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PAUL E. WATKINS, D.D.S., Petitioner v. NORTH CAROLINA STATE BOARD
OF DENTAL EXAMINERS, Respondent
No. 301A03
FILED: 2 APRIL 2004
1. Dentists_-orthodontist--standard of care_absence of expert testimony
The North Carolina State Board of Dental Examiners was authorized to determine
the appropriate standard of care for petitioner orthodontist's treatment of a patient without expert
testimony from an orthodontist, because: (1) there is no per se rule that expert testimony is
required to establish the standard of care in disciplinary hearings conducted by professional
licensing boards; (2) the fact that the General Assembly did not see fit to make any special
provisions for disciplinary actions involving orthodontists suggests that it deemed the standards
of care governing the practice of orthodontics to be within the ken of licensed dentists; and (3) a
licensee is not denied meaningful judicial review when a licensing board cannot base its findings
or conclusions on facts outside the record but has a statutory obligation to reach a reasoned
decision based on substantial evidence in view of the entire record.
2. Dentists_orthodontist_suspension of license_failure to follow timely
treatment plan_failure to take patient photographs
A whole record review revealed that substantial evidence supported the State
Board of Dental Examiners' decision to suspend the dental license of petitioner orthodontist
based upon its findings and conclusions that petitioner breached the standard of care for
orthodontists by failing to establish and follow a treatment plan which would address the
orthodontic needs of two patients in a timely manner and by failing to take any intraoral and
facial photographs of one of those patients because: (1) the Board could reasonably have
concluded that petitioner's delay in initiating treatment, his decision to pursue an initial policy of
therapeutic nonextraction, and his eventual decision to extract unilaterally on one side of a
patient's mouth all contributed to an unreasonable delay in one patient's progress as an
orthodontic patient; (2) it fell within the province of the Board to determine whether the delay in
a patient's treatment was attributable to a flawed treatment plan or to patient noncompliance; (3)
an expert testified that petitioner initially adopted a course of treatment for the second patient that
had no chance of success and that his actual course of treatment of this patient failed to correct
the patient's orthodontic problems in a timely manner; (4) assuming that intraoral and facial
photographs have no value as a diagnostic tool, the Board could reasonably have concluded that
the standard of care requires their use as a means to track the progress of orthodontic care; and
(5) the absence of testimony concerning the relative advantages of photographs over other
diagnostic tools goes only to the weight of an expert's testimony which is a matter for the Board
to decide, and the fact that a learned treatise does not list photographs among the minimum
required diagnostic records is not dispositive as to the standard of care.
3. Dentists--orthodontist--refusal of treatment--outstanding balance on patient
account_negligence in practice of dentistry
A de novo review revealed that the Board of Dental Examiners did not err by
concluding that petitioner orthodontist's refusal to treat a patient due to nonpayment constituted
negligence in the practice of dentistry under N.C.G.S. § 90-41(a)(12), because: (1) although it is
not dispositive, the North Carolina State Board of Dental Examiners' construction of the
statutory term practice of dentistry under N.C.G.S. § 90-41(a)(12) to encompass the refusal to
see or treat a patient is persuasive authority for our Supreme Court; (2) it is reasonable in the
present case to characterize petitioner's refusal to see or treat a patient as a facet of his
management, supervision, control, or conduct of his dental practice under N.C.G.S. § 90-
29(b)(11); (3) the Dental Practice Act was intended to guard against threats to public health, anda dentist's refusal to treat a patient due to nonpayment may directly and adversely affect a
patient's health; and (4) a telephone call from a patient expressing a desire to discontinue
treatment does not terminate the dentist-patient relationship, but instead it continues until a
patient is formally released by the dentist.
Appeal pursuant to N.C.G.S. § 7A-30(2) from the
decision of a divided panel of the Court of Appeals, 157 N.C.
App. 367, 579 S.E.2d 510 (2003), affirming a judgment signed 5
April 2002, by Judge David Q. LaBarre in Superior Court, Wake
County. Heard in the Supreme Court 17 November 2003.
The Charleston Group, by Freddie Lane, Jr., for
petitioner-appellee.
Ellis & Winters, L.L.P., by Paul K. Sun, Jr.; and
Bailey & Dixon, L.L.P., by M. Denise Stanford, for
respondent-appellant.
Allen & Pinnix, P.A., by Noel L. Allen and
Angela Long Carter, on behalf of North
Carolina State Board of Certified Public
Accountant Examiners and North Carolina Board
of Architecture, amici curiae.
North Carolina Medical Board, by Amy Yonowitz
and Marcus Jimison, amicus curiae.
Howard A. Kramer, on behalf of North Carolina
Board of Nursing, amicus curiae.
Womble, Carlyle, Sandridge & Rice, P.L.L.C.,
by Johnny M. Loper, on behalf of North
Carolina State Board of Examiners in
Optometry, amicus curiae.
Young, Moore & Henderson, P.A., by John N.
Fountain, on behalf of North Carolina State
Board of Examiners of Electrical Contractors
and North Carolina State Board of Examiners
of Plumbing, Heating, and Fire Sprinkler
Contractors, amici curiae.
North Carolina State Board of Examiners for
Engineers and Surveyors, by David S. Tuttle,
amicus curiae.
MARTIN, Justice.
