. Sherrill
failed to make suggestions to [petitioner] for
professional improvement following his December 8, 1997
observation and evaluation of [petitioner]. Following
his December 8, 1997 observation of [petitioner],
Mr. Sherrill did not provide [petitioner] any
assistance in becoming a more effective teacher. He
did not devise a professional growth plan. He did not
request the assistance of other special education
teachers or of [Hastings]. . . . Mr. Sherrill failed
to document[] ways in which he had helped [petitioner]
become a more effective professional at a time when he
was recommending her dismissal.
17. There was a[n] evidentiary objection as to
the maintenance of IEP folders by [petitioner]. The
only evidence introduced to show that [petitioner] had
not properly maintained the IEP folders was the
testimony of Mr. Hastings. This evidence is outside
the factual basis stated by Dr. Stewart as the basis
for his decision to terminate [petitioner].
18. Four parents of former students of
[petitioner] testified at the hearing. Each parent
testified as to having observed [petitioner] in the
classroom or on field trips. Each parent testified
that his/her child made progress in [petitioner's]
classroom. Each parent testified that if given the
opportunity they would have [petitioner] teach their
child again.
19. [Petitioner] was not insubordinate and did
not willfully disregard directions of her employer or
refuse to obey a reasonable order.
20. [Petitioner's] teaching performance was not
inadequate.
21. [Petitioner] did not neglect her duty.
Based on these findings, the case manager recommended that the
[s]uperintendent's grounds for dismissal are not substantiated by
a preponderance of [the] evidence.
The case manager's amended findings did not affect Stewart's
decision to proceed to a hearing before respondent. Accordingly,
Stewart forwarded to respondent the entire record of the hearing
held before the case manager, including the evidence to whichpetitioner's objections had been sustained. On 21 December 1998,
petitioner wrote attorney Larry A. Ballew (Ballew), objecting to
the material that had been excluded by the case manager. On
12 January 1999, respondent held a hearing on this matter. It
heard no evidence in addition to that presented to the case
manager, but petitioner and Stewart were permitted to make oral
arguments before respondent in a closed session. Respondent
unanimously determined that the case manager's findings of fact
were not supported by substantial evidence when the record was
reviewed as a whole and therefore made . . . alternative findings
of fact. These alternative findings of fact included matters
excluded by the case manager:
44. At the case manager['s] hearing, [Wright],
the teacher assistant in [petitioner's] classroom for
the previous two years stated, and we find as a fact,
that [petitioner] would spend as much as three to four
hours per day on the telephone, leaving the kids to the
assistant to teach. The telephone conversations were
unrelated to the classroom and concerned []
[petitioner's] joint-venture in a flea market, her
massage business, or the psychic hot-line.
. . . .
48. [Petitioner] did not spend a complete day
doing instruction to the children, during the two years
that [Wright] was her assistant. The most time that
[petitioner] spent in any one day actually teaching was
two hours. [Petitioner] spent less than 10% of her
time actually teaching the children in her care.
. . . .
53. [Petitioner] referred to a black student as a
monkey. This racial slur caused the student and his
parents great concern.
54. [Petitioner] took the class on a field trip
to the Biltmore House in Asheville. The children's
parents were told that the children would be back at
5:00 p.m. [Petitioner] did not have the children back
until 8:00 p.m. and did not call anyone to say theywould return late. The reason they were late returning
is because [petitioner] wanted to go shopping after the
field trip.
55. Pictures taken of [petitioner's] classroom
illustrated the testimony shown in the transcripts.
The classroom was cluttered, old food was present
throughout the room and the storage areas, [and] roach
droppings and a rat's nest were clearly visible.
56. In March of 1998, the Director for
Exceptional Children, [Hastings], in a review of the
Exceptional Children records in [petitioner's] class
were incomplete [sic]. Mr. Hastings directed
[petitioner] to make the necessary corrections.
Mr. Hastings['] testimony was that such incomplete
records could have resulted in a loss of funding had
they not be[en] corrected before an audit.
Respondent concluded that its findings substantiate the
[s]uperintendent's grounds for dismissal, inadequate performance,
insubordination, and neglect of duty as set forth in N.C.G.S.
§ 115C-325(e)(1)(a), (c)[,] and (d) and that petitioner did not
suffer any prejudicial error. Accordingly, respondent terminated
petitioner's employment.
Petitioner appealed to the Superior Court, Burke County.
That court held that respondent's decision to terminate
petitioner was supported by substantial evidence from the whole
record and affirmed the termination decision. Petitioner
appealed to the North Carolina Court of Appeals, which reversed
and remanded the case to the Superior Court, Burke County, for
further remand to [r]espondent for it to either reject Stewart's
recommendation or 'accept or modify the recommendation and
dismiss, demote, reinstate, or suspend' [p]etitioner. N.C.G.S.
§ 115C-325(j1)(5) (1999). Respondent's decision must be based on
the findings made by the case manager. Farris v. Burke Cty. Bd.
of Educ., 143 N.C. App. 77, 88, 544 S.E.2d 578, 585 (2001). ThisCourt allowed respondent's petition for discretionary review to
consider the Court of Appeals' interpretation of the statutes
applicable to teacher dismissal. We also allowed petitioner's
conditional petition for discretionary review to consider an
issue that had been raised by assignment of error in the Court of
Appeals but not resolved in that court's opinion, that is,
whether petitioner's due process rights to have the termination
decision made by an impartial decision-maker had been violated.
As to the first issue, we affirm the holding of the Court of
Appeals, as modified below. As to the second issue, we overrule
petitioner's assignment of error.
*** Converted from WordPerfect ***