CORDY, J.
This is an action for judicial review of a final decision and order of the Board of Registration in Dentistry (board) suspending Stephen Chadwick's license to practice dentistry in
In its decision, the board found that Chadwick failed to comply with Occupational Safety and Health Administration (OSHA) standards; Centers for Disease Control and Prevention (CDC) guidelines; and Department of Public Health (department) regulations "with respect to spore testing, annual office training, the proper handling and disposal of medical waste, proper maintenance and disposal of sharps [i.e., sharp items, such as needles, scalers, burs, laboratory knives, and wires], the maintenance of complete and accurate records with respect to hepatitis B inoculations, and basic exposure control protocols." The board concluded that this conduct "constitute[d] deceit, malpractice and gross misconduct in the practice of the profession in violation of G. L. c. 112, § 61," and "seriously undermine[d] the integrity of the profession of dentistry and the public's confidence in the practice of dentistry." It suspended Chadwick's license to practice dentistry in Massachusetts for six months and imposed a five-year probationary period to follow the suspension.
Chadwick raises two issues on appeal: whether a State licensing board is preempted from interpreting, applying, and enforcing OSHA standards when disciplining a professional under its authority; and whether the board's decision was supported by substantial evidence. Because we agree that the United States Supreme Court's decision in Gade v. National Solid Wastes Mgt. Ass'n, 505 U.S. 88 (1992) (Gade), applies to this disciplinary proceeding, we conclude that, while the board may mandate compliance with OSHA standards in dental practices and sanction dentists for professional misconduct after OSHA has determined a violation has occurred, the board may not interpret, apply, and enforce OSHA standards regarding workplace safety on its own accord. We further conclude that the preemptive effect of the Occupational Safety and Health Act, 29 U.S.C. §§ 651 et seq. (2006) (act), articulated in Gade also bars the board from sanctioning Chadwick based on conduct it finds to be violative of CDC guidelines and department regulations,
With respect to Chadwick's second contention, we conclude that the board's one finding unrelated to a formal OSHA standard — that pertaining to Chadwick's spore testing practices — is supported by substantial evidence. Therefore, we vacate those portions of the board's decision regarding hepatitis B vaccination training and record-keeping, annual office training for employees, the maintenance of an exposure control program and the handling and disposal of sharps and medical waste, and affirm the board's finding regarding Chadwick's failure to conduct weekly spore testing and record the results. We remand the matter to the single justice who will remand the decision to the board for a reassessment of the penalty imposed.
1. Background. On July 10, 1981, the board issued Chadwick a license to practice dentistry. In November, 2003, and April, 2004, the board received two complaints from patients under Chadwick's care. It dispatched compliance officers to inspect Chadwick's offices on July 19, 2004, September 27, 2004, and May 11, 2005. Those inspections revealed a number of deficiencies beyond the ones alleged in the patient complaints.
On May 13, 2005, the board directed Chadwick to show cause why his license should not be revoked or suspended pursuant to G. L. c. 112, § 61. Chadwick filed his answer and request for a hearing on June 1, 2005. An administrative hearings counsel conducted a formal adjudicatory hearing over six days between July, 2006, and April, 2007. Chadwick appeared at the hearing and was represented by counsel. After reviewing the parties' posthearing briefs and Chadwick's objections to a tentative order, the board issued its final decision and order on November 24, 2009.
The board dismissed the allegations against Chadwick pertaining to the patient complaints because they lacked evidentiary support.
Relying on the CDC guidelines, OSHA standards and department waste regulations, the board reviewed the evidence and found the following six deficiencies in Chadwick's dental practice.
First, it determined that Chadwick failed to provide training for his employees prior to offering them the hepatitis B vaccination, failed to maintain records of the employees' receiving or declining the vaccination, and failed to complete the OSHA-mandated declination form for his own vaccination. According to the board, these failures violated OSHA standards that mandated training and record-keeping for hepatitis B vaccinations,
Second, the board concluded that Chadwick's monthly office training on infection control did not comport with CDC guidelines or OSHA standards, and that Chadwick failed to conduct and document annual office training. To the board, these deficiencies violated a CDC recommendation that employers provide training on occupational exposure to infectious agents and infection control procedures to employees on initial employment, assignment to tasks with occupational exposure or, at a minimum, annually,
Third, the board concluded that Chadwick did not develop or maintain an adequate "exposure control plan" accessible to his employees, contrary to an OSHA standard that requires employers to establish and make accessible to their employees a written plan detailing, among other things, exposure determinations and procedures for evaluating exposure incidents,
Fourth, the board concluded that, prior to March, 2005, Chadwick failed to conduct and record weekly spore testing, which is a method of sterilizing dental instruments and ensuring that the sterilizer is working properly.