Petitioner, Paul E. Watkins, is a dentist licensed to
practice dentistry in North Carolina who limits his practice inthis state
(See footnote 1)
to the specialty area of orthodontics. Based on
formal complaints initiated by three of petitioner's patients --
John Casto, Conrad Naico, and Sabrina Wolfe -- the North Carolina
Board of Dental Examiners (Dental Board or the Board) held an
administrative hearing to determine if petitioner had violated
applicable provisions of the Dental Practice Act, N.C.G.S. § 90-
22 to 90-48.3 (2003). The evidence presented at the hearing
included documentary evidence as well as lay and expert
testimony. On 18 July 2001, the Board issued its final agency
decision, concluding that petitioner's failure to comply with the
applicable standards of care in his treatment of all three
patients constituted negligence in the practice of dentistry
within the meaning of N.C.G.S. § 90-41(a)(12) (2003).
Accordingly, the Board ordered that petitioner's license be
suspended for a period of six months, with conditional
restoration subject to petitioner's adherence to probationary
terms.
Petitioner sought judicial review of the Board's order
in Wake County Superior Court. By judgment signed 5 April 2002,
the trial court reversed and remanded to the Board for
reinstatement of petitioner's license. The trial court concluded
that the Board's determination that petitioner was negligent in
the practice of dentistry was unsupported by substantial,
material, and competent evidence in view of the entire record
and, therefore, that the suspension of petitioner's license wasarbitrary and capricious. A divided panel of the Court of
Appeals affirmed, and respondent appealed to this Court as a
matter of right. We reverse.
I.
[1] The first issue presented is whether the Board was
authorized, under Leahy v. North Carolina Bd. of Nursing, 346
N.C. 775, 488 S.E.2d 245 (1997), to determine the appropriate
standard of care for petitioner's treatment of patient John Casto
(Casto) without expert testimony from an orthodontist.
At the outset, we note that this issue does not
encompass the Board's consideration of petitioner's treatment of
Sabrina Wolfe (Wolfe) and Conrad Naico (Naico). With respect to
Wolfe and Naico, Board experts testified as to the requisite
standards of care in addition to offering their expert opinions
that petitioner had breached those standards. With regard to
Casto, on the other hand, the Board's expert witness, Dr.
Christopher Trentini, testified that Casto's progress was behind
schedule, clearly given the nature of Casto's orthodontic
problems and the length of time he had been in treatment. Dr.
Trentini did not testify that the standard of care for
orthodontists practicing in North Carolina required a more timely
resolution of Casto's orthodontic problems. Nevertheless, after
reviewing the dental records and the expert and lay testimony
presented, the Board found that the standard of care for dentists
licensed to practice in North Carolina required an orthodontist
to establish and follow a treatment plan which would address the
patient's orthodontic needs in a timely manner. The Board alsofound that petitioner violated the standard of care . . . by
failing to establish and follow a treatment plan that would
address the patient's orthodontic needs in a timely manner. The
Board concluded that petitioner's failure to comply with the
applicable standard of care in his treatment of Casto was a
dereliction from professional duty constituting negligence in
the practice of dentistry within the meaning of N.C.G.S. § 90-
41(a)(12).
Petitioner argues that given the absence of expert
testimony as to the appropriate standard of care and breach
thereof, the Board lacked substantial evidence to support its
conclusion that petitioner's treatment of Casto constituted
negligence in the practice of dentistry. This argument, however,
is foreclosed by our holding in Leahy, which we now reaffirm.
Leahy involved a disciplinary action by the North
Carolina Board of Nursing (Nursing Board) against a registered
nurse (the petitioner or Leahy) concerning her treatment of two
patients. Leahy, 346 N.C. 775, 488 S.E.2d 245. At that hearing
before the Nursing Board, four nurses presented eyewitness
testimony as to the factual details of the conduct at issue. Id.
at 776-77, 488 S.E.2d at 245-46. They did not, however, testify
as to the requisite standard of care for registered nurses. Id.
The Nursing Board found facts consistent with the eyewitnesses'
testimony and concluded that Leahy's treatment of the two
patients breached the requisite standard of care in violation of
the Nursing Practice Act. Id. at 778, 448 S.E.2d at 247.
Relying on our holding in Dailey v. North Carolina State Bd. ofDental Exam'rs, 309 N.C. 710, 309 S.E.2d 219 (1983), the Court of
Appeals reversed, holding that the Board's suspension of the
petitioner's license was improper because of the absence of
expert testimony defining the standard of care for registered
nurses in the practice of their profession. Leahy, 346 N.C. at
780, 488 S.E.2d at 248.
We reversed the Court of Appeals, rejecting the
argument that expert testimony was required to establish the
applicable standard of care. Leahy, 346 N.C. at 780-81, 488
S.E.2d at 248. In reaching this decision, we turned to North
Carolina's Administrative Procedure Act (APA), which expressly
provides that [a]n agency may use its experience, technical
competence, and specialized knowledge in the evaluation of
evidence presented to it. Id. (quoting N.C.G.S. § 150B-41(d)
(1995)). We concluded that the specialized knowledge of the
Nursing Board includes knowledge of the standard of care for
nurses, and thus that the Nursing Board was entitled to use this
knowledge in evaluating the evidence before it. Id. at 781, 488
S.E.2d at 248. In support of this conclusion, we looked to the
composition and statutorily prescribed functions of the Nursing
Board, noting that it (1) consisted of nine registered nurses,
four licenced practical nurses, one retired doctor, and one
layperson; (2) was authorized by statute to develop rules and
regulations to govern medical acts by registered nurses; (3) was
empowered to administer, interpret, and enforce the Nursing
Practice Act; and (4) was required by statute to establish the
qualifications and criteria for licensure of nurses. Id. Reasoning that [t]o meet these requirements, the [Nursing] Board
must know the standard of care for registered nurses in this
state, we held that the Court of Appeals had erred in requiring
expert testimony to establish that standard. Id.
Leahy illustrates the deference that courts accord to
administrative bodies in the exercise of their factfinding
functions. See, e.g., In re Berman, 245 N.C. 612, 616-17, 97
S.E.2d 232, 236 (1957). We acknowledge that, in a medical
malpractice action, the standard of care is normally established
by the testimony of a qualified expert. Jackson v. Mountain
Sanitarium & Asheville Agric. Sch., 234 N.C. 222, 226-27, 67
S.E.2d 57, 61 (1951). This general rule is based on the
recognition that in the majority of cases the standard of care
for health providers concerns technical matters of highly
specialized knowledge, and a lay factfinder is dependent on
expert testimony to fairly determine that standard. Id. This
rationale is not necessarily controlling within the context of
disciplinary proceedings conducted by professional licensing
boards where, as here, the factfinding body is composed entirely
or predominantly of experts charged with the regulation of the
profession. See Arlen v. State Med. Bd., 61 Ohio St. 2d 168,
174, 399 N.E.2d 1251, 1255 (1980). Thus, we decline to impose a
per se rule that expert testimony is required to establish the
standard of care in disciplinary hearings conducted by
professional licensing boards.
Petitioner contends that Leahy is distinguishable in
light of the relative compositions of the Dental and NursingBoards. In Leahy, petitioner argues, the Nursing Board was
competent to establish the standard of care for registered
nurses without the benefit of expert testimony because, by
statute, at least eight of its fifteen members must be registered
nurses. N.C.G.S. § 90-171.21(a) (2003). In the present case, by
contrast, the Dental Practice Act does not mandate that any
orthodontists serve on the Board, see N.C.G.S. § 90-22(b) (2003),
and at the time petitioner's case came on for hearing, none did.
Thus, petitioner argues, the Board lacked the requisite
expertise, technical training, and specialized knowledge to
determine the standard of care for orthodontists. For the
following reasons, we reject this argument and hold that Leahy
controls our resolution of the present case.
The Dental Practice Act vests the Board with broad
authority to regulate the practice of dentistry, including the
powers to grant or revoke a license and to enact rules and
regulations governing the profession. N.C.G.S. §§ 90-41(a), 90-
48 (2003). Moreover, the General Assembly has clearly defined
the practice of dentistry to encompass the practice of
orthodontics. Compare N.C.G.S. § 90-29(b)(5) (2003) (defining
the practice of dentistry to include [c]orrect[ing] the
malposition or malformation of human teeth) with Oxford English
Dictionary, Supplement and Bibliography (1961) (defining
orthodontia as [t]he correcting of irregular and faulty
positions of the teeth). There are no distinct licensure
requirements for orthodontists in this state, and orthodontists -- like all licensed dentists -- are subject to the regulatory
and disciplinary authority of the Dental Board as it is
statutorily composed. See N.C.G.S. §§ 90-29(a), 90-41(a). By
statute, the Board is composed of six licensed dentists, one
dental hygienist, and one layperson. See N.C.G.S. § 90-22(a).
There is no statutory requirement of orthodontic representation
on the Board. Id. Thus, in the statutory scheme adopted by the
legislature, orthodontists are regulated as dentists, by
dentists. Although they practice in a specialty area within
their profession, orthodontists are held accountable to the same
disciplinary authority under the same statutory provisions as
their peers who practice general dentistry.
Moreover, the Dental Practice Act specifically
precludes the dental hygienist and lay members of the Board from
participating in any matter involving the issuance, renewal, or
revocation of a license to practice dentistry. N.C.G.S. § 90-
22(b). This express exclusion of the two members who are not
licensed dentists strongly suggests that the General Assembly
gave due consideration to the competence of the Board as composed
to adjudicate disciplinary matters. Under these circumstances,
the fact that the General Assembly did not see fit to make any
special provisions for disciplinary actions involving
orthodontists suggests that it deemed the standards of care
governing the practice of orthodontics to be within the ken of
licensed dentists. In deference to this legislative judgment, we
will not engraft a rule requiring expert testimony on the
regulatory scheme devised by the General Assembly. Petitioner asserts that liberal application of Leahy
effectively vests professional licensing boards with unfettered
discretion to revoke or deny a license, thereby rendering a
licensee's statutory right to judicial review meaningless. We
disagree. Far from undermining a licensee's right to have the
merits of his or her case determined on the basis of facts in
evidence, Leahy reaffirms that right as it was previously
articulated in Dailey.
The APA provides that in all contested cases, an agency
must base its findings of fact exclusively on evidence presented
and facts officially noticed, all of which must be made a part of
the official record for purposes of judicial review. N.C.G.S. §§
150B-41(b), 150B-42(a)-(b), 150B-47 (2003). In Dailey, we
emphasized that the preservation of a record for judicial review
was a cornerstone of the Administrative Procedure Act in that
it enables a reviewing court to determine whether an agency,
including a professional licensing board, has engaged in a
reasoned evaluation and analysis of [the] evidence presented.
309 N.C. at 724, 309 S.E.2d at 227. We further stated that while
a licensing board 'may put its expertise to use in evaluating
the complexities of technical evidence,' it 'may not use its
expertise as a substitute for evidence in the record.' Id.
(quoting Arthurs v. Board of Registration in Med., 383 Mass. 299,
310, 418 N.E.2d 1236, 1244 (1981)).
Leahy in no way derogates from this aspect of our
reasoning in Dailey. As we clarified in Leahy, [t]he concern in
Dailey was that the board would use its own expertise to decidethe case without any evidence to support it. Leahy, 346 N.C. at
780, 488 S.E.2d at 248 (emphasis added). In Leahy, however,
there [was] evidence in the record which the Board could use its
expertise to interpret, including eyewitness testimony
describing the petitioner's conduct. Id. We upheld the
revocation of the petitioner's license in Leahy because we
determined that (1) the Nursing Board was entitled to use its
expertise in interpreting the evidence presented and (2) that
expertise included knowledge of the standard of care for nurses.
Id. at 780-81, 488 S.E.2d at 248. The petitioner's right to
meaningful judicial review was preserved because [f]rom the
record, we [were] able to determine the validity of the Board's
action. Id. at 780, 488 S.E.2d at 248.
Leahy overruled Dailey to the extent that Dailey
implied the standard of care in licensing board cases must be
established by expert testimony. Leahy, 346 N.C. at 781, 488
S.E.2d at 249. Under Leahy, where knowledge of the requisite
standard of care must be within the board's specialized knowledge
and expertise, the board may apply the appropriate standard even
if no evidence of it is introduced. Id. Leahy does not,
however, empower a licensing board to base its findings or
conclusions on facts outside the record. See Sibley v. North
Carolina Bd. of Therapy Exam'rs, 151 N.C. App. 367, 378-79, 566
S.E.2d 486, 492-93 (2002) (Greene, J., dissenting) (citing Leahy
for the proposition that board findings must be based on the
evidence and cannot merely rest on the Board's expertise with
respect to the practice of physical therapy), rev'd per curiamfor the reasons stated in the dissent, 357 N.C. 42, 577 S.E.2d
622 (2003). Nor does Leahy excuse an agency from its statutory
obligation to reach a reasoned decision based on substantial
evidence . . . in view of the entire record. N.C.G.S. § 150B-
51(b)(5) (2003). Accordingly, Leahy does not undermine a
licensee's right to seek meaningful judicial review of the
Board's decision.
II.
[2] The next issue presented is whether there was
substantial evidence in the record to support the Board's
findings of fact and conclusions of law with respect to
petitioner's treatment of Casto and Naico.
Judicial review of the final decision of an
administrative agency in a contested case is governed by section
150B-51(b) of the APA. N.C.G.S. § 150B-51(b). When the issue
for review is whether an agency's decision was supported by
substantial evidence in view of the entire record, N.C.G.S. §
150B-51(b)(5), a reviewing court must apply the whole record
test. Mann Media, Inc. v. Randolph Cty Planning Bd., 356 N.C. 1,
13, 565 S.E.2d 9, 17 (2002); In re Gordon, 352 N.C. 349, 352, 531
S.E.2d 795, 797 (2000). A court applying the whole record test
may not substitute its judgment for the agency's as between two
conflicting views, even though it could reasonably have reached a
different result had it reviewed the matter de novo. Elliot v.
North Carolina Psychology Bd., 348 N.C. 230, 237, 498 S.E.2d 616,
620 (1998) (citing Thompson v. Wake Cty Bd. of Educ., 292 N.C.
406, 410, 233 S.E.2d 538, 541 (1977)); Boehm v. North CarolinaBd. of Podiatry Exam'rs, 41 N.C. App. 567, 569, 255 S.E.2d 328,
330 (1979), cert. denied, 298 N.C. 294, 259 S.E.2d 298 (1979).
Rather, a court must examine all the record evidence -- that
which detracts from the agency's findings and conclusions as well
as that which tends to support them -- to determine whether there
is substantial evidence to justify the agency's decision.
Elliot, 348 N.C. at 237, 498 S.E.2d at 620 (citing Thompson, 292
N.C. at 410, 233 S.E.2d at 541). Substantial evidence is
defined as relevant evidence a reasonable mind might accept as
adequate to support a conclusion. N.C.G.S. § 150B-2(8b) (2003);
State ex rel. Comm'r of Ins. v. North Carolina Fire Ins. Rating
Bureau, 292 N.C. 70, 80, 231 S.E.2d 882, 888 (1977).
We first examine the sufficiency of the evidence to
support the Board's findings and conclusions regarding Casto.
Casto, a minor child, first presented to petitioner's office on
22 April 1996. Petitioner diagnosed Casto as having a Class I
malocclusion, severely crowded locked out maxillary bicuspids,
and severely crowded mandibular anterior incisors. Dental molds
revealed that Casto presented to petitioner with a midline
deviation of two millimeters. Petitioner devised a treatment
plan of therapeutic nonextraction, which called for the initial
use of orthodontic appliances with possible future extractions of
the upper and lower right first bicuspids.
Petitioner did not initiate Casto's treatment until
four months later, on 26 August 1996. Although petitioner's
office informed Casto's mother (Ms. Casto) that it was awaiting
notification of Casto's Medicaid approval during this period,petitioner admits that his office never actually submitted the
case to Medicaid.
On 22 October 1997, petitioner referred Casto for the
extraction of his upper and lower right first bicuspids and
continued treatment with orthodontic appliances. In the spring
of 1998, after nearly two years of treatment, Ms. Casto became
dissatisfied with her son's progress under petitioner's care and
demanded an estimate of how much additional time Casto's
treatment would require. Petitioner estimated that Casto would
require an additional year of treatment. After petitioner's
office cancelled three consecutive appointments for various
reasons in August 1998, Ms. Casto consulted her general dentist
for a referral to a different orthodontist.
