Section .0100 ‑ General Provisions

Link to law: http://reports.oah.state.nc.us/ncac/title 25 - state human resources/chapter 01 - office of state human resources/subchapter i/subchapter i rules.html
Published: 2015

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SUBCHAPTER 1I ‑ SERVICE TO LOCAL GOVERNMENT

 

SECTION .0100 ‑ GENERAL PROVISIONS

 

25 NCAC 01I .0101            AUTHORITY FOR PERSONNEL POLICIES

 

History Note:        Authority G.S. 126‑4; 126‑7;

126‑8;

Eff. February 1, 1976;

Repealed Eff. November 1, 1988.

 

 

25 NCAC 01I .0102            AUTHORITY FOR

CLASSIFICATION PLAN

 

History Note:        Authority G.S. 126‑3; 126‑4(1);

126‑5(a);

Eff. February 1, 1976;

Amended Eff. January 1, 1989;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .0103            AUTHORITY FOR RECRUITMENT AND

EVALUATION

25 NCAC 01I .0104            AUTHORITY FOR OTHER SERVICES TO

LOCAL GOVERNMENT

 

History Note:        Authority G.S. 126‑3; 126‑4;

126‑10;

Eff. February 1, 1976;

Repealed Eff. November 1, 1988.

 

 

 

25 NCAC 01I .0105            ORGANIZATION

 

History Note:        Authority G.S. 126‑4; 126‑5;

Eff. February 1, 1976;

Repealed Eff. December 1, 1978.

 

 

 

SECTION .0200 ‑ LOCAL GOVERNMENT EMPLOYMENT POLICIES

 

 

25 NCAC 01I .0201            APPLICABILITY

25 NCAC 01I .0202            COVERAGE

25 NCAC 01I .0203            EQUAL EMPLOYMENT OPPORTUNITY

25 NCAC 01I .0204            EMPLOYMENT OF RELATIVES

25 NCAC 01I .0205            CONFLICTING EMPLOYMENT

25 NCAC 01I .0206            PERSONNEL RECORDS AND REPORTS

 

History Note:        Authority G.S. 126-1; 126-4; 126-11;

126-12;  126-16; 126-36; 126-36.1; 153-A-98;  168A-3;

Title VII of the 1964 Civil Rights Act as amended in

1972; Federal Standards for a Merit

System of Personnel Administration; 5 U.S.C. 1501-1508;

P.L. 95-256;

Eff. February 1, 1976;

Amended Eff. May 1, 1989; January 1, 1989; August 1,

1988; December 1, 1980;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .0300 ‑ LOCAL GOVERNMENT POSITION ANALYSIS

 

 

25 NCAC 01I .0301            AUTHORITY FOR ESTABLISHING

QUALIFICATIONS

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Repealed Eff. November 1, 1988.

 

 

 

25 NCAC 01I .0302            ORGANIZATION

25 NCAC 01I .0303            DEFINITIONS

25 NCAC 01I .0304            POLICY ON ESTABLISHING MINIMUM

QUALIFICATION STANDARDS

25 NCAC 01I .0305            CLASSIFICATION METHOD

25 NCAC 01I .0306            CLASSIFICATION PLAN

25 NCAC 01I .0307            MAINTENANCE OF THE CLASSIFICATION

PLAN

25 NCAC 01I .0308            ALLOCATION OF POSITIONS TO

CLASSIFICATION PLAN

25 NCAC 01I .0309            TENTATIVE AND FLAT‑RATE

PROVISIONS FOR TEMPORARY CLASS.

25 NCAC 01I .0310            NEW AND ADDITIONAL PERMANENT: FULL

OR PART‑TIME POSITIONS

25 NCAC 01I .0311            ALLOCATION OR REALLOCATION OF A

VACANT POSITION

25 NCAC 01I .0312            REALLOCATION OF AN ESTABLISHED

POSITION TO ANOTHER CLASS.

25 NCAC 01I .0313            EFFECTIVE DATE OF REALLOCATION

25 NCAC 01I .0314            TRANSFER OF POSITIONS

25 NCAC 01I .0315            ABOLISHMENT OF A POSITION

25 NCAC 01I .0316            ABOLISHMENT OF A CLASS

 

History Note:        Authority G.S. 126-4;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; August 1, 1980;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .0400 ‑ LOCAL GOVERNMENT POSITION CLASSIFICATION

SERVICES

 

 

25 NCAC 01I .0401            CHARGES

25 NCAC 01I .0402            MEMORANDUM OF AGREEMENT FOR

TECHNICAL ASSISTANCE

 

History Note:        Authority G.S. 126‑10;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; April 1, 1981;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .0500 ‑ POSITIONS IN LOCAL GOVERNMENT

 

 

25 NCAC 01I .0501            CLASSIFICATIONS

25 NCAC 01I .0502            FILING OF CLASSIFICATION STANDARDS

25 NCAC 01I .0503            CLASSIFICATION STANDARDS

25 NCAC 01I .0504            LEGAL: ADMINISTRATIVE MANAGEMENT:

AND RELATED CLASSES

25 NCAC 01I .0505            DATA PROCESSING CLASSES

25 NCAC 01I .0506            INFORMATIONAL AND EDUCATIONAL

CLASSES

25 NCAC 01I .0507            HUMAN SERVICES CLASSES

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; June 1, 1983; April 1,

1983; April 1, 1982;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .0508            MEDICAL: HEALTH: AND LABORATORY

CLASSES

25 NCAC 01I .0509            LICENSING: INSPECTION: AND PUBLIC

SAFETY CLASSES

25 NCAC 01I .0510            SKILLED TRADES AND ALLIED CLASSES

25 NCAC 01I .0511            ENGINEERING: ARCHITECTURAL: AND

ALLIED CLASSES

 

History Note:        Authority G.S. 126‑4;

Eff. March 1, 1979;

Amended Eff. October 1, 1980;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .0600 ‑ RECRUITMENT AND SELECTION

 

 

25 NCAC 01I .0601            RECRUITMENT

25 NCAC 01I .0602            POSTING AND ANNOUNCEMENT OF

VACANCIES

25 NCAC 01I .0603            APPLICANT INFORMATION AND

APPLICATION

25 NCAC 01I .0604            EMPLOYMENT OF RELATIVES

25 NCAC 01I .0605            VETERAN'S PREFERENCE

25 NCAC 01I .0606            SELECTION

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. February 1, 1989; February 1, 1986; August

1, 1980;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .0607            TYPES OF EXAMINATION

25 NCAC 01I .0608            ORAL EXAMINING BOARDS

25 NCAC 01I .0609            RATING EXAMINATION

25 NCAC 01I .0610            VETERANS' PREFERENCE

25 NCAC 01I .0611            EXAMINATION RECORDS

25 NCAC 01I .0612            APPLICANT APPEAL OF EXAMINATION

RESULTS

25 NCAC 01I .0613            REGISTERS OF ELIGIBLES

 

History Note:        Authority G.S. 126‑4; Federal

Standards for a Merit System of Personnel Administration;

Eff. February 1, 1976;

Repealed Eff. February 1, 1986.

 

 

 

25 NCAC 01I .0614            SELECTIVE PLACEMENT PROGRAM

 

History Note:        Authority G.S. 126‑4; Federal

Standards for a Merit System of Personnel Administration;

Eff. August 1, 1980;

Repealed Eff. February 1, 1986.

 

 

 

SECTION .0700 ‑ APPOINTMENT AND SEPARATION

 

25 NCAC 01I .0701            APPOINTMENT

25 NCAC 01I .0702            TYPES OF APPOINTMENTS AND DURATION

25 NCAC 01I .0703            TRANSFER: PROMOTION: DEMOTION: AND

SEPARATION

25 NCAC 01I .0704            TRANSFER

25 NCAC 01I .0705            PROMOTION

 

History Note:        Legislative Objection Lodged Eff. June

13, 1983;

Filed as an Emergency Amendment (g) Eff. February 10,

1981, for a period of 111 Days to Expire on June 1, 1981;

Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; February 1, 1986; August 1,

1980;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .0706            DEMOTION/REASSIGNMENT

25 NCAC 01I .0707            SEPARATION

25 NCAC 01I .0708            VETERANS

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1986;

Amended Eff. May 1, 1989; January 1, 1989;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .0800 ‑ PROBATIONARY PERIOD AND PERMANENT STATUS

 

 

25 NCAC 01I .0801            POLICY

25 NCAC 01I .0802            PROBATIONARY PERIOD

25 NCAC 01I .0803            PERMANENT STATUS

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. December 1, 1984; June 1, 1983; August 1,

1980; January 1, 1979;

Repealed Eff. February 1, 1986.

 

 

 

SECTION .0900 ‑ TRANSFER: PROMOTION: DEMOTION AND

SEPARATION

 

 

25 NCAC 01I .0901            TRANSFER

25 NCAC 01I .0902            PROMOTION

25 NCAC 01I .0903            DEMOTION

25 NCAC 01I .0904            SEPARATION

25 NCAC 01I .0905            REINSTATEMENT

25 NCAC 01I .0906            VETERANS

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. June 1, 1983; October 1, 1981; December 1,

1980; January 1, 1979;

Repealed Eff. February 1, 1986.

 

 

 

SECTION .1000 ‑ COMPENSATION

 

 

25 NCAC 01I .1001            COMPENSATION PLAN

25 NCAC 01I .1002            ESTABLISHMENT OF SALARY SCHEDULE

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. May 1, 1977;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1003            LOCAL SALARY SCHEDULE

25 NCAC 01I .1004            APPENDIX TO LOCAL SALARY SCHEDULE

 

History Note:        Authority G.S. 126‑4;

Eff. September 1, 1976;

Repealed Eff. July 1, 1977.

 

 

 

25 NCAC 01I .1005            ADMINISTRATION OF SALARY SCHEDULE

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; May 1, 1977;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1006            AVAILABILITY OF FUNDS

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Repealed Eff. May 1, 1977.

 

 

 

25 NCAC 01I .1007            SALARY RATES

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; May 1, 1977;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1008            SALARY REDUCTION BASED ON

PERFORMANCE

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Repealed Eff. May 1, 1977.

 

 

 

25 NCAC 01I .1009            PAY STATUS

25 NCAC 01I .1010            ADDITIONAL COMPENSATION

25 NCAC 01I .1011            OTHER PAY

 

History Note:        Authority G.S. 126‑4; 126‑5;

126‑9;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; May 1, 1977;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1012            ASSIGNMENT OF CLASSES WITHIN SALARY

SCHEDULE

25 NCAC 01I .1013            PROCEDURE FOR SUBMISSION AND

APPROVAL

 

History Note:        Authority G.S. 126‑4;

Eff. May 1, 1977;

Amended Eff. January 1, 1989;

Repealed Eff. August 3, 1992.

 

 

 

 

SECTION .1100 ‑ HOURS OF WORK AND OVERTIME PAY

 

 

25 NCAC 01I .1101            FAIR LABOR STANDARDS ACT

 

History Note:        Authority Fair Labor Standards Act;

Eff. February 1, 1976;

Repealed Eff. October 1, 1976.

 

 

 

25 NCAC 01I .1102            EXEMPTIONS

 

History Note:        Authority Fair Labor Standards Act;

Eff. February 1, 1976;

Repealed Eff. November 1, 1979.