Last, the board faulted Chadwick for his practice of soaking cotton balls and gauze dotted with blood in an unlabeled container of bleach before disposing of them. The board determined that these items constituted medical waste and that Chadwick threw them into the town trash. It then concluded that this practice violated CDC guidelines recommending that employers use "a color-coded or labeled container to contain non-sharp regulated medical waste,"
2. Preemption. "Under the supremacy clause in art. 6 of the Constitution of the United States, we are obligated to declare invalid any State statute or regulation that purports to regulate a field that Congress has reserved exclusively to itself." Commonwealth v. College Pro Painters (U.S.) Ltd., 418 Mass. 726, 728 (1994). The "ultimate touchstone" of preemption is congressional intent, which courts discern through "the explicit statutory language and the structure and purpose of the statute." Gade, supra at 96, quoting Ingersoll-Rand Co. v. McClendon, 498 U.S. 133, 138 (1990), and Allis-Chalmers Corp. v. Lueck, 471 U.S. 202, 208 (1985).
As the Supreme Court explained in Gade, Congress had two intentions in promulgating the act. First, Congress explicitly sought "to assure so far as possible every working man and woman in the Nation safe and healthful working conditions." 29 U.S.C. § 651(b). To that end, Congress established a regime in which the Secretary of Labor may "set mandatory occupational safety and health standards," such as the blood-borne pathogen standards on which the board relied in this case. Gade, supra at 96, citing 29 U.S.C. § 651(b)(3). It also authorized the Secretary of Labor to enforce these standards through on-site inspections and investigations, 29 U.S.C. § 657, and to impose civil and criminal penalties on employers found to violate them. 29 U.S.C. § 666.
Through the act, Congress permitted the Federal government to enter the field of workplace safety, "a field that traditionally had been occupied by the States." Gade, supra. This entry, however, was not "uniform or comprehensive" because the act reserved for the States particular avenues of involvement. Lindsey v. Caterpillar, Inc., 480 F.3d 202, 206 (3d Cir. 2007). The act permits the States to assert jurisdiction "under State law over any occupational safety or health issue with respect to which no
The act also provides a mechanism through which States can supplant Federal occupational safety and health standards. A State may submit to OSHA a "state plan" with proposed State standards. 29 U.S.C. § 667(b). "If the state plan is approved by OSHA, the standards in the state plan displace applicable federal standards ... [The act] and the regulations promulgated thereunder provide for implementation, oversight, and modification of these state plans" (citations omitted). Industrial Truck Ass'n v. Henry, 125 F.3d 1305, 1307 (9th Cir. 1997).
Given the interplay of the act's provisions, a plurality of the Court in Gade, supra at 100, concluded that Congress also sought "to avoid subjecting workers and employers to duplicative regulation." It determined that Congress had "established a system of uniform federal occupational health and safety standards, but gave States the option of preempting Federal regulations by developing their own occupational safety and health programs." Gade, supra at 102. Where a State does not exert that option, the act "precludes any state regulation of an occupational safety or health issue with respect to which a federal standard has been established."
A plurality of the Gade Court characterized the scope of the act's preemption as implied conflict preemption, writing that "nonapproved state regulation of occupational safety and health issues for which a federal standard is in effect is impliedly preempted as in conflict with the full purposes and objectives of the ... Act." Gade, supra at 98-99. Justice Kennedy, concurring in the result, found "express preemption." Gade, supra at 114 (Kennedy, J., concurring in part and concurring in the judgment). As the plurality of the Court explained in a footnote, this distinction carried little meaning: "Our disagreement with Justice Kennedy as to whether the ... Act's pre-emptive effect is labeled `express' or `implied' is less important than our agreement that the implications of the text of the statute evince a congressional intent to pre-empt nonapproved state regulations when a federal standard is in effect." Id. at 104 n. 2.
While this general pronouncement of preemption alone would reach and bar much of the board's action against Chadwick, the Supreme Court extended its analysis to two types of State regulation applicable to the case before us. First, it concluded that the act's preemptive effect reaches nonconflicting State laws that share the Federal government's goal of promoting worker safety, where they "interfere[] with the methods by which the federal statute was designed to reach th[at] goal." Gade, supra at 103, quoting International Paper Co. v. Ouellette, 479 U.S. 481, 494 (1987). To the Court, the methods of the act are clear: "If a State wishes to regulate an issue of worker safety for which a federal standard is in effect, its only option is to obtain the prior approval of the Secretary of Labor, as described in [§ 667] of the Act." Gade, supra at 103-104. "`[C]oncurrent' state and federal jurisdiction `in areas where [OSHA] issues a standard'" is not permitted. Industrial Truck Ass'n v. Henry, supra at 1310. See Gade, supra at 113 (Kennedy, J., concurring in part and concurring in the judgment) ("concurrent state and federal jurisdiction might interfere with the enforcement of the federal regulations without creating a situation where compliance with both schemes is a physical impossibility").
