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7. Material falsification of a State application or other employment documentation;5
8. Insubordination, which means the willful failure or refusal to carry out a reasonable
order from an authorized supervisor; and
9. Absence from work after all authorized leave credits and benefits have been
exhausted. (See alternatively the Separation Policy for information on Separation
due to Unavailability, which may apply to situations in which leave credits and
benefits have been exhausted.)
Examples of unacceptable personal conduct may include, but are not limited to:
• Use of professional State credentials for personal gain (which may be an
example of unacceptable personal conduct type (1) and/or (5) above);
• Serious disruption in the workplace (which may be an example of unacceptable
personal conduct type (1), (4) and/or (5) above);
• Subjecting an employee, client, contractor, or customer to intentionally
discriminatory treatment or harassment. (which may be an example of
unacceptable personal conduct types (1), (2), (4) and/or (5) above); and
• Falsification of work-related documentation, such as a timesheet (which may be an
example of unacceptable personal conduct type (1), (4), and/or (5) above.
Under Wetherington v. NC Department of Public Safety, 270 N.C. App. 161 (N.C. Ct. App.
Feb. 18, 2020) a manager or supervisor should consider the following factors when deciding
about the appropriateness of a disciplinary action for unacceptable personal conduct:
1. The severity of the violations.
2. The subject matter involved.
3. The harm resulting from the violations.
4. Prior work history, including disciplinary and performance history; and
5. The discipline imposed in other cases involving similar violations.
5Staff interpreting this provision should consider N.C.G.S. § 126-30 (see also 25 NCAC .01J 0616)
which provides any employee who knowingly and willfully:
• discloses false or misleading information, or
• conceals dishonorable military service; or
• conceals prior employment history or other requested information, either of which are significantly
related to job responsibilities
on an application for State employment may be subjected to disciplinary action up to and including
immediate dismissal from employment, but the severity of the disciplinary action shall be at the
discretion of the agency head. Dismissal shall be mandatory where the applicant discloses false or
misleading information in order to meet position qualifications.
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§ 5. Types of Disciplinary Action
When just cause exists, any career State employee, regardless of occupation,
position or profession may be warned, demoted, suspended or dismissed by the
appointment authority. The degree and type of action taken shall be based upon the sound
and considered judgement of the employing agency in accordance with this policy and after
consultation with the Human Resources Office. Agency legal counsel should be consulted
as necessary.
§ 5.1. Written Warning
The supervisor shall monitor and promote the satisfactory performance of work
assignments and ensure that employees do not engage in unacceptable personal conduct.
§ 5.1(a) Unsatisfactory Job Performance
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 shall receive. However, prior to the written warning, the manager/supervisor
should provide feedback, as described in the Performance Management Policy, to the
employee regarding the need for the employee to improve their performance. If
performance does not improve following the feedback provided by the manager/supervisor
(coaching), a Documented Counseling Session (DCS) shall be conducted prior to beginning
disciplinary actions (including a PIP if it is issued as a disciplinary action, as described
below) for most performance issues. Any disciplinary action issued for unsatisfactory job
performance without a prior DCS must first be approved by the agency HR Director or
designee. If performance does not improve after the first written warning, a supervisor may
give additional written warnings or a higher level of disciplinary action.
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§ 5.1(b) Performance Improvement Plan
A Performance Improvement Plan (PIP) is a disciplinary action only if it is in writing
and states it is a disciplinary action.6 In order to be considered a disciplinary action, the PIP
must also include all other information listed in 25 NCAC 01O .0210. Agencies may issue
PIPs or other performance documentation that is not a written warning.
§ 5.1(c) Unacceptable Personal Conduct or Grossly Inefficient Job Performance
The supervisor may elect to issue a written warning for grossly inefficient job
performance or unacceptable personal conduct. However, this policy does not require a
written warning before management administers other disciplinary action in these types of
cases.
§ 5.1(d) Written warnings shall:
1. Inform the employee in writing that it 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, shall be made to
address these specific issues;
4. Tell the employee the time frame allowed for making the required improvements or
corrections. Absent a specified time frame, 60 days is the time frame allowed for
correcting unsatisfactory job performance7 and immediate correction is required for
grossly inefficient job performance or unacceptable personal conduct; and
5. Tell the employee the consequences of failing to make the required improvements or
corrections.
§ 5.2. Disciplinary Suspension without Pay
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 without any prior disciplinary action. Prior to placing an employee on
disciplinary suspension without pay, a management representative shall conduct a pre-
6 25 NCAC 01O .0210
7 Unsatisfactory job performance involving absenteeism, tardiness, or other abuses of work time may
require immediate improvement.
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disciplinary conference with the employee in accordance with the procedural requirements
of this policy.
§ 5.2(a) Length of Time for Disciplinary Suspension
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 work day, but not more than two work weeks (ten work days). The length of a disciplinary
suspension without pay for an employee who is exempt from the overtime compensation
provisions of the FLSA must be for at least one full work week (five work days), but not more
than two full work weeks (ten work days). The length of a disciplinary suspension for an
employee on a non-forty-hour week/schedule shall be no more than 80 hours.
An agency or university has the option of imposing the same periods of disciplinary
suspension without pay upon all employees as long as the time period is the same as for
employees exempt from the overtime provisions of the FLSA as set forth in this Section.
Type of Minimum Period Maximum Period for Minimum Time Block
Employee for Disciplinary Disciplinary
Suspension Suspension
Subject to 1 work day 2 work weeks (10 At least 1 work day
FLSA work days)
Exempt 1 work week (five 2 work weeks (10 1 work week (five
from FLSA work days) work days) work days) but no
portion of a full work
week.
§ 5.3. Demotion
Any employee may be demoted as a disciplinary measure. Demotion may be made
based on unsatisfactory job performance, grossly inefficient job performance or
unacceptable personal conduct. An employee may be demoted 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 without any prior disciplinary action.
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Prior to demoting an employee, a management representative shall conduct a pre -
disciplinary conference with the employee in accordance with the procedural requirements
of this policy.
Disciplinary demotions must be conducted in accordance with the appropriate salary
administration policies. (See Demotion and Reassignment Policy)
§ 5.4. Dismissal
Dismissal may be a result of unsatisfactory job performance, grossly inefficient job
performance or unacceptable personal conduct. An employee may be dismissed for
disciplinary purposes for unsatisfactory job performance after the receipt of at least two prior
disciplinary actions, or for causes relating to any form of unacceptable personal conduct or
grossly inefficient job performance without any prior disciplinary action.
Prior to dismissing an employee, a management representative shall conduct a pre -
disciplinary conference with the employee in accordance with the procedural requirements
of this policy.
§ 5.5. Required Consultation
The supervisor recommending dismissal must discuss the recommendation with
appropriate agency management, including Human Resources. Agency legal counsel
should be consulted as necessary. Upon approval by agency management, a pre-
disciplinary conference shall be held with the employee.
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§ 6. Procedures for Issuing Disciplinary Action Other Than a Written Warning
Prior to the decision to issue a disciplinary action other than a written warning, the
following procedures must be followed in accordance with this policy. Before a
manager/supervisor can issue a disciplinary action of suspension, demotion, or dismissal, a
Pre-Disciplinary Conference (PDC) must be held. A PDC is not required if management
intends to issue a written warning.
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