 

 

 

25 NCAC 01I .1103            HOURS OF WORK AND OVERTIME

COMPENSATION

 

History Note:        Authority G.S. 126‑4;

Eff. November 1, 1979;

Amended Eff. August 1, 1985;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .1200 ‑ ATTENDANCE AND LEAVE

 

 

25 NCAC 01I .1201            POLICY

25 NCAC 01I .1202            HOURS OF WORK

25 NCAC 01I .1203            VACATION LEAVE

25 NCAC 01I .1204            SICK LEAVE

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. June 1, 1983; January 1, 1983; May 1, 1980;

May 1, 1979;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1205            PETTY LEAVE

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Repealed Eff. January 1, 1983.

 

 

 

25 NCAC 01I .1206            MILITARY LEAVE WITH PAY

25 NCAC 01I .1207            CIVIL LEAVE

25 NCAC 01I .1208            EDUCATIONAL LEAVE

25 NCAC 01I .1209            LEAVE WITHOUT PAY

25 NCAC 01I .1210            SPECIAL LEAVE WITHOUT PAY

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; June 1, 1983; June 1, 1982;

December 1, 1980;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .1300 ‑ DISCIPLINARY ACTION: SUSPENSION AND

DISMISSAL

 

 

25 NCAC 01I .1301            POLICY

25 NCAC 01I .1302            PERFORMANCE OF DUTIES

25 NCAC 01I .1303            PERSONAL CONDUCT

25 NCAC 01I .1304            SUSPENSION

25 NCAC 01I .1305            RIGHT OF APPEAL

25 NCAC 01I .1306            REFERENCE

 

History Note:        Authority G.S. 126‑4; 126‑35;

126‑37;

Eff. February 1, 1976;

Amended Eff. November 1, 1977;

Repealed Eff. December 1, 1984.

 

 

 

25 NCAC 01I .1307            APPEALS

25 NCAC 01I .1308            CAUSES

25 NCAC 01I .1309            DISMISSAL: CAUSES RELATING TO

PERFORMANCE OF DUTIES

25 NCAC 01I .1310            DISMISSAL

25 NCAC 01I .1311            DISMISSAL: CAUSES RELATING TO

PERSONAL CONDUCT

25 NCAC 01I .1312            SUSPENSION

25 NCAC 01I .1313            DEMOTION

25 NCAC 01I .1314            SPECIAL PROVISIONS: CREDENTIALS

 

History Note:        Authority G.S. 126‑4; 126‑35;

126‑37; 126‑38; Chapter 150B, Article 3,;

Eff. December 1, 1984;

Amended Eff. September 1, 1989; January 1, 1989; February

1, 1989; August 1, 1985;

Repealed Eff. November 1, 1990.

 

 

 

25 NCAC 01I .1315            LOCAL AGENCIES SUBJECT TO SAME RULES

AS STATE AGENCIES

 

History Note:        Authority G.S. 126‑4; 126‑35;

126‑37;

Eff. November 1, 1990;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .1400 ‑ ACTIONS BY LOCAL GOVERNING BODY

 

 

25 NCAC 01I .1401            SALARY SCHEDULE ESTABLISHMENT

 

History Note:        Authority G.S. 126‑11; 126‑9;

Eff. February 1, 1976;

Repealed Eff. July 1, 1977.

 

 

 

25 NCAC 01I .1402            ESTABLISHING EQUIVALENT PERSONNEL

SYSTEM

 

History Note:        Authority G.S. 126‑11;

Eff. February 1, 1976;

Amended Eff. December 1, 1983;

Repealed August 3, 1992.

 

 

 

25 NCAC 01I .1403            CERTIFICATION: PERSONNEL

ADMINISTRATION SYSTEM

 

History Note:        Authority G.S. 126‑4; Federal

Standards for a Merit System of Personnel Administration;

Eff. August 1, 1980;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1404            REQUIREMENTS FOR EQUIVALENT

PERSONNEL SYSTEM

 

History Note:        Authority G.S. 126‑11; Federal

Standards for A Merit System of Personnel Administration;

Eff. February 1, 1981;

Amended Eff. October 1, 1983; June 1, 1983;

Repealed Eff. November 1, 1988.

 

 

 

25 NCAC 01I .1405            MERIT PRINCIPLE I: RECRUITMENT:

SELECTION: ADVANCEMENT

25 NCAC 01I .1406            MERIT PRINCIPLE II: CLASSIFICATION:

COMPENSATION

25 NCAC 01I .1407            MERIT PRINCIPLE III: TRAINING

25 NCAC 01I .1408            MERIT PRINCIPLE IV

25 NCAC 01I .1409            MERIT PRINCIPLE V

25 NCAC 01I .1410            MERIT PRINCIPLE VI: POLITICAL

ACTIVITY

25 NCAC 01I .1411            PROCEDURE FOR SUBMISSION

25 NCAC 01I .1412            AREAS NOT COVERED BY THE DELEGATION

AGREEMENT

25 NCAC 01I .1413            ONGOING CONDITIONS OF THE DELEGATION

AGREEMENT

 

History Note:        Authority G.S. 126‑11; Federal

Standards for a Merit System of Personnel Administration;

Eff. October 1, 1983;

Amended Eff. January 1, 1989;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .1500 ‑ FORMS

 

 

25 NCAC 01I .1501            FORM PD‑107

25 NCAC 01I .1502            FORM PD‑1

25 NCAC 01I .1503            FORMS PD‑100 HR AND PD‑100

CD

25 NCAC 01I .1504            FORM PD‑119 HR

25 NCAC 01I .1505            FORM PD‑3

25 NCAC 01I .1506            FORM PD‑118

25 NCAC 01I .1507            FORM PD‑102

25 NCAC 01I .1508            FORM PD‑103

 

History Note:        Authority G.S. 126‑4;

Eff. February 1, 1976;

Amended Eff. January 1, 1989;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .1600 ‑ PERSONNEL ADVISORY SERVICE TO LOCAL

GOVERNMENT

 

 

25 NCAC 01I .1601            PERSONNEL ADVISORY SERVICE TO LOCAL

GOVERNMENT

25 NCAC 01I .1602            DESCRIPTION OF REQUEST FOR TECHNICAL

ASSISTANCE

 

History Note:        Authority G.S. 126‑10;

Eff. February 1, 1976;

Amended Eff. January 1, 1989; April 1, 1981;

Repealed Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1603            CHARGES

 

History Note:        Authority G.S. 126‑10;

Eff. August 1, 1977;

Amended Eff. April 1, 1981;

Repealed Eff. August 3, 1992.

 

 

 

SECTION .1700 ‑ LOCAL GOVERNMENT EMPLOYMENT POLICIES

 

25 NCAC 01I .1701            APPLICABILITY

State law (N.C.G.S. Chapter 126, "The State Human

Resources Act") provides for the establishment of a system of personnel

administration applicable to certain local employees paid entirely or in part

from federal funds. Local governing boards are authorized by G.S. 126 to

establish personnel systems which will fully comply with the applicable federal

standards and then may remove such employees from the state system to their own

system.

 

History Note:        Authority G.S. 126-1; 126-11;

Eff. August 3, 1992.

 

25 NCAC 01I .1702            EMPLOYMENT OF RELATIVES

(a)  The employment of close relatives within

the same department or work unit of a local government agency subject to G.S.

Chapter 126 is to be avoided unless significant recruitment difficulties

exist.  If there are fewer than three other available eligibles for a vacancy

and it is necessary for relatives to be considered for employment or if two

individuals are already employed and marry, the following will apply:

Two members of an immediate family shall not be employed

within the same department or work unit of a local government agency subject to

G.S. Chapter 126 if such employment will result in one supervising a member of

his immediate family or where one member occupies a position which has

influence over the other's employment, promotion, salary administration and

other related management or personnel considerations.

(b)  The term "immediate family"

shall be understood to refer to that degree of closeness of relationship which

would suggest that problems might be created within the work unit or that the

public's philosophy of fair play in providing equal opportunity for employment

to all qualified individuals would be violated.  This would include wife,

husband, mother, father, brother, sister, son, daughter, grandmother,

grandfather, grandson, and granddaughter.  Also included are the step, half and

in‑law relationships as appropriate based on the above listing.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1703            CONFLICTING EMPLOYMENT

No employee shall hold any office or have other employment

which may conflict with his employment in an agency which is subject to the

State Human Resources Act.  Determination of conflict shall be made by the

agency director.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

25 NCAC 01I .1704            PERSONNEL RECORDS AND REPORTS

Such personnel records as are necessary for

the proper administration of a personnel service system and related programs

will be maintained. Periodic reports will be prepared as necessary to indicate compliance

with applicable state and local requirements and the federal and state

standards:

(1)           Personnel Records.  Each agency

shall maintain a service record for each employee including name, position

title, organization unit, all changes in status, performance evaluations and

other information considered pertinent.

(2)           Payroll Records.  An accurate copy

of the payroll of each local social services, public health, mental health and

civil preparedness unit shall be submitted to the agency, personnel and/or

budget offices within two weeks following each payroll period.  The payroll

information shall be used in reviewing conformity by local units to establish

rules and regulations.

 

History Note:        Authority G.S. 126‑4; 153-A-98;

Standards for a Merit System of Personnel Administration;

Eff. August 3, 1992.

 

 

 

SECTION .1800 ‑ GENERAL PROVISIONS

 

25 NCAC 01I .1801            AUTHORITY FOR CLASSIFICATION PLAN

(a)  The State Human Resources Director is authorized to

allocate and reallocate individual positions consistent with the basic

established classification and pay plan.

(b)  The State Human Resources Director is authorized to

modify the classification plan for local government positions subject to

Chapter 126 of the North Carolina General Statutes pending final approval of

the State Human Resources Commission and the Governor.

 

History Note:        Authority G.S. 126-3; 126-4(1); 126-5(a);

Eff. August 3, 1992.

 

25 NCAC 01I .1802            POLICY ON ESTABLISHING MINIMUM

QUALIFICATION STANDARDS

(a)  It shall be the policy of the state to establish job-related

minimum qualification standards wherever they are practical for each class of

work in the position classification plan.  The standards will be based on the

required skills, knowledges and abilities common to each classification.  The

qualification standards and job-related skills, knowledges and abilities shall

serve as guides for the selection and placement of individuals.

(b)  The training and experience statements serve as

indicators of the possession of identical skills, knowledges and abilities and

as guides to primary sources of recruitment; reasonable substitutions of formal

education and job-related experience, one for the other, will be made.  The State

Human Resources Commission recognizes that a specific quantity of formal

education or number of years experience does not always guarantee possession of

the identified skills, knowledges and abilities for every position in a class. 

Qualifications necessary to perform successfully may be attained in a variety

of combinations.  Management is responsible for determining specific

job-related qualifications that are an addition to minimum standards. 

Management shall be responsible for any adverse effects resulting from the use

of selection standards that have not been established or approved by the State

Human Resources Director.

(c)  The State Human Resources Director is authorized to

modify training and experience requirements for established classifications

consistent with this policy and to report such changes to the Board.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

25 NCAC 01I .1803            CLASSIFICATION METHOD

All positions

are defined by the types and levels of work involved and evaluated based on the

application of accepted job analysis techniques and according to common job

factors and the relative importance of the presence or absence of such job

factors in the positions.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1804            ALLOCATION OF POSITIONS TO

CLASSIFICATION PLAN

Every covered position in local government

shall be allocated to an appropriate class in the classification plan.  The

allocation of a position is its assignment to a class containing all positions

which are sufficiently similar in duty assignments to justify common treatment

in selection, compensation and other employment processes.  A class may consist

of a single unique position or of many like positions.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1805            TENTATIVE

AND FLAT‑RATE PROVISIONS FOR TEMPORARY CLASSIFICATION

The State Human Resources Director is authorized to

establish temporary classifications with tentative pay grades or flat-rate

salaries when insufficient information is available to make permanent

classification and pay recommendations to the State Human Resources

Commission.  When sufficient information is available, the Director will make a

recommendation to the State Human Resources Commission which will incorporate

the temporary class and pay into the permanent classification plan and pay

plan.  Such temporary classes, tentative pay grades and flat-rate salaries

shall be administered according to all applicable rules and regulations

approved by the State Human Resources Commission.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

25 NCAC 01I .1806            NEW AND ADDITIONAL PERMANENT: FULL

OR PART‑TIME POSITIONS

The duties of a budgeted position must be

defined and the position must be assigned to an official classification in the

salary plan.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

SECTION .1900 ‑ RECRUITMENT AND SELECTION

 

 

25 NCAC 01I .1901            RECRUITMENT

Local departments and agencies will meet their

workforce needs through systematic recruitment and career support programs

which identify, attract, select, and develop the human resources necessary for

present and future work.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

 

25 NCAC 01I .1902            POSTING AND ANNOUNCEMENT OF

VACANCIES

(a)  Vacant positions to be filled will be

publicized by the agency having the vacancy to permit an open opportunity for

all interested employees and applicants to apply.

(b)  Vacancies which will be filled from

within the agency workforce will be prominently posted in an area known to

employees, and will be described in an announcement which includes at minimum

the title, salary range, key duties, knowledge and skill requirements, minimum

training and experience standard, and contact person for each position to be

filled.  An exception to this posting requirement will be permissible where a

formal, pre‑existing "understudy" arrangement has been

established by management.

(c)  Any vacancy for which an agency wishes to

consider outside applicants or outside applicants concurrently with the

internal workforce shall be listed with the local Job Service Office of the

Employment Security Commission.  Listings will include the appropriate

announcement information and vacancies so listed shall have an application

period of not less than seven work days.

(d)  If an agency makes an effort to fill a

vacancy from within, and is unsuccessful, the listing with the Employment

Security Commission would take place when the decision is made to recruit

outside.  A vacancy which an agency will not fill for any reason shall not be

listed; if conditions change, it shall then be treated as a new vacancy.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1903            APPLICANT INFORMATION AND

APPLICATION

(a)  The

primary source of public information and referral for vacancies in subject

local government programs is the Employment Security Commission.  Interested

persons may contact their local ESC Job Service Office.  Other sources may also

be designated by local departments and agencies.

(b)  Persons

applying for a local vacancy must complete and submit the official application

form designated by the hiring authority and approved by the reviewing state

agency.  It is not necessary for local agencies to accept official application

forms in the absence of an actual vacancy under active recruitment.

(c)  Each

agency shall be responsible for evaluating the accuracy of statements made in

an application, and may seek job‑related evidence of the applicant's

suitability for employment.

(d)  An

applicant may be disqualified if he:

(1)        lacks

any of the preliminary qualifications established for the class of the position

being applied for;

(2)        has

made a false statement of material fact in the application process;

(3)        fails

to submit an application correctly or within the prescribed time limits;

(4)        lacks

the physical or mental ability to perform the essential duties of the position

even with reasonable accommodation.

 

History Note:        Authority G.S. 126‑4;

Eff. September 1, 1992.

 

 

 

25 NCAC 01I .1904            VETERAN'S PREFERENCE

Persons entitled to veterans' preference must

so indicate on any application filed.  Verifying documentation may be required

by the agency.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .1905            SELECTION

(a)  Selection of Applicants:

(1)           The selection of applicants for appointment

will be based upon a relative consideration of their qualifications for the position

to be filled.  Advantage will be given to applicants determined to be best

qualified and hiring authorities must reasonably document hiring decisions to

verify this advantage was granted and explain their basis for selection.

(2)           Selection procedures and methods will be

validly related to the duties and responsibilities of the vacancy to be

filled.  In any vacancy instance, the same selection process will be used

consistently with all the applicants.  Equal employment consideration will be

afforded.  Reference checking and other means of verifying applicant

qualifications may be employed as necessary.  It should be recognized and

explained to persons selected that the probationary period is a required

extension of the selection process.

(b)  Minimum Qualifications:

(1)           The employee or applicant must possess at

least the training and experience requirements, or their minimum equivalent,

set forth in the state class specification for the class of the position to be

filled. This shall apply in new appointments, promotions, demotions, transfers,

and reinstatements.

(2)           The training and experience requirements

serve as indicators of the possession of the skills, knowledges, and abilities

which have been shown through job evaluation to be important to successful

performance, and as a guide to primary sources of recruitment.  It is

recognized that a specific quantity of formal education or numbers of years

experience does not always guarantee possession of the necessary skills,

knowledges, and abilities for every position.  Qualifications necessary to

perform successfully may be attained in a variety of combinations.  In

evaluating qualifications, reasonable substitutions of formal education and job-related

experience, one for the other, will be made upon request by the local

appointing authority to the appropriate state review agency.

(3)           Management is responsible for determining

the vacancy-specific qualifications that are an addition to minimum class

standards.  Such qualification requirements must bear a logical and job-related

relationship to the minimum standard.  Management shall be accountable for the

adverse effects resulting from the use of qualification standards that are

unreasonably construed.

(4)           The review authority for qualifications in

questionable selection situations rests first with the respective Regional

Personnel Office and Central Office of the Department of Human Resources, or in

the state Office of Crime Control and Public Safety, and finally with the

Office of State Human Resources.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

SECTION .2000 ‑ APPOINTMENT AND SEPARATION

 

25 NCAC 01I .2001            APPOINTMENT

An appointment is the approved employment of an applicant or

employee to perform the duties and responsibilities of an established position

subject to the provisions of the State Human Resources Act.  The selection and

appointment of persons to all subject positions shall be by the action of the

appointing authority.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

25 NCAC 01I .2002            TYPES OF APPOINTMENTS AND DURATION

(a)  Probationary Appointment:  The probationary period is

an essential extension of the selection process and provides the time for

effective adjustment of the new employee or elimination of those whose

performance will not meet acceptable standards.  Probationary appointments are

administered as follows:

(1)           The agency shall require a probationary

period for:

(A)          Individuals receiving original appointments to

permanent positions;

(B)          Employees accepting a position in a different agency

in the same county or in another county that is subject to G.S. Chapter 126. 

This applies to those who have already achieved career status; and

(C)          Individuals being rehired following a 31 day break

in service may be required to serve a probationary period as set out in

Subparagraph (2).

(2)           Individuals being rehired may be required

to serve a probationary period if:

(A)          the essential duties and responsibilities of the

position into which the employee is being rehired are significantly different

from those of the position held at the time the employee left; or

(B)          in the judgment of the employing agency, a new

probationary period is justified based on previous employment history and the

specific reasons for the new probationary period are communicated to the

employee in the job offer.

(3)           Employees with career status who serve a

new probationary period as set out in Part (a)(1)(B) of this Rule shall be returned

to career status upon successful completion of the new probationary period;

(4)           The length of the probationary period shall

not be less than three nor more than nine months of either full-time or

part-time employment.  The length is dependant upon the complexity of the

position and the rapidity of progress made by the particular individual in the

position.  If the desired level of performance is not achieved within nine

months after appointment, the employee shall be separated from service unless in

trainee status; an employee with a trainee appointment is expected to make a

satisfactory progress, but is not permanent until he has completed the training

period;

(5)           At any time during a probationary period an

employee may be separated from service for causes related to performance of

duties or for personal conduct detrimental to the agency without right of

appeal or hearing. The employee must be given notice of dismissal, including

reasons; and

(6)           Employment in a temporary appointment may

be credited toward the probationary period at the discretion of the appointing

authority. Employment in an intermittent or emergency appointment shall not be

credited toward the probationary period.

(b)  Trainee Appointment:  A trainee appointment may be made

to a position in any class for which the specification includes special

provisions for a trainee progression leading to a regular appointment. Trainee

appointments are administered as follows:

(1)           An individual who possesses the acceptable

training and experience for the class may not be appointed as a trainee;

(2)           The specification for each class in which a

trainee appointment is authorized will define the minimum qualifications for

the trainee appointment and the minimum qualifications for a regular

probationary appointment.  It is expected that the individual will progress

through supervised experience to a minimum level of satisfactory performance in

the position during a period of time indicated by the difference between the

amounts of experience required for the two types of appointments.  This limit

does not include time spent on educational leave or additional time required to

participate in a work-study program designed to meet educational requirements

for the class.  An employee may not remain on a trainee appointment beyond the

time he meets the educational and experience requirements for the class.  After

the employee has successfully completed all educational and experience

requirements he shall be given probationary or permanent status in the position

or shall be separated.  If the period of the trainee appointment equals or

exceeds nine months, the employee must be given permanent status or be

separated at the completion of the trainee period;

(3)           If an employee with permanent status in

another class accepts a trainee appointment, the permanent status will be

waived for the duration of the trainee appointment.  The employee can regain

permanent status either through successful completion of the trainee

appointment, by reinstatement to the class in which he previously held status,

or by transfer to a position in a class for which he/she would have been

eligible based on previous permanent status; and

(4)           A former employee who does not meet the

minimum requirements of the class to which he is being appointed shall be given

a trainee appointment.  All requirements for the trainee appointment must be

satisfied prior to attaining permanent status.

(c)  Permanent Appointment.  A permanent appointment is an

appointment to a permanently established position when the incumbent is

expected to be retained on a permanent basis.  Permanent appointments follow

the satisfactory completion of a probationary or trainee appointment, or may be

made upon reinstatement of a qualified employee. Permanent appointments do not

confer career status.  Career status is achieved only when the conditions set

out in G.S. 126-1.1 are met.  Continuous service creditable toward career

status shall be transferred when an employee accepts a position in an agency

subject to the State Human Resources Act in the same county or in another

county.

(d)  Time-Limited Appointment.  A time-limited appointment

may be made to:

(1)           a permanent position that is vacant due to

the incumbent's leave of absence and when the replacement employee's services

will be needed for a period of one year or less; or

(2)           to a permanent position that has an

established duration of no more than two years. Such appointment shall not be

made for less than six months.  If at the end of the two year time-limited

appointment, the work is expected to continue and the position becomes

permanent, the employee shall be given a permanent appointment.  A time-limited

appointment is distinguished from a temporary appointment by the greater length

of time, and from the regular permanent appointment by its limited duration.

(e)  Temporary Appointment.  A temporary appointment may be

made to a permanent or temporary position. The appointment shall be limited to

a maximum duration of 12 months.

(f)  Pre-Vocational Student Appointment.  This appointment

is to be used to enable students to gain practical knowledge of their

particular occupational area of interest.  A suitable plan for training under

close supervision must be developed for the individual.  In the case of a

co-operative, work study, internship, or similar appointment, the time schedule

for work must be determined.  The basis of eligibility and selection for such

an appointment shall be outlined in a formal plan developed by the

participating agencies for each type and level of student involvement.  Upon

successful completion of their training, individuals may be considered for any

vacant position for which qualified.

(g)  Emergency Appointment:  An emergency appointment may be

made when an emergency situation exists requiring the services of an employee

before it is possible to identify a qualified applicant through the regular

selection process. Emergency appointments are administered as follows:

(1)           When it is determined that an emergency

appointment is necessary, all other requirements for appointments will be

waived;

(2)           An emergency appointment may be made for a

period of up to 60 work days (consecutive or non-consecutive), or a total of

480 hours; and in pay status.

(3)           Any one individual may not receive

successive emergency appointments with the same department or agency.  At least

three calendar months must elapse after the conclusion of the emergency

appointment before that department or agency can give the same individual

another emergency appointment.

(h)  Appointment of Incumbents in Newly-Covered Programs:

(1)           Upon extension of State Human Resources Act

requirements to a program, position, or group of positions, the incumbent(s)

may be appointed with permanent status in his classifications under any of the

following circumstances:

(A)          The employee is qualified for reinstatement on the

basis of previous permanent status in a comparable position; or

(B)          The employee has at least three months of

satisfactory service in the program or agency, as certified by the appointing

authority, and the appointing authority recommends that the employee be granted

permanent status;

(2)           If the agency fails to grant permanent

status within nine months from the initial coverage then the incumbent must be

terminated.  Employees given trainee appointments will be given permanent

status consistent with other trainee appointments; and

(3)           Incumbents who have less than three months

of service with the agency shall be continued with no status until they are

granted permanent status or terminated as required in this Rule.  Employees

with more than three months but less than nine months services in the agency

may be continued without status until nine months have elapsed.  At the end of

nine months, however, the incumbent must be granted permanent status or

terminated.

(i)  Work-Against Appointment.  When qualified applicants

are unavailable and there is no trainee provision for the classification of the

vacancy, the appointing authority may appoint an employee below the level of

the regular classification in a work-against situation.  A work-against

appointment is for the purpose of allowing the employee to gain the

qualifications needed for the full class through on-the-job experience.  The

appointee must meet the minimum training and experience standard of the class

to which initially appointed.  A work-against appointment may not be made when

applicants are available who meet the training and experience requirements for

the full class, and for the position in question.

 

History Note:        Authority G.S. 126-4.

Eff. August 3, 1992;

Amended Eff. May 1, 2009.

 

25 NCAC 01I .2003            PROMOTION

(a)  A promotion is a change to a

classification at a higher level. This may result from movement to another

position or by the present position being reallocated to a higher

classification as a result of increases in the level of duties and

responsibilities.

(b)  When it is feasible, a vacancy should be

filled by promotion of a qualified permanent employee.  Selection should be

based upon demonstrated capacity, and quality of services.  If promotion

results from movement to another position, the candidate must possess the

minimum training and experience for the class.  If the promotion results from

the present position being reallocated to a higher classification, the employee

may be promoted by waiver of the stated training and experience requirements if

he has satisfactorily performed for a minimum of three months prior to the

reallocation.

(c)  An employee in a work‑against

appointment cannot be promoted, upon reallocation of his position, by waiver of

training and experience requirements until he has served at least one year in

the work‑against class or until qualified for the new class.  The

incumbent in a work‑against situation must be promoted as soon as he

meets the qualifications for the higher class or the position must be

reallocated to the lower class.

(d)  An employee in probationary or trainee

status may be promoted to another position in a higher classification if the

person is qualified for such an appointment.  The employee's probationary

period will continue until performance meets the required standard, as

certified by the appointing authority, except that in no case shall the

duration be longer than nine months after initial probationary appointment

(unless the person is in trainee status).

(e)  An employee in probationary status

occupying a position at the time it is reallocated upward may be promoted to

the new class if the person possesses the minimum training and experience

requirements; if not qualified the employee shall remain at the former level

working against the higher classification or be separated.  If promoted during

the probationary period, the employee will continue in probationary status

until performance meets the required standard, but in no case shall the

duration be longer than nine months after initial probationary appointment

(unless the person is in trainee status).

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2004            DEMOTION OR REASSIGNMENT

Demotion or reassignment is a change in status

resulting from assignment of a position to a lower classification level.  It

may result from the choice of the employee, reallocation of a position,

inefficiency in performance, unacceptable conduct, reduction‑in‑force,

or better utilization of individual resources.  If the change results from

inefficiency in performance or as a disciplinary action, the action is

considered a demotion.  If the change results from a mutually agreed upon

arrangement, the action is considered a reassignment.  When an employee in

permanent, probationary or trainee status is demoted, it is expected that he

will possess the minimum qualifications required for the new class at the

respective level of appointment.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 ncac 01I .2005            SEPARATION

Separation occurs when an employee leaves the payroll for

reasons indicated in this Rule or because of death. Employees who have acquired

permanent status are not subject to involuntary separation or suspension except

for cause or reduction-in-force.  The following are types of separation:

(1)           Resignation or Retirement.  An employee may

terminate his services with the agency by submitting a resignation or request

for retirement to the appointing authority at least two weeks prior to his last

day of work;

(2)           Dismissal.  Dismissal is involuntary separation for

cause, and shall be made in accordance with the provisions of 25 NCAC 01I.2300

Disciplinary Action:  Suspension, Dismissal and Appeals;

(3)           Reduction-in-Force.  For reasons of curtailment of

work, reorganization, or lack of funds the appointing authority may separate

employees.  Retention of employees in classes affected shall be based on

systematic consideration of type of appointment, length of service, and

relative efficiency. No permanent employee shall be separated while there are

emergency, intermittent, temporary, probationary, or trainee employees in their

first six months of the trainee progression serving in the same or related

class, unless the permanent employee is not willing to transfer to the position

held by the non-permanent employee, or the permanent employee does not have the

knowledge and skills required to perform the work of the alternate position

within a reasonable period of orientation and training given any new employee. 

A permanent employee who was separated by reduction-in-force may be reinstated

at any time in the future that suitable employment becomes available. The

employer may choose to offer employment with a probationary appointment.  The

employee must meet the current minimum education and experience standard for

the class to which he is being appointed;

(4)           Voluntary Resignation Without Notice.  An employee

who is absent from work and does not contact the employer for three consecutive

workdays may be separated from employment as a voluntary resignation. Such

separations create no right of grievance or appeal pursuant to the State Human

Resources Act (G.S. Chapter 126).  A factor to be considered when determining

whether the employee should be deemed to have voluntarily resigned is the

employee's culpability in failing to contact his or her employer; and

(5)           Separation Due to Unavailability When Leave is

Exhausted.  An employee may be separated on the basis of unavailability when

the employee becomes or remains unavailable for work after all applicable leave

credits and benefits have been exhausted and agency management does not grant a

leave without pay.  Prior to separation the employing agency shall notify the

employee in writing of the proposed separation, the efforts undertaken to avoid

separation and why the efforts were unsuccessful.  The employing agency must

also give the employee a letter of separation stating the specific reasons for

the separation and setting forth the employee's right of appeal.  Such a

separation is an involuntary separation, and not a disciplinary dismissal as

described in G.S. 126-35, and may be grieved or appealed.  The burden of proof

on the agency in the event of a grievance is not just cause as that term exists

in G.S. 126-35.  Rather, the agency's burden is to prove that the employee was

unavailable, that reasonable efforts were undertaken to avoid separation, and

the reason the efforts were unsuccessful.

(6)           Definitions:

(a)           Unavailability is defined as the employee's

inability to return to all of the position's essential duties and work schedule

due to a medical condition or the vagueness of a medical prognosis; or the

employee and the agency cannot reach agreement on a return to work arrangement

that meets both the needs of the agency and the employee's medical condition;

and

(b)           Applicable leave credits is defined as the

sick, vacation and bonus leave the employee chose to exhaust prior to going on

leave without pay.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992;

Amended Eff. January 1, 2007; September 1, 2004; December

1, 1994.

 

SECTION .2100 ‑ COMPENSATION

 

25 NCAC 01I .2101            COMPENSATION PLAN

(a)  The compensation plan shall include a schedule of

salary ranges and rules for salary administration.  Within basic policies and

rules established by the State Human Resources Commission, local jurisdictions

may establish and administer compensation plans which provide a level of pay

based upon financial ability, fiscal policy, and local prevailing rates.

(b)  A compensation plan shall be maintained which provides

a salary rate structure or structures adequate to appropriately compensate all

positions subject to the State Human Resources Act.  This structure may be

revised in composition, or the total structure moved upward or downward, in

response to labor market trends and to legislative actions affecting salaries;

such action is dependent on the availability of funds.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

25 NCAC 01I .2102            ESTABLISHMENT OF SALARY SCHEDULE

(a)  Local jurisdictions shall establish and administer

salary schedules which meet basic approval requirements of the State Human Resources

Commission as follows:

(1)           The schedule must consist of series of

salary ranges with minimum, maximum, and intermediate rates of pay.

(2)           There must be a vertical increase between

consecutive salary ranges within the schedule.

(b)  The State Human Resources Director shall make available

salary schedule models which meet these basic criteria and make available staff

resources to advise and consult with local jurisdictions in the development of

acceptable schedules. Boards of county commissioners or municipal governing

boards may adopt and use a model or, as an alternative, may submit a modified

schedule for review and approval by the State Human Resources Commission.

Schedules may be modified in order to provide a structure deemed more suitable

to local fiscal policy and financial ability so long as the other basic

requirements are met.  Modified schedules shall be accompanied by data and

statements of explanation supporting the need for the modification because of

local financial ability and fiscal policy.

(c)  Proposed local salary schedules shall be designated or

submitted to the State Human Resources Director by the beginning date of each

fiscal year, and at the time of significant change during interim periods.  In

submitting, the following requirements shall prevail:

(1)           For the programs of a single county, the

board of county commissioners shall establish and submit a proposed salary

schedule.

(2)           When a municipality is performing a subject

activity, the governing board of the municipality shall establish and submit

the proposed schedule.

(3)           When two or more counties are combined into

a district or area for the performance of an activity, the boards of county

commissioners of the counties must jointly establish and submit a proposed

schedule; the district or area schedule is established independently of the

salary schedule for any of the individual counties.

(d)  An approved salary schedule must be in effect within a

jurisdiction at all times.  The approved schedule shall be applicable to both

existing classes and to classes which may be established during its effective

period.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

25 NCAC 01I .2103            SALARY RATES

(a)  New Appointments.  The entrance salary

rate for an employee shall be at the minimum of the range or at a salary rate

within the salary range assigned to the class unless an employee is hired in a

trainee appointment. Discretion should be exercised by boards of county

commissioners or their designees on new appointments salaries above the minimum

of the range to avoid creating salary inequities within the jurisdiction.

(b)  Promotion.  When a promotion occurs, the

employee's salary shall be increased, if it is below the new minimum, to at

least the minimum rate of the salary range assigned to the class to which the

employee is promoted.  If an employee's current salary is already above the new

minimum salary rate, his salary may be adjusted upward or left unchanged at the

discretion of local management, provided that the adjusted salary does not

exceed the maximum of the assigned salary range.  If the salary falls between

steps in the salary range, it may be adjusted to the next higher step in the

range.