That orthodontist, Dr. Trentini, testified at
petitioner's hearing as an expert witness for the Board. Dr.
Trentini testified that based on his initial consultation and a
review of Casto's records, Casto would require an additional
eighteen months of treatment. He also testified that Casto's
treatment was behind schedule, clearly at the time Casto first
presented to his office and that petitioner's decision to pursue
unilateral extractions on the right side only of Casto's mouth
had worsened Casto's preexisting midline deviation in violation
of the applicable standard of care. In a letter addressed to the
Board and entered into evidence at petitioner's hearing, Dr.
Trentini further stated that in his opinion [Casto's] treatment
prior to transferring was significantly delayed relative to his
time in treatment. In light of these facts, the Board found that
petitioner had breached the requisite standard of care for
orthodontists by failing to establish and follow a treatment plan
which would address Casto's orthodontic needs in a timely
manner. The Board concluded that this breach of the requisite
standard of care constituted negligence in the practice of
dentistry within the meaning of N.C.G.S. § 90-41(a)(12).
Having reviewed the whole record, we cannot say that
the Board's finding that petitioner failed to treat Casto in a
timely manner was unsupported by substantial evidence. Although
the Board did not receive expert testimony specifically stating
that the standard of care for dentists practicing orthodontics
requires timeliness in the treatment of patients, the Board was
entitled under Leahy to apply its expert knowledge of this
standard of care to the facts before it, even if no evidence of
[the standard of care was] introduced. Leahy, 346 N.C. at 781,
488 S.E.2d at 249. In the present case, the Board could
reasonably have concluded that petitioner's delay in initiating
treatment, his decision to pursue an initial policy of
therapeutic nonextraction, and his eventual decision to extract
unilaterally on one side of the mouth all contributed to an
unreasonable delay in Casto's progress as an orthodontic patient.
In his brief, petitioner suggests that any delay in
Casto's treatment resulted from either patient noncompliance or
appliance breakage that cannot be attributed to negligence on
petitioner's part. Petitioner cites no record evidence in
support of this contention. Nonetheless, the record does reflectthat petitioner regularly instructed his patients not to chew on
hard foods or objects to avoid breaking brackets. Moreover,
Casto admits that on at least one occasion he broke a bracket by
chewing on a pen in contravention of petitioner's instructions.
We agree that this evidence tends to detract from the
Board's findings that any delay in Casto's treatment was
attributable to petitioner's negligence, and we encompass this
evidence within our review of the whole record. We note,
however, that the Board was also presented with evidence that
tends to undermine petitioner's broken bracket defense. First,
Casto and his mother both testified that Casto's brackets often
came loose immediately or shortly after placement, suggesting
that improper placement, not patient noncompliance, was the cause
of the problem. Second, Dr. Trentini testified that it was his
practice to repair broken brackets at a patient's regularly
scheduled appointment, in addition to completing any previously
scheduled work. Petitioner, on the other hand, repaired broken
brackets at a patient's regularly scheduled appointment but
typically rescheduled for any previously scheduled work, thus
necessarily extending the course of treatment. Finally, Dr.
Trentini testified that Casto had only one loose bracket in
nineteen months of treatment with him. By comparison,
petitioner's treatment records for Casto reflect at least five
broken brackets over the course of twenty-one months.
In cases appealed from an administrative tribunal, it
is the responsibility of the administrative body, not a reviewing
court, to determine the weight and sufficiency of the evidenceand the credibility of the witnesses, to draw inferences from the
facts, and to appraise conflicting and circumstantial evidence.
State ex rel. Comm'r of Ins. v. North Carolina Rate Bureau, 300
N.C. 381, 406, 269 S.E.2d 547, 565 (1980). Thus, it fell within
the province of the Board to determine whether the delay in
Casto's treatment was attributable to a flawed treatment plan, as
Dr. Trentini testified, or to patient noncompliance, as
petitioner alleges. To the extent the evidence diverges, we
defer to the Dental Board's resolution of any conflicts. On the
basis of the record before us, we cannot conclude that the Board
lacked relevant evidence a reasonable mind might accept as
adequate, N.C.G.S. § 150B-2(8b), to support its conclusion that
petitioner's treatment of Casto was untimely and that such
untimeliness was a breach of the requisite standard of care for
dentists practicing orthodontics in North Carolina.
We now turn to the sufficiency of the evidence to
support the Board's findings and conclusions concerning Naico.
Naico, a minor child, first presented at petitioner's
office on 5 December 1996, seeking treatment for an overbite and
gaps in his teeth. Petitioner diagnosed Naico as having a class
II malocclusion, one hundred percent overbite, and four to six
millimeter overjet. Prior to initiating treatment, petitioner
took records, including a panorex radiograph, cephalometric
radiograph, and trimmed study models. Petitioner admits,
however, that he did not take intraoral or facial photographs.
Petitioner's initial treatment plan called for the use
of a biteplate and orthodontic braces, and a Medicaid pre-authorization form indicated a twenty-four month course of
treatment. In May 1998, however, petitioner informed Naico's
mother (Ms. Naico) that Naico's treatment would require
extraction of the upper first premolars. On 26 May 1998, after
nine months of treatment, petitioner referred Naico to a general
dentist for these extractions. A year later, after twenty-one
months of treatment, petitioner became concerned that Naico's
case was progressing probably in less than an ideal way and
began considering other possible treatment options, including
further extractions and oral surgery. Dissatisfied with the
progress her son had made in petitioner's care, and alarmed at
the prospect of further extractions when the gaps in Naico's
teeth were not being closed, Ms. Naico discontinued treatment
with petitioner in May 1999.
At petitioner's hearing, the Board presented the expert
testimony of Dr. James Kaley, an orthodontist. Dr. Kaley
testified that the standard of care for dentists licensed to
practice in North Carolina requires an orthodontist to take
intraoral and facial photographs prior to initiating treatment
and that petitioner breached this standard of care in his
treatment of Naico. Dr. Kaley stated that petitioner's treatment
plan was inappropriate in that it failed to correct Naico's
orthodontic problems in a timely manner. Specifically, Dr. Kaley
testified that petitioner's initial treatment plan would never
have corrected Naico's orthodontic problems, that this should
have been evident to petitioner from the beginning, and that the
standard of care required petitioner to recommend either surgeryor the use of a Herbst appliance as the appropriate treatment
plan for Naico at the outset. Dr. Kaley also testified that
petitioner's treatment plan failed to address several of Naico's
orthodontic problems, including a missing lower left central
incisor and angled left second molar. Dr. Kaley stated that with
a proper diagnosis and treatment, Naico's treatment could have
been completed within two to two-and-a-half years. With
petitioner's treatment plan, however, Dr. Kaley did not believe
that a satisfactory result could be reached regardless of time.
Based on the testimony and physical evidence presented
at the hearing, the Board found that petitioner breached two
applicable standards of care with respect to Naico. First, the
Board found that the standard of care for dentists licensed to
practice in North Carolina requires an orthodontist to take, or
have available, intraoral and facial photographs prior to
initiating orthodontic treatment and that petitioner breached
this standard of care by failing to include such photographs in
Naico's treatment records. Second, the Board found that
petitioner breached the requisite standard of care for dentists
licensed to practice in North Carolina by failing to formulate
an appropriate treatment plan to remedy the problems diagnosed in
a timely manner.
Petitioner disputes both of these findings. First,
petitioner argues that notwithstanding Dr. Kaley's testimony, the
Board lacked substantial evidence to support its finding that
petitioner's failure to include intraoral or facial photographs
in Naico's treatment records breached an applicable standard ofcare. In support of this contention, petitioner asserts that
photographs are not necessary for a proper diagnosis, as they do
not show anything that cannot be observed with the naked eye.
Petitioner also alleges that a leading treatise on orthodontic
care does not list intraoral or facial photographs as a necessary
diagnostic tool. Finally, petitioner contends that because Dr.
Kaley's testimony did not address the comparative value of
photographs over the diagnostic tools petitioner did employ, Dr.
Kaley's testimony does not constitute substantial evidence in
support of the Board's findings.
After careful review of the record, we cannot say that
the Board lacked a reasonable basis for its decision. Dr. Kaley
testified that photographs are useful both in initial diagnosis
and to record a patient's initial condition for later reference.
Thus, even assuming intraoral and facial photographs have no
value as a diagnostic tool, the Board could reasonably have
concluded that the standard of care requires their use as a means
to track the progress of orthodontic care. Moreover, the absence
of testimony concerning the relative advantages of photographs
over other diagnostic tools goes only to the weight of Dr.
Kaley's testimony, which is a matter for the Board to decide.
See State ex rel. Comm'r of Ins., 300 N.C. at 406, 269 S.E.2d at
565. Similarly, the fact that a learned treatise does not list
photographs among the minimum required diagnostic records is not
dispositive as to the standard of care. The Board was certainly
entitled to reject petitioner's allegations in light of Dr.
Kaley's testimony. See id. Next, petitioner contends that Dr. Kaley's testimony
about the timeliness of petitioner's treatment of Naico is
insufficient to establish the requisite standard of care.
Petitioner argues that Dr. Kaley offered his opinion regarding
the preferred treatment plans for Naico's orthodontic problems,
not his understanding of what the statewide minimum level of
competency requires. This argument, however, mischaracterizes
Dr. Kaley's testimony. Although Dr. Kaley did testify that his
personal preference would have been to treat Naico with a
Herbst appliance, he also testified that petitioner's actual
course of treatment failed to correct Naico's orthodontic
problems in a timely manner in violation of the applicable
standard of care. Specifically, Dr. Kaley stated that
petitioner's failure to treat Naico either with surgery or with a
Herbst appliance resulted in petitioner's initial adoption of a
treatment plan with no chance of success. From this evidence,
the Board could reasonably have concluded that petitioner failed
to conform to a statewide level of minimum competency applicable
to all dentists practicing orthodontics in North Carolina. Thus,
the Board's findings are supported by substantial evidence in
view of the entire record and are binding on appeal.
III.
[3] The final issue presented is whether the Board
erred as a matter of law in concluding that petitioner's refusal
to treat Wolfe due to nonpayment constituted negligen[ce] in the
practice of dentistry within the meaning of N.C.G.S. § 90-
41(a)(12). Wolfe, a minor child, first presented to petitioner's
office on 24 January 1996, complaining of crooked and crowded
teeth. Petitioner diagnosed Wolfe as having a Class I
malocclusion, severely crowded with overlapping of the maxillary
central incisors and mandibular anterior crowding, and proposed
a treatment plan requiring the extraction of four bicuspids
following the initial use of orthodontic appliances. Between
August 1996 and July 1997, petitioner saw Wolfe in his office on
eight occasions, during which time he took records, placed
separators, and finally placed orthodontic bands and wires in
Wolfe's mouth. Petitioner delayed the proposed extractions while
awaiting Medicaid approval of Wolfe's case.
On 12 August 1997, eleven days after Wolfe's Medicaid
claim was denied, Wolfe's mother (Ms. Wolfe) consented to pay for
petitioner's orthodontic services, and Wolfe was referred to a
general dentist for the extraction of four teeth. By the terms
of the written guarantor contract, Ms. Wolfe agreed to make
thirty-five installment payments on the first of each month. On
8 October 1997, Wolfe arrived for a scheduled appointment and was
advised that she would have to reschedule due to nonpayment.
Wolfe rescheduled for 30 October 1997 and was seen on that day
after making her October payment. On 26 November 1997, Wolfe was
again sent away from a scheduled appointment due to nonpayment.
Wolfe did not return to petitioner's office after this occasion.
At petitioner's hearing, a Dental Board investigator
testified that petitioner had stated it was office policy to
refuse treatment to patients who owed a balance on theiraccounts. Petitioner denied having such a policy, but admitted
that Wolfe was twice denied treatment due to nonpayment. Dr.
Numa Cobb, an orthodontist, testified as an expert witness for
the Board concerning the standard of care for dentists licensed
to practice in North Carolina. Dr. Cobb testified that the
standard of care very clearly requires a dentist to continue to
see an orthodontic patient even though there is an outstanding
balance on his or her account. According to Dr. Cobb, the
standard of care requires a dentist to continue treating a
patient who is not making payments unless and until the dentist
(1) sends the patient a letter terminating the dentist-patient
relationship and (2) provides the patient with an opportunity to
find another orthodontist. Dr. Cobb further testified that
petitioner's office abandoned Wolfe as a patient when Wolfe was
refused treatment due to nonpayment and that this abandonment
violated the requisite standard of care.
Based on the evidence presented, the Board found that
the standard of care for dentists licensed to practice in North
Carolina requires that once orthodontic treatment is initiated,
the dentist must continue to treat a patient with an outstanding
balance until that patient has been formally dismissed by the
practice and given a period of time to find another dentist to
continue treatment. The Board concluded that petitioner
violated this standard of care by refusing to treat Wolfe because
of an outstanding balance on her account. The Board concluded
that this violation of the applicable standard of care was a
dereliction from professional duty constituting negligence in thepractice of dentistry within the meaning of N.C.G.S. § 90-
41(a)(12).
Petitioner argues, and the Court of Appeals held, that
an orthodontist's rescheduling practices do not involve the
practice of dentistry, and thus petitioner cannot be
disciplined under section 90-41(a)(12) of the Dental Practice
Act.
Watkins, 157 N.C. App. at 374, 579 S.E.2d at 515.
According to petitioner and the Court of Appeals majority, an
orthodontist's questionable rescheduling practices are more
appropriately viewed as unprofessional conduct, bringing such
practices within the purview of section 90-41(a)(26).
Id. at
374-75, 579 S.E.2d at 515 (2003). Section 90-41(a)(26) of the
Dental Practice Act provides that the Board may revoke or suspend
the license of a dentist who [h]as engaged in any unprofessional
conduct as the same may be, from time to time, defined by the
rules and regulations of the Board. N.C.G.S. § 90-41(a)(26).
Because the Board's rules and regulations are silent with regard
to rescheduling practices, petitioner argues, the Board lacked
authority to discipline him for his refusal to treat Wolfe.
At the outset, we agree with petitioner that whether a
dentist's refusal to treat a patient due to nonpayment
constitutes the practice of dentistry or unprofessional
conduct within the meaning of the applicable statute is a
question of law subject to
de novo review.
See Brooks v.
McWhirter Grading Co., 303 N.C. 573, 580-81, 281 S.E. 2d 24, 29
(1981). We note, however, that the construction given to a
statute by the administrative agency charged with the statute'senforcement is entitled to due consideration by a reviewing
court.
Faizan v. Grain Dealers Mut. Ins. Co., 254 N.C. 47, 57,
118 S.E.2d 303, 310 (1961);
see also Gill v. Board of Comm'rs of
Wake Cty, 160 N.C. 176, 188, 76 S.E. 203, 208 (1912). In the
instant case, the Dental Board expressly concluded that
petitioner's refusal to treat Wolfe due to nonpayment was a
dereliction from professional duty constituting negligence in the
practice of dentistry within the meaning of G.S. §90-41(a)(12).
Although it is not dispositive, the Board's construction of the
statutory term the practice of dentistry to encompass the
refusal to see or treat a patient is persuasive authority for
this Court.
See Faizan, 254 N.C. at 57, 118 S.E.2d at 310.
We also note that our primary task in construing a
statute is to effectuate the intent of the legislature.
State ex
rel. Comm'r of Ins., 300 N.C. at 399, 269 S.E.2d at 561;
In re
Beatty, 286 N.C. 226, 229, 210 S.E.2d 193, 195 (1974). We have
previously identified the best indicia of . . . legislative
purpose to be 'the language of the statute, the spirit of the
act, and what the act seeks to accomplish.'
State ex rel.
Comm'r of Ins., 300 N.C. at 399, 269 S.E.2d at 561 (quoting
Stevenson v. City of Durham, 281 N.C. 300, 303, 188 S.E.2d 281,
283 (1972)).
Applying these principles, we turn first to the
language of the Dental Practice Act. Section 90-29(b) of the
Dental Practice Act enumerates thirteen acts or things that
constitute the practice of dentistry. N.C.G.S. § 90-29(b).