Because Massachusetts has not adopted an approved State plan pursuant to § 667(b), Federal OSHA standards—and the Federal regulatory scheme envisioned under the act—control in the Commonwealth. Given the existence of these Federal standards and the Federal mechanisms for their interpretation and application, the board's decision regarding Chadwick's violation of them conflicts with the "full purposes and objectives" of the act in two ways. Gade, supra at 99. First, it represents State interpretation, application, and enforcement of OSHA standards, constituting an improper assertion of concurrent jurisdiction. Second, it represents direct and substantial State regulation of occupational safety and health issues for which Federal OSHA standards are in effect. We consider each issue in turn.
a. Interpretation of OSHA standards. The board argues that, in referencing OSHA standards, it was not "enforcing" those standards, but "merely adopting those standards (in identical form) to establish a state law standard of conduct for Massachusetts dentists." This contention is untenable.
The focus of our inquiry, however, does not require us to decide whether the board correctly interpreted these OSHA standards. Our point in referencing the potential misinterpretation is to show
As outlined above, to avoid this redundancy, Congress established a regime in which the Federal government maintains, or a State assumes through a statutorily prescribed process, responsibility for occupational safety and health issues. Where Massachusetts has not assumed that responsibility, the Federal government retains its authority over the creation, interpretation and enforcement of such standards in the Commonwealth. See Cuyahoga Valley Ry. v. United Transp. Union, 474 U.S. 3, 6-7 (1985) (detailed statutory scheme of act contemplates that rights created under and enforcement of act are sole responsibility of Secretary of Labor). Consequently, the States' powers are limited to regulating those areas designated by the savings clause and those occupational safety and health issues for which no Federal OSHA standard is in effect.
The board's use of OSHA standards in its disciplinary proceeding falls outside these limited powers. Where Congress intended for a single set of regulations to exist, the board, in effect, created two: the standards OSHA promulgates and the board's interpretation of those standards. And, where Congress designated an approved State plan as the sole method of State involvement where Federal OSHA standards exist, the board asserted itself as an enforcement mechanism in the absence of such a plan. The board's decision, then, must be preempted as "interfer[ing] with the methods by which the federal statute was designed to reach [its] goal." Gade, supra at 103. The board cannot refashion this underlying action as a State law "standard of conduct" to avoid this result.
Although we hold that the board itself may not interpret or enforce OSHA standards, we do not read the text of the act or the language of Gade as prohibiting the board from mandating compliance with OSHA standards in a dental practice and subsequently sanctioning a dentist as a result of violations identified by OSHA. In such circumstances, the authority to interpret and apply OSHA standards would be reserved to the Federal government, and any disciplinary action that the board may take
b. Direct and substantial regulation. The language of Gade further compels us to examine the validity of the board's reliance on the CDC guidelines and department waste regulations in light of these OSHA standards. This is because the act's preemptive effect extends not only to a State's interpretation, application, and enforcement of the OSHA standards themselves, but also to any State law that directly, specifically, and substantially regulates an occupational safety and health issue for which a Federal OSHA standard is in effect.
i. Applicable OSHA standards. To apply this framework to
An examination of the authorities used to discipline Chadwick for his deficiencies regarding training and recording of hepatitis B vaccinations, office training, exposure control programs, and the handling and disposal of sharps and medical waste leads us to conclude that the OSHA standards, CDC guidelines, and department waste regulations reach the same conduct and thus invite further preemption analysis.
In finding that Chadwick failed properly to record his employees' and his own hepatitis B vaccination status, the board relied on similar OSHA standards and CDC guidelines. They differ only in that the OSHA standards are specifically geared to hepatitis B vaccinations (the type of vaccinations at issue here), while the CDC guidelines generally recommend that employers develop a comprehensive policy on immunizations and maintain confidential medical records for each employee. Similarly, the board turned to complementary OSHA standards and CDC guidelines to fault Chadwick for not conducting appropriate office training or maintaining an adequate exposure control plan. In the first instance, both sets of regulations address the
Next, the board's finding that Chadwick failed properly to handle and dispose of sharps and medical waste derived from similar OSHA standards and CDC guidelines, as well as department waste regulations. Both the OSHA standards and CDC guidelines describe the containers that employers must use to store sharps and medical waste and dictate that these containers be appropriately labeled. As noted by the prosecuting counsel's expert, the OSHA standards also permit the decontamination of regulated waste prior to disposal and require that decontamination methods be written. The department waste regulations reach this same conduct, but impose additional requirements. For example, the department waste regulations require that containers of sharps be incinerated at an approved facility, or processed to eliminate the physical hazