Petitioner, Paul E. Watkins, is a dentist licensed to practice dentistry in North Carolina who limits his practice in this state 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 peti tioner’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 was arbitrary 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.
The first issue presented is whether the Board was authorized, under
Leahy v. North Carolina Bd. of Nursing,
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 also found 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).”
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,
We reversed the Court of Appeals, rejecting the argument that expert testimony was required to establish the applicable standard of care.
Leahy,
Leahy
illustrates the deference that courts accord to administrative bodies in the exercise of their factfinding functions.
See, e.g., In re Berman,
Petitioner contends that
Leahy
is distinguishable in light of the relative compositions of the Dental and Nursing Boards. In
Leahy,
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 offi
cial 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.”
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 decide the case
without any evidence to support it." Leahy,
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,
II.
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.,
We first examine the sufficiency of the evidence to support the Board’s findings and
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,
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 reflect that 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 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 evidence and 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,
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
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 of care. 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 pho tographs 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.,
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
III.
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 “negligenfce] 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 their accounts. 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 let ter 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 the practice 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,
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.,
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.,
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 such as 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)(ll),(12),(13). Specifically, subsection 90-29(b)(ll) 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)(ll). 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 wel
fare,” 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,
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,
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-patient relationship 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
REVERSED AND REMANDED.
Notes
. Petitioner is also licensed in New York, where he practices general dentistry.