These acts or things include not only clinical procedures suchas removing stains, extracting teeth, and correcting the
malposition of teeth,
see N.C.G.S. § 90-29(b)(2),(3),(5), but
also broadly defined managerial and advertising practices,
see
N.C.G.S. § 90-29(b)(11),(12),(13). Specifically, subsection 90-
29(b)(11) provides that a dentist is engaged in the practice of
dentistry when he or she [o]wns, manages, supervises, controls
or conducts . . . any enterprise wherein any one or more of the
[clinical] acts or practices set forth in subdivisions (1)
through (10) above are done, attempted to be done, or represented
to be done. N.C.G.S. § 90-29(b)(11). In the present case, it
is reasonable to characterize petitioner's refusal to see or
treat a patient as a facet of his management, supervision,
control, or conduct of his dental practice. Thus, the language
of the Act is amenable to the construction placed upon it by the
Board.
In pursuing the next two prongs of our inquiry, the
spirit and legislative goals of the Dental Practice Act, we need
look no farther than the Act itself. The Dental Practice Act
expressly declares that the practice of dentistry . . .
affect[s] the public health, safety, and welfare, and is
therefore subject to regulation and control in the public
interest. N.C.G.S. § 90-22(a). The Act further provides that
it shall be liberally construed to carry out these objects and
purposes.
Id. In the instant case, we agree with the Board's
assertion that a dentist's refusal to treat a patient due to
nonpayment may directly and adversely affect a patient's health.
This conclusion draws support from the expert testimony of Dr.Cobb, an orthodontist, who stated at petitioner's hearing that a
patient in braces who does not receive follow-up treatment may
experience periodontal lesions, periodontal disease . . . loose
bands, caries beneath the bands, loose brackets, loose wires,
[and] wires going into the [t]issue.
Because the Dental
Practice Act was intended to guard against such threats to the
public health, and because the Act is to be liberally construed
to effectuate this purpose, a dentist's refusal to treat a
patient may appropriately be characterized as the practice of
dentistry as defined in N.C.G.S. § 90-29(b).
Petitioner also argues, however, that even if an
orthodontist's refusal to see or treat a patient constitutes the
practice of dentistry, Wolfe had already voluntarily
terminated the dentist-patient relationship. Petitioner notes
that Wolfe was refused treatment on 8 October and 26 November
1997. In her complaint, however, Wolfe alleged that she had
contacted the office in August or September of '97 to tell them
[she] did not want to see them anymore. Because Wolfe had
terminated the dentist-patient relationship prior to the
incidents complained of, petitioner contends, petitioner owed her
no professional duty, and his refusal to treat her cannot
constitute negligence in the practice of dentistry under
section 90-41(a)(12).
The Court of Appeals found this argument persuasive and
held that because Wolfe was no longer a patient of record at
the time she was refused treatment, petitioner's failure to treat
her could not constitute negligence under section 90-41(a)(12).
Watkins, 157 N.C. App. at 375, 579 S.E.2d at 515. We disagree.
Notwithstanding petitioner's allegations, the Board found as a
fact that Wolfe was a patient of record at the time she was
denied treatment due to nonpayment. Because this finding is
supported by substantial evidence in view of the entire record,
it is binding on appeal.
In her complaint, Wolfe stated that she contacted
petitioner's office in August or September 1997 to tell them
[she] did not want to see them anymore because of financial
reasons [and because she] wanted an office in High Point where
[she] live[d]. Nevertheless, Wolfe continued to receive
orthodontic treatment from petitioner during October and November
of that year. From this evidence, the Board could reasonably
have concluded that Wolfe had merely expressed her desire to
discontinue treatment with petitioner at some point in the
future. Alternatively, the Board could reasonably have concluded
that Wolfe had changed her mind about terminating the dentist-
patient relationship. In any event, the Board possessed
relevant evidence a reasonable mind might accept as adequate,
N.C.G.S. § 150B-2(8b), to support its conclusion that
petitioner's refusal to treat Wolfe breached a duty to Wolfe and
thus constituted negligence in the practice of dentistry under
N.C.G.S. § 90-41(a)(12).
Moreover, Dr. Cobb testified at petitioner's hearing
that a telephone call from a patient expressing a desire to
discontinue treatment does not terminate the dentist-patient
relationship. Instead, Dr. Cobb testified, the dentist-patientrelationship continues until a patient is formally released by
the dentist. The record contains no indication that petitioner
formally dismissed Wolfe from his care prior to his refusal to
treat her. Thus, the Board could reasonably have concluded that
petitioner's professional duties to Wolfe survived any attempt on
Wolfe's part to sever the professional relationship.
Accordingly, the Board's determination that petitioner's refusal
to treat Wolfe constituted negligence in the practice of
dentistry is supported by substantial evidence in view of the
entire record.
In conclusion, the Board acted within its authority in
determining that petitioner had breached the applicable standard
of care in his treatment of Casto. In addition, the Board's
findings of fact and conclusions of law are supported by
substantial competent evidence in view of the whole record.
Finally, the Board properly concluded that petitioner's refusal
to treat Wolfe because of an outstanding balance on her account
constituted negligence in the practice of dentistry within the
meaning of N.C.G.S. § 90-41(a)(12). Accordingly, the decision of
the Court of Appeals is reversed and the case is remanded to the
Court of Appeals for further remand to the trial court for entry
of judgment affirming the Board's disciplinary order.
REVERSED AND REMANDED.
Footnote: 1 Petitioner is also licensed in New York, where he
practices general dentistry.
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