(c)  Demotion.  When an employee's current

salary falls above the maximum of the range for the lower class, his salary may

remain the same until general schedule adjustments or range revisions bring it

back within the lower range or may the salary be reduced to any step in the

lower salary range, as long as the reduced salary does not fall below the

minimum salary rate of that range.  If the employee's current salary falls

between steps in the lower range, it may be reduced to the next lower step.

(d)  Salary Adjustments; Salary Plan

Revisions.  When the salary rates in the salary plan are changed or a class is

moved to a higher or lower salary grade, the following adjustments shall be

made in incumbents' salary rates:

(1)           When it is an upward

revision and the employee's current salary is less than the minimum salary rate

of the salary range for the classification, the employee's salary shall be

adjusted to at least the minimum of the range.  If the employee's salary is already

at or above the new minimum of the range, management may elect to increase the

salary to another step within the range.  An employee's salary may not,

however, exceed the maximum of the range.

(2)           If there is a downward

revision, management may elect to reduce each employee's salary rate by a

corresponding amount or allow the salary rates to remain the same.

(e)  Trainee Adjustments.  During a trainee

appointment an evaluation of the individual's performance and progress on the

job is to be made at frequent intervals.  As a general guide, salary increases

are provided at specified intervals.  These increases are not automatic, and

are not necessarily limited to the full elapse of specified intervals.  Salary

adjustments may be either advanced or delayed depending upon the progress of

the employee.  In cases where salary adjustments have been advanced, the

trainee's salary will not be adjusted to the minimum of the range for the

regular classification until the employee meets all education and experience requirements

for the appointment.  Adjustments are to be given upon recommendations by the

appointing authority and the supervisor that the employee has earned an

increase.  When the employee with a trainee appointment has successfully

completed the training and experience requirements for the classification, he

must be given a regular appointment to that classification and his salary

increased at least to the minimum of the salary range.

(f)  An employee's salary cannot be raised by

merit increases to exceed the maximum salary rate of the salary range

assignment to his class.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2104            PAY STATUS

An employee is in pay status when working,

when exhausting vacation or sick leave, or when drawing worker's compensation

for a period not to exceed 12 months.  An employee is not in pay status after

his last day of work when separated because of resignation, dismissal, death,

retirement or reduction in force.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2105            OTHER PAY

(a)  For those cities or counties in which all

employees are covered by a plan for a form of pay, in addition to base salary,

for services performed, the coverage may be approved for agencies subject to

these policies.  The local authorities shall submit the plan to the State

Regional Personnel Office through their Department of Human Resources Office or

State Office of Crime Control and Public Safety, and certify that it is

computed on a consistent basis for all employees.

(b)  Where there are two or more local

jurisdictions comprising a single departmental unit, the jurisdictions shall

operate as one unit in establishing any special pay forms; the action shall be

independent of provisions for other employees of either jurisdiction.

 

History Note:        Authority G.S. 126‑4; 126-5; 126-9;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2106            ASSIGNMENT OF CLASSES WITHIN SALARY

SCHEDULE

(a)  Within an approved salary schedule, local jurisdictions

may determine salary range assignments for competitive service classes.  The

following basic requirements shall be adhered to in making salary range

assignments:

(1)           The use of appropriate class relationships

based upon differences in the difficulty and responsibility of the work.  In

this regard, the relative difference between and among classes in a class

series, and between significantly related classes within an occupational

grouping, must be maintained as reflected by the official classification plan. 

Exception requests may occasionally arise as a matter of local fiscal policy. 

Such requests, accompanied by supporting data and staff recommendation, will be

presented to the State Human Resources Commission for approval;

(2)           Each class will retain the same salary

range assignment in its use in all subject programs of the jurisdiction;

(3)           The current salary of each employee, except

under specific circumstances included in the approved rules for salary

administration, must fall between the minimum and maximum steps of the salary

range of the class to which his position is assigned;

(4)           A final factor to be used in making salary

range assignments is consideration of the local financial ability and fiscal

policy.

(b)  It is not the intent of these provisions that the

individual salaries of competent employees be threatened.

(c)  The State Human Resources Director shall provide

information and guidance on questions of class relationships, labor market

influence, fiscal policy considerations, and other matters pertinent to the

determination of equitable and competitive salary range assignment.

(d)  Salary Plan for Employees of the Area Authority.  The

area mental health program authority shall establish a salary plan which shall

set the salaries for employees of the area authority.  The salary plan shall be

in compliance with Chapter 126 of the General Statutes.  In a multi-county area

mental health program, the salary plan shall not exceed the highest paying

salary plan of any member county.  In a single county area, the salary plan

shall not exceed the county's salary plan.  The salary plan limitations set

forth in this Section may be exceeded only if the area authority and board or

boards of county commissioners, as the case may be, jointly agree to exceed

these limitations.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992.

 

25 NCAC 01I .2107            PROCEDURES FOR SUBMISSION AND

APPROVAL

(a)  By the beginning date of each fiscal year and at times

of any change during interim periods, a designated or modified salary schedule,

and a list of salary range assignments to classes will be submitted to the State

Human Resources Director.  The State Human Resources Director shall review the

proposed schedule and salary range assignments, determine that approval

requirements have been met and certify jurisdictions meeting these requirements

to the State Human Resources Commission.  The State Human Resources Commission

will then review and either grant or withhold approval of the proposed plan in

each case.  In cases where opposition to a proposed plan is unresolved locally,

the State Human Resources Commission will hear the opposing arguments in public

session prior to making a final decision.

(b)  An approved salary schedule and salary range assignment

plan must be in effect within a jurisdiction at all times.

 

History Note:        Authority G.S. 126-4; 122C-156(a);

Eff. August 3, 1992.

 

25 NCAC 01I .2108            Compensation of Area Mental Health

Directors

(a)  The salary of an Area Mental Health Director shall be

established by the area board of the Local Management Entity and shall be

within the salary range recommended for Area Mental Health Directors by the

Office of State Human Resources and approved by the State Human Resources

Commission.

(b)  Each director's salary shall be based upon labor market

data from counties within the Local Management Entity. The salary may not be

less than the minimum of the range, nor more than the maximum of the range established

for Area Mental Health Directors under this Rule.

(c)  Area boards may request an adjustment to the salary

range for Area Mental Health Directors from the State Human Resources

Commission in accordance with G.S. 122C-121(a1).

 

History Note:        Authority G.S. 126-4; 122C-156(a);

Eff. May 1, 2008.

 

SECTION .2200 ‑ HOURS OF WORK AND OVERTIME COMPENSATION

 

 

25 NCAC 01I .2201            HOURS OF WORK AND OVERTIME

COMPENSATION

The state policy on "hours of work and

overtime compensation" as outlined in 25 NCAC 1D .1900 is intended to

provide guidance in complying with federal regulations; however, each county,

district, or area jurisdiction is responsible for compliance directly to the

U.S. Department of Labor.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992.

 

 

 

SECTION .2300 ‑ DISCIPLINARY ACTION: SUSPENSION,

DISMISSAL AND APPEALS

 

25 NCAC 01I .2301            JUST CAUSE FOR DISCIPLINARY ACTION

(a)  Any employee, regardless of occupation, position, or

profession may be warned, demoted, suspended or dismissed by the appointing

authority.  Such actions may be taken against employees with career status as

defined in G.S. 126-1.1 only for just cause.  The degree and type of action

taken shall be based upon the judgment of the appointing authority in

accordance with the provisions of this Rule.  When just cause exists the only

disciplinary actions provided for under this Section are:

(1)           Written warning;

(2)           Disciplinary suspension without pay;

(3)           Demotion; and

(4)           Dismissal.

(b)  At any time during the period prior to achieving career

status, including during the probationary period, an employee may be separated

from service for causes related to performance of duties or for personal

conduct detrimental to the agency without right of appeal or hearing.  The

employee must be given notice of dismissal, including reasons.  Such notice may

be, but is not required to be, in writing.

(c)  There are two bases for the discipline or dismissal of

employees under the statutory standard of "just cause" as set out in

G.S. 126‑35.  These two bases are:

(1)           Discipline or dismissal imposed on the

basis of unsatisfactory job performance, including grossly inefficient job

performance.

(2)           Discipline or dismissal imposed on the

basis of unacceptable personal conduct.

(d)  Either unsatisfactory or grossly inefficient job

performance or unacceptable personal conduct, as defined in 25 NCAC 01I

.2302(a); .2303(a); and .2304(b), constitutes just cause for discipline or

dismissal.  The categories are not mutually exclusive, as certain actions by

employees may fall into both categories, depending upon the facts of each

case.  No disciplinary action shall be invalid solely because the

disciplinary action is labeled incorrectly.

(e)  The imposition of any disciplinary action shall comply

with the procedural requirements of this Section.

 

History Note:        Authority G.S. 126-4; 126‑35;

Eff. August 3, 1992;

Amended Eff. June 1, 2008; December 1, 1995; August 2,

1993.

 

25 Ncac 01i .2302            DISMISSAL FOR UNSATISFACTORY

PERFORMANCE OF DUTIES

(a)  Unsatisfactory Job Performance is 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.

(b)  The intent of this Section is to assist and promote

improved employee performance, rather than to punish.  This Rule covers all

types of performance-related inadequacies.  This Section does not require that

successive disciplinary actions all concern the same type of unsatisfactory

performance.  Disciplinary actions related to personal conduct may be included

in the successive system for performance-related dismissal provided that the

employee receives at least the number of disciplinary actions, regardless of

the basis of the disciplinary actions, required for dismissal on the basis of

inadequate performance.  Disciplinary actions administered under this Section

are intended to bring about a permanent improvement in job performance.  Should

the required improvement later deteriorate, or other inadequacies occur, the

supervisor may deal with this new unsatisfactory performance with further

disciplinary action.

(c)  In order to be dismissed for a current incident of

unsatisfactory job performance, an employee must first receive at least two

prior disciplinary actions:  First, 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.

(d)  Prior to the decision to dismiss an employee, the

agency director or designated management representative must conduct a

pre-dismissal conference with the employee in accordance with the procedural

requirements of the Section.

(e)  An employee who is dismissed must receive written

notice of the specific reasons for the dismissal as well as notice of any

applicable appeal rights.

(f)  Failure to give specific written reasons for the

dismissal, failure to give written notice of applicable appeal rights, or

failure to conduct a pre-dismissal conference constitute procedural violations

with remedies as provided for in 25 NCAC 01B .0432.  Time limits for filing a

grievance do not start until the employee receives written notice of any

applicable appeal rights.

 

History Note:        Authority G.S. 126-4; 126-35;

Eff. August 3, 1992;

Amended Eff. April 1, 2001; December 1, 1995.

 

25 ncac 01i .2303            DISMISSAL FOR GROSSLY INEFFICIENT

JOB PERFORMANCE

(a)  Gross Inefficiency (Grossly Inefficient Job

Performance) occurs in instances in which the employee fails to satisfactorily

perform job requirements as specified in the job description, work plan, or as

directed by the management of the work unit or agency and that failure results

in:

(1)           the creation of the potential for death or

serious harm to a client(s), an employee(s), members of the public or to a

person(s) over whom the employee has responsibility; or

(2)           the loss of or damage to agency property or

funds that result in a serious impact on the agency or work unit.

(b)  Dismissal on the basis of grossly inefficient job

performance is administered in the same manner as for unacceptable personal

conduct.  Employees may be dismissed on the basis of a current incident of

grossly inefficient job performance without any prior disciplinary action.

(c)  Prior to dismissal of an employee with permanent status

on the basis of grossly inefficient job performance, there shall be a

pre-dismissal conference between the employee and the agency director or

designated management representative.  This conference shall be held in

accordance with the provisions of 25 NCAC 01I .2308.

(d)  Dismissal for grossly inefficient job performance

requires written notification to the employee.  Such notification must include

specific reasons for the dismissal and notice of the employee's right of

appeal.

(e)  Failure to give specific written reasons for the

dismissal, failure to give written notice of applicable appeal rights, or

failure to conduct a pre-dismissal conference constitute procedural violations

with remedies as provided for in 25 NCAC 01B .0432.  Time limits for filing a

grievance do not start until the employee receives written notice of any

applicable appeal rights.

 

History Note:        Authority G.S. 126-4(7a);

Eff. August 3, 1992;

Amended Eff. April 1, 2001; December 1, 1995.

 

25 ncac 01i .2304            DISMISSAL FOR PERSONAL CONDUCT

(a)  Employees may be dismissed for a current incident of

unacceptable personal conduct.

(b)  Unacceptable personal conduct is:

(1)           conduct for which no reasonable person

should expect to receive prior warning; or

(2)           job related conduct which constitutes

violation of state or federal law; or

(3)           conviction of a felony or an offense

involving moral turpitude that is detrimental to or impacts the employee's

service to the agency; or

(4)           the willful violation of known or written

work rules; or

(5)           conduct unbecoming an employee that is

detrimental to the agency's service; or

(6)           the abuse of client(s), patient(s),

student(s) or a person(s) over whom the employee has charge or to whom the

employee has a responsibility, or of an animal owned or in the custody of the

agency; or

(7)           falsification of an employment application

or other employment documentation; or

(8)           insubordination which is the willful

failure or refusal to carry out a reasonable order from an authorized

supervisor.  Insubordination is considered unacceptable personal conduct for

which any level of discipline, including dismissal, may be imposed without

prior warning; or

(9)           absence from work after all authorized

leave credits and benefits have been exhausted.

(b)  Prior to dismissal of an employee with permanent status

on the basis of unacceptable personal conduct, there shall be a pre-dismissal

conference between the employee and the agency director or designated

management representative.  This conference shall be held in accordance with

the provisions of 25 NCAC 01I .2308.

(d)  Dismissals for unacceptable job performance require

written notification to the employee.  Such notification must include specific

reasons for the dismissal and notice of the employee's right of appeal.

(e)  Failure to give specific written reasons for the

dismissal, failure to give written notice of applicable appeal rights, or

failure to conduct a pre-dismissal conference constitute procedural violations

with remedies as provided for in 25 NCAC 01B .0432.  Time limits for filing a

grievance do not start until the employee receives written notice of any

applicable appeal rights.

 

History Note:        Authority G.S. 126-4; 126-34;

Eff. August 3, 1992;

Amended Eff. April 1, 2001; December 1, 1995.

 

25 NCAC 01I .2305            WRITTEN WARNING

(a)  The supervisor shall monitor and promote

the satisfactory performance of work assignments and acceptable standards of

personal conduct.  All types of performance‑related job inadequacies may

constitute unsatisfactory job performance under this Section.  Unacceptable

personal conduct may be work‑related or non‑work‑related

conduct and may be intentional or unintentional.  When the supervisor

determines that disciplinary action is appropriate for unsatisfactory job performance,

a written warning is the first type of disciplinary action that an employee

must receive.  The supervisor may elect to issue a written warning for grossly

inefficient job performance or unacceptable personal conduct.  The written

warning must:

(1)           Inform the employee that

this is a written warning, and not some other non‑disciplinary process

such as counseling;

(2)           Inform the employee of the

specific issues that are the basis for the warning;

(3)           Tell the employee what

specific improvements, if applicable, must be made to address these specific

issues;

(4)           Tell the employee the time

frame allowed for making the required improvements/corrections.  Absent a

specified time frame, 60 days is the time frame allowed for correcting

unsatisfactory job performance.  Immediate correction is required for grossly

inefficient job performance or unacceptable personal conduct;

(5)           Tell the employee the

consequences of failing to make the required improvements/corrections.

(b)  A written warning must be issued in accordance

with the procedural requirements of this Section, including any applicable

appeal rights.

 

History Note:        Authority G.S. 126‑4;

Eff. August 3, 1992;

Amended Eff. December 1, 1995.

 

 

 

25 ncac 01i .2306            DISCIPLINARY SUSPENSION WITHOUT PAY

(a)  An employee may be suspended without pay for

disciplinary purposes for unsatisfactory job performance after the receipt of

at least one prior disciplinary action or for causes relating to any form of

unacceptable personal conduct or grossly inefficient job performance.  A

disciplinary suspension without pay for an employee who is subject to the

overtime compensation provisions of the Fair Labor Standards Act (FLSA) must be

for at least one full day, but not more than two full work weeks.  Prior to

placing any employee on disciplinary suspension without pay the agency director

or designated management representative shall conduct a pre-suspension

conference with the employee in accordance with the procedural requirements of

this Section.  An employee who has been suspended without pay must be furnished

a statement in writing setting forth the specific acts or omissions that are

the reasons for the suspension and the employee's appeal rights.

(b)  An agency may impose the same periods of disciplinary

suspension without pay for all employees as long as the period is the same as

for employees exempt from the overtime provisions of the FLSA as set forth in

this Section.

 

History Note:        Authority G.S. 126-4(6); 126-35;

Eff. August 3, 1992;

Amended Eff. April 1, 2001; December 1, 1995.

 

25 ncac 01i .2307            DEMOTION

(a)  Any employee may be demoted as a disciplinary measure. 

Demotion may be made on the basis of either unsatisfactory or grossly

inefficient job performance or unacceptable personal conduct.

(b)  Unsatisfactory Job Performance.  An employee may be

demoted for unsatisfactory job performance after the employee has received at

least one prior disciplinary action.

(c)  Grossly Inefficient Job Performance.  An employee may

be demoted for grossly inefficient job performance without any prior

disciplinary action.

(d)  Personal Conduct.  An employee may be demoted for

unacceptable personal conduct without any prior disciplinary action.

(e)  An employee who is demoted must receive written notice

of the specific reasons for the demotion, as well as notice of any applicable

appeal rights.

(f)  Disciplinary demotions may be accomplished in three

ways:

(1)           The employee may be demoted to a lower pay

grade with a reduction in salary rate as long as the new salary rate does not

exceed the maximum of the salary range for the new lower pay grade;

(2)           The employee may be demoted to a lower pay

grade without a reduction in salary rate as long as the new salary rate does

not exceed the maximum of the salary range for the new lower pay grade; or

(3)           The employee may be demoted while retaining

the same pay grade with a reduction in salary rate.  In no event shall an

employee's salary rate be reduced to less than the minimum salary rate for the

applicable pay grade or the special entry rate, if in effect.

(g)  Prior to the decision to demote an employee for

disciplinary reasons, the agency director or designated management

representative must conduct a pre-demotion conference with the employee in

accordance with the procedural requirements of this Section.

 

History Note:        Authority G.S. 126-4;

Eff. August 3, 1992;

Amended Eff. April 1, 2001; December 1, 1995.

 

25 ncac 01i .2308            PROCEDURAL REQUIREMENTS

The following procedural requirements must be followed to

issue disciplinary action under this Section:

(1)           WRITTEN WARNING-to issue a written warning to an

employee a supervisor must issue the employee a written warning, detailing the

matters referenced in 25 NCAC 01I .2305, and including any applicable appeal

rights.

(2)           DISCIPLINARY SUSPENSION WITHOUT PAY-to place an

employee on disciplinary suspension without pay, the agency director or

designated management representative must comply with the following procedural

requirements:

(a)           In matters of unsatisfactory job

performance, insure that the employee has received at least one prior

disciplinary action.  In matters of grossly inefficient job performance or

unacceptable personal conduct no prior disciplinary actions are required so an

employee may be suspended without pay for a current incident of grossly

inefficient job performance or unacceptable personal conduct;

(b)           Schedule and conduct a pre-suspension conference. 

Advance oral or written notice of the disciplinary conference must be given to

the employee of the time, location, and the issue for which discipline has been

recommended.  The amount of advance notice shall be as much as is practical

under the circumstances;

(c)           Furnish the employee a statement in writing

setting forth the specific acts or omissions that are the reasons for the

suspension;

(d)           Advise the employee of any applicable appeal

rights in the document affecting the suspension.

(3)           DEMOTION – to demote an employee the agency

director or designated management representative must comply with the following

procedural requirements:

(a)           In matters of unsatisfactory job

performance, insure that the employee has received at least one prior disciplinary

action;

(b)           In matters of grossly inefficient job

performance or unacceptable personal conduct, there is no requirement for

previous disciplinary action, so an employee may be demoted for a current

incident of grossly inefficient job performance or unacceptable personal

conduct without any prior disciplinary action;

(c)           Give an advance oral or written notice of

the pre-disciplinary conference to the employee of the time, location, and the

issue for which discipline has been recommended.  The amount of advance notice

shall be as much as is practical under the circumstances;

(d)           Give an employee who is demoted written

notice of the specific acts or omissions that are the reasons for the demotion;

(e)           Advise the employee of how and to what

extent the demotion will affect the employee’s salary rate or pay grade; and

(f)            Advise the employee of any applicable

appeal rights in the document affecting the demotion.

(4)           DISMISSAL-Before an employee may be dismissed, an

agency must comply with the following procedural requirements:

(a)           The supervisor recommending dismissal shall

discuss the recommendation with the agency director or designated management

representative who shall conduct a pre-dismissal conference with the employee. 

The person conducting the pre-dismissal conference must have the authority to

decide what, if any, disciplinary action shall be imposed on the employee.

(b)           The supervisor or designated management

representative shall schedule a pre-dismissal conference with the employee.

(c)           Give an advance oral or written notice of

the pre-disciplinary conference to the employee of the time, location, and the

issue for which discipline has been recommended.  The amount of advance notice

shall be as much as is practical under the circumstances.

(d)           The agency director or designated management

representative shall conduct a pre-dismissal conference with the employee,

limiting attendance to the employee and the person conducting the conference; a

second management representative may be present at management’s discretion. 

The purpose of the pre-dismissal conference is to review the recommendation for

dismissal with the affected employee and to listen to and to consider any

information put forth by the employee, in order to insure that a dismissal

decision is sound and not based on misinformation or mistake.  Security

personnel may be present when, in the discretion of the person conducting the

conference, a need for security exists.  No attorney representing either side

may attend the conference.

(e)           In the conference, management shall give the

employee oral or written notice of the recommendation for dismissal, including

specific reasons for the proposed dismissal and a summary of the information

supporting that recommendation.  The employee shall have an opportunity to

respond to the proposed dismissal action and to offer information or arguments

in support of the employee's position.  Every effort shall be made by

management to assure that the employee has a full opportunity during the

conference to set forth any available information in opposition to the

recommendation to dismiss prior to the end of the conference.  This opportunity

does not include the option to present witnesses.

(f)            Following the conference, management shall

review and consider the response of the employee and reach a decision on the

proposed recommendation.  If management’s decision is to dismiss the employee,

a written letter of dismissal containing the specific reasons for dismissal,

the effective date of the dismissal and the employee's appeal rights shall be

issued to the employee in person or by certified mail, return receipt

requested, to the last known address of the employee.  To minimize the risk of

dismissal upon erroneous information, and to allow time following the

conference for management to review all necessary information, the decision to

dismiss shall not be communicated to the employee in accordance with the

Sub-item, prior to the beginning of the next business day following the

conclusion of the pre-dismissal conference or after the end of the second

business day following the completion of the pre-dismissal conference.

(g)           The effective date of a dismissal for

unsatisfactory job performance shall be determined by management.  An employee

with permanent status who is dismissed for unsatisfactory job performance may,

at management’s discretion, be given up to two weeks working notice of his

dismissal.  Instead of providing up to two weeks working notice and at the

discretion of management an employee may be given up to two weeks pay in lieu

of working notice.  Such working notice or pay in lieu of notice is applicable

only to dismissal for unsatisfactory job performance.  The effective date of

the dismissal shall not be earlier than the letter of dismissal nor more than

14 calendar days after the notice of dismissal.

 

History Note:        Authority G.S. 126-35; 126-36; 126-38;

150B, Article 3; 150B-23;

Eff. August 3, 1992;

Amended Eff. April 1, 2001; December 1, 1995.

 

25 NCAC 01I .2309            SPECIAL PROVISIONS

(a)  GRANDFATHER PROVISIONS ‑ The following

Grandfather provisions establish the force and effect of disciplinary actions

in existence on December 1, 1995.

(1)           Oral warnings ‑ any oral warning

existing on December 1, 1995 is deemed void and has no further force or effect

upon the disciplinary status of any employee.

(2)           All other disciplinary actions existing on

December 1, 1995 shall remain in full force and effect as if the warnings or

other disciplinary actions had been imposed under this Section.  No written

warning or other disciplinary action imposed prior to December 1, 1995 shall be

deemed inactive by operation of the provisions of this Section until more than

18 months after December 1, 1995 or until the disciplinary action is deemed

inactive in accordance with 25 NCAC 1I .2309(b), whichever occurs first.

(3)           Extension of Disciplinary Actions ‑

any written warning or disciplinary action imposed prior to December 1, 1995

may be extended in accordance with the provision of this Section as if the

warning or disciplinary action had been imposed after December 1, 1995.  No

unresolved written warning or disciplinary action issued prior to December 1,

1995 shall become inactive if within 18 months of December 1, 1995, another

disciplinary action or warning is imposed on the employee.  Notice of the

extension of the active status of a disciplinary action may be given at any

time within 18 months of the effective date of the disciplinary action.

(4)           Resolution of disciplinary actions under

prior agency ‑ any warning or disciplinary action existing on December 1,

1995 shall be deemed inactive if it would have been resolved under the agency

procedure existing prior to December 1, 1995.

(b)  INACTIVE DISCIPLINARY ACTION ‑ Any disciplinary

action issued after December 1, 1995, is deemed inactive for the purpose of

this Section in the event that:

(1)           the manager or supervisor notes in the

employee's personnel file that the reason for the disciplinary action has been

resolved or corrected; or

(2)           18 months have passed since the warning or

disciplinary action, the employee does not have another active warning or

disciplinary action which occurred within the last 18 months and the agency has

not, prior to the expiration of the 18 month period, issued to the employee

written notice, including reasons, of the extension of the period.

(c)  PLACEMENT ON INVESTIGATION ‑ Investigation status

is used to temporarily remove an employee from work status.  Placement on

investigation with pay does not constitute a disciplinary action as defined in

this Section or in G.S. 126‑35.  Management must notify an employee in

writing of the reasons for investigatory placement not later than the second

scheduled work day after the beginning of the placement.  An investigatory

placement with pay may last no longer than 30 calendar days without written

notice of extension by the agency director.  When an extension beyond the 30‑day

period is required, the agency must advise the employee in writing of the

extension, the length of the extension, and the specific reasons for the extension. 

If no action has been taken by an agency by the end of the 30 day period and no

further extension has been imposed, the agency must either take appropriate

disciplinary action on the basis of the findings upon investigation or return

the employee to active work status.  Under no circumstances is it permissible

to use placement on investigation status for the purpose of delaying an

administrative decision on an employee's work status pending the resolution of

a civil or criminal court matter involving the employee.  It is permissible to

place an employee in investigation status with pay only under the following

circumstances:

(1)           To investigate allegations of performance

or conduct deficiencies that would constitute just cause for disciplinary action;

(2)           To provide time within which to schedule

and conduct a pre-disciplinary conference; or

(3)           To avoid disruption of the work place or to

protect the safety of persons or property.

(d)  CREDENTIALS ‑ By statute, and rule, some duties

assigned to positions may be performed only by persons who are duly licensed,

registered or certified as required by the relevant provision.  All such

requirements and restrictions are specified in the statement of essential

qualifications or recruitment standards for classifications established by the

State Human Resources Commission or in the position description for the

position.

(1)           Employees in such classifications are

responsible for obtaining and maintaining current, valid credentials as

required by law.  Failure to obtain or maintain the legally required

credentials constitutes a basis for immediate dismissal without prior warning,

consistent with dismissal for unacceptable personal conduct or grossly

inefficient job performance.  An employee who is dismissed for failure to

obtain or maintain credentials shall be dismissed under the procedural

requirements applicable to dismissals for unacceptable personal conduct or

grossly inefficient job performance.

(2)           Falsification of employment credentials or

other documentation in connection with securing employment constitutes just

cause for disciplinary action.  When credential or work history falsification

is discovered after employment with an agency, disciplinary action shall be

administered as follows:

(A)          If an employee was determined to be qualified and

was selected for a position based upon falsified work experience, education,

registration, licensure, or certification information that was a requirement

for the position, the employee must be dismissed in accordance with 25 NCAC 1I

.2304.

(B)          In all other cases of post-hiring discovery of false

or misleading information, disciplinary action shall be taken, but the severity

of the disciplinary action shall be at the discretion of the agency head.

(C)          When credential or work history falsification is

discovered before employment with an agency, the applicant shall be

disqualified from consideration for the position in question.

(e)  OTHER SPECIAL PROVISIONS ‑

(1)           Every disciplinary action shall include

notification to the employee in writing of any applicable appeal rights.

(2)           Warnings, extension of disciplinary actions

and periods of placement on investigation, and placement on investigation with

pay are not grieveable unless an agency specifically provides for such a grievance

in its agency grievance procedure.  Allegations of a violation of G.S. 153A-98,

130A-42, 122C-158 shall be processed in compliance with procedures established

in accordance with these statutory requirements.

(3)           An agency shall furnish to an employee, as

an attachment to the written documentation of a grievable disciplinary action,

a copy of the agency grievance procedure.

 

History Note:        Authority G.S. 126-4; 126-35;

Eff. December 1, 1995.

 

25 NCAC 01I .2310            APPEALS

(a)  An employee with permanent status who has been demoted,

suspended or dismissed shall have 15 calendar days from the date of his receipt

of written notice of such action to file an appeal with his agency or county

grievance procedure, whichever is applicable.  Grievances which do not allege

discrimination must follow the agency or county grievance procedure.  An appeal

of a final agency decision must be filed in accordance with G.S. 150B-23 within

30 calendar days of receipt of the final agency decision.  Grievances which

allege unlawful workplace harassment must be submitted in writing to agency

management, within 30 calendar days of the alleged harassing action, and the

agency must be given 60 calendar days in which to take remedial action, if any,

unless the agency has waived the 60-day period, and the employee has

acknowledged such waiver.  An appeal to the State Human Resources Commission of

unlawful workplace harassment must be filed with the Office of Administrative

Hearings in accordance with G.S. 150B-23 and within 30 calendar days of written

notification of the remedial action, if any, taken by the agency.

(b)  Grievances which allege discrimination not including

unlawful workplace harassment may at the election of the employee, proceed

through the agency or county procedure or proceed directly to the State Human

Resources Commission (SHRC) for a hearing by the Office of Administrative

Hearings (OAH) and a decision by the SHRC. A direct appeal to the SHRC (such

appeal involving a contested case hearing by the OAH and a decision by that

agency to the SPC) alleging discrimination not including unlawful workplace

harassment must be filed in accordance with G.S. 150B-23 and must be filed

within 30 calendar days of receipt of notice of the alleged discriminatory act.

(c)  Grievances filed on an untimely basis (see G.S. 126-35,

G.S. 126-36, and G.S. 126-38) must be dismissed. Allegations of discrimination,

if raised more than 30 calendar days after the party alleging discrimination

became aware or should have become aware of the alleged discrimination, must be

dismissed.  Grievances alleging unlawful workplace harassment raised more than

30 calendar days after written notification of remedial action, if any, taken

by the agency must be dismissed.

 

History Note:        Authority G.S. 126-35; 126-36; 126-38;

150B-23; 150B-36;

Eff. December 1, 1995;

Amended Eff. July 18, 2002.

 

SECTION .2400 ‑ BASIC REQUIREMENTS FOR A

"SUBSTANTIALLY EQUIVALENT" PERSONNEL SYSTEM

 

 

25 NCAC 01I .2401            SYSTEM PORTION I: RECRUITMENT,

SELECTION, AND ADVANCEMENT

General Requirement.  Recruiting, selecting

and advancing employees will be on the basis of their relative ability,

knowledge, and skills, including open consideration of qualified applicants for

initial appointment.

(1)           Recruitment:

(a)           Requirement.  There must be a

planned and organized recruiting program, carried out in a manner that assures

open competition.

(b)           Requirement.  Special

emphasis will be placed on efforts to attract minorities, women, the disabled,

or other groups that are substantially underrepresented in the jurisdiction

work force to help assure they will be among the candidates from whom

appointments are made.

(2)           Selection:

(a)           Requirement.  The selection

of applicants for vacant positions will be through open competition.

(b)           Requirement.  Selection

procedures will be job related.

(c)           Requirement.  Job related

minimum requirements for entrance to a class will be established wherever

practical, and will be met by all candidates examined, appointed or promoted.

(d)           Requirement.  Prior to

receiving a permanent appointment, each employee will satisfactorily complete a

reasonable, time limited probationary period.

(3)           Career Advancement Requirement. 

Policies and program affecting and effecting promotions will consider all

eligible employees within the jurisdiction and adequately assure that all

persons promoted are qualified.

 

History Note:        Authority G.S. 126‑11;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2402            SYSTEM PORTION II:

CLASSIFICATION/COMPENSATION

General Requirement.  A current, equitable,

and adequate position classification and compensation plan will be provided.

(1)           Position Classification

Requirement.  Job Evaluation (syn. classification) plans will be based upon a

soundly applied, professionally accepted job evaluation methodology which

establishes the relative strength of related positions through consideration of

the difficulty, responsibility, and other requirements of the work.  System

components and all relationships determined along with accompanying rationale

will be fully documented.

(2)           Compensation:

(a)           Requirement.  The

compensation plan will, within labor market constraints, have as its principal

basis the class relationships (syn. skill level relationships, job

relationships, work level relationship, etc.) discerned by the classification

process.

(b)           Requirement.  Within the

limits of local financial ability and fiscal policy, the level of compensation

assigned to each class of the plan will, in conjunction with Subparagraph

(2)(a) of this Rule, adequately consider the competitive labor market within

the geographical area of recruitment.

(c)           Requirement.  Logical and

equitable practices will be established which guide salary administration in

positions and employees actions within the jurisdiction.

 

History Note:        Authority G.S. 126‑11;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2403            SYSTEM PORTION III: TRAINING

General Requirement.  Employees will be

trained as needed to assure high quality performance.

 

History Note:        Authority G.S. 126‑11;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2404            SYSTEM PORTION IV: EMPLOYEE

RELATIONS

(a)  In order to be declared substantially equivalent in the

area of employee relations, a county shall adopt a policy that includes the

following policy provisions:

(1)           A provision that employees shall not be

disciplined, including dismissed, except for just cause.

(2)           A provision that allows for action,

including dismissal, on the basis of unsatisfactory job performance or unacceptable

personal conduct.

(3)           A provision that the policy shall be

available to all employees.

(4)           A provision that the county shall train all

supervisors and managers in the appropriate use of the employee relations

policy.

(b)  In order to be declared substantially equivalent in the

area of employee relations, a county shall adopt a grievance procedure that

includes all of the following:

(1)           A provision that extends coverage to at

least all county employees subject to North Carolina General Statutes Chapter

126.

(2)           A provision that all employees who have

completed a probationary period shall have access to the grievance procedure on

at least these issues:

(A)          Just cause to impose disciplinary demotion in pay or

position, disciplinary suspension without pay or dismissal;

(B)          Allegations of discrimination based on race, sex

(including allegations of sexual harassment), religion, age, national origin,

handicapping condition, creed or color in hiring, promotion, any disciplinary

action, compensation, transfer or training.

(3)           A provision for a hearing before an

impartial hearing officer, or a hearing panel appointed by the County Manager and the Human Resources Director.  No person who reports directly to the County Manager or who works in the Human Resources area may be a hearing officer or may serve

on the hearing panel.

(4)           A provision for a public hearing with the

ability of each party to be represented by attorney. The hearing officer or

hearing panel shall have the authority to compel attendance at such hearing.

The hearing shall be recorded so that a record may be prepared and forwarded to

Superior Court.

(5)           A provision that the hearing officer or

hearing panel shall make a recommendation to the local appointing authority. 

The local appointing authority shall make a final, binding decision in the

grievance.

(6)           A provision that the final decision shall

state in writing that if the employee/grievant disagrees with the decision of

the local appointing authority, appeal from that decision may be made to the

Superior Court of the county.

(7)           Specific time limits on management

responses and decisions, and a provision that if management fails to comply

with the time limits of the procedure, that the employee may unilaterally

choose to advance to the next step in the procedure.

(c)  All provisions of this Section shall be complied with

in order for substantial equivalent status to be granted by the Commission.

(d)  The Office of State Human Resources shall provide

technical assistance and advice to any county wishing to apply for substantial

equivalent status in employee relations.

(e)  Any county that was approved for substantial equivalent

status in the area of employee relations prior October 1, 2006 shall re-apply

for approval before October 1, 2007.  Failure to apply within that period shall

automatically terminate that county's substantial equivalent status in employee

relations.  Any county that was approved for substantial equivalent status in

the area of employee relations prior to October 1, 2006, shall remain

substantially equivalent until October 1, 2007, or until approved for

substantial equivalent status based on this Section.

(f)  The State Human Resources Commission may waive any

condition set out in this section and approve a county's request for

substantial equivalent status based on a recommendation from the Office of State

Human Resources. Such recommendation shall specify that waiver would result in

a more effective system of employee relations.  Factors to be considered by the

Commission in granting a waiver include the following:  compliance with the

condition would increase the time involved for employees in the overall

grievance procedure; the presence of sufficient limits on management's ability

to increase the time involved in the grievance procedure; and the assistance

from the county available to employees to proceed through the grievance

procedure.

 

History Note:        Authority G.S. 126-11;

Eff. August 3, 1992;

Amended Eff. November 1, 2006.

 

25 NCAC 01I .2405            SYSTEM PORTION V: EQUAL EMPLOYMENT

OPPTY/AFFIRMATIVE ACTION

General Requirement.  Fair treatment of

applicants and employees will be assured in all aspects of personnel

administration without regard to race, color, religion, sex, national origin,

political affiliation, age, or handicap and with proper regard for their

privacy and constitutional rights as citizens.  This "fair treatment"

principle includes compliance with the federal equal employment opportunity and

nondiscrimination laws.

(1)           Equal Employment Opportunity:

(a)           Requirement.  Equal

employment opportunity will be assured for all persons.

(b)           Requirement.  Prohibitions

against discrimination consistent with the Civil Rights Act of 1964 as amended,

the Equal Pay Act of 1963, the Age Discrimination in Employment Act of 1967 as

amended, the Rehabilitation Act of 1973 as amended, and other relevant statutes

will be established and enforced.

(c)           Requirement.  Retaliation

against those who protest alleged discrimination shall be prohibited.

(2)           Affirmative Action:

(a)           Requirement.  The governing

body will adopt a written EEO/AA policy which clearly outlines the governing

body's intent, actions and commitment in regard to EEO and AA.  This policy

statement shall ensure greater utilization of all persons by identifying

previously underutilized groups in the work force, such as women, minorities

and the disabled, and making special efforts toward their recruitment,

selection, appointment, promotion, development and upward mobility.

(b)           Requirement.  The

jurisdiction shall develop and implement a continuing program of affirmative

action in order to assure that all personnel policies and practices relevant to

total employment in the jurisdiction will guarantee equal opportunity for all

persons.  Also, sufficient resources should be devoted to adequately implement

an affirmative action program.  The program should include:

(i)            Identification and

elimination of artificial barriers to equal employment opportunity.

(ii)           Work force analysis to

determine whether percentages of minorities and women employed in various job

categories are substantially similar to percentages of those groups available

in the relevant labor force.  Where underrepresentation occurs, employment

procedures will be analyzed to determine the cause.

(iii)          Development of a systematic

action plan, with goals and timetables, formulated to correct any substantial

disparities or other problems identified in the work force and employment

analysis.

(iv)          Periodic evaluation of results

to assess the effectiveness of the affirmative action programs in achieving

affirmative action goals on a timely basis.  The affirmative action plan should

be updated at least every two years.

(c)           Requirement.  Management and

supervisory personnel shall be evaluated for progress toward affirmative action

goals.

(3)           Workforce Relations Requirement. 

Personnel administration within the jurisdiction will conscientiously recognize

the dignity and value of the individual employee and promote means of communications,

participation and understanding among all employees.

 

History Note:        Authority G.S. 126‑11;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2406            SYSTEM PORTION VI: POLITICAL

ACTIVITY

General Requirement.  Employees will be

protected against coercion for partisan political purposes, and will be

prohibited from using their official authority for the purpose of interfering

with or affecting the result of an election or a nomination for office.

 

History Note:        Authority G.S. 126‑11;

Eff. August 3, 1992.

 

 

 

25 NCAC 01I .2407            CONDITION OF PRIVILEGE

A substantially equivalent personnel system exemption,

approved by the State Human Resources Commission under NCGS 126-11, is a

condition of privilege; a local government jurisdiction may operate its own

system of personnel administration for all employees of the jurisdiction,

including those subject to the State Human Resources Act. This privilege shall

be continued by the State Human Resources Commission so long as the local

system remains substantially equivalent to the Basic Requirements for a

Substantially Equivalent Personnel System.  The Office of State Human Resources,

in its staff capacity to the State Human Resources Commission, shall act on the

Commission's behalf in evaluating the ongoing equivalency status of exempted

systems.

 

History Note:        Authority G.S. 126-11;

Eff. October 10, 1992.

 

25 NCAC 01I .2408            ONGOING EXPECTATIONS

In order that the Office of State Human Resources shall have

access to the information and materials necessary to an informed judgment of

whether an exempted, local personnel system remains substantially equivalent,

local jurisdictions desiring to maintain exempted systems shall comply with the

following requirements:

(1)           Recertification.  Recertification of the commitment

by a Board of County Commissioners of authority to maintain a system or portion

of a system of personnel administration in accordance with the Basic

Requirements for a Substantially Equivalent Personnel System may be necessary,

at the discretion of the State Human Resources Commission, in the following

instances:

(a)           Upon significant change in the membership of

the Board of Commissioners or Area Authority.

(b)           Upon passage of significant new legislation

or policy which will apply to the local system or system portion.

(c)           Upon major reorganization, restructuring, or

downsizing of the personnel system of the county or Area Authority.

(2)           Staffing.

(a)           The Board of County Commissioners or Area

Authority shall provide for the ongoing presence of a qualified staff for all

exempted portions of the local personnel system.

(b)           The staffing complement assigned to the

personnel system by the Board of County Commissioners or Area Authority shall

at all times remain adequate to assure that the day-to-day operational demands

of the personnel management system are met in an efficient and expedient

manner, and to assure that administrative and technical requirements for

maintaining the personnel system in professionally sound order are well served.

(c)           Each jurisdiction which has been granted a

substantially equivalent personnel system exemption shall annually, or upon

major interim change, file with the Office of State Human Resources an

organizational chart which accurately depicts the complement and organizational

structure of the staff currently assigned to the operation of the personnel

function.

(3)           Filling of System Documentation.  Each jurisdiction

which has been granted a substantially equivalent personnel system exemption by

the State Human Resources Commission shall annually, or upon substantial

interim change, file with the Office of State Human Resources:

(a)           All personnel policies currently pertaining

to exempt portions of the local system, which have been adopted by the Board of

County Commissioners, County Manager, Area Authority, or Area Director.

(b)           Documentation which in material and

substance fully illustrates the design, method, and process currently being

employed in the administration of exempted portions of the local personnel

system.  If there has been no substantial change in personnel policies or

technical method within an annual period, the County Manager or Personnel

Director shall so certify in a letter to the Local Government Coordinator,

Substantially Equivalent Systems, Office of State Human Resources.

(c)           Jurisdictions with exempted systems shall

cooperatively respond to related requests by the Office of State Human

Resources for additional information which is deemed essential to a complete

and accurate understanding of the design and process of a local system.

(4)           Records and Reports.  Personnel records shall be

created and maintained as necessary to serve the operational requirements of

exempted portions of the local personnel system, and to maintain an auditable

history of position and employee actions processed.

 

History Note:        Authority G.S. 126-11;

Eff. October 10, 1992.

 

25 NCAC 01I .2409            OSP ASSISTANCE

The Office of State Human Resources is available to provide

counsel and technical assistance on matters of substantial equivalency at any

time.  Such assistance shall be provided within the limits of available staff

and administrative resources.  Consultation and informal, cooperative interchange

is particularly encouraged prior to major revisions in policy or technical

process.

 

History Note:        Authority G.S. 126-11;

Eff. October 10, 1992.

 

25 NCAC 01I .2410            SYSTEM ADVANCEMENTS

Changes or additions to an exempted personnel

system portion shall be substantially equivalent in regard to new personnel

legislation or making rules at the state or federal level.

 

History Note:        Authority G.S. 126‑11;

Eff. October 10, 1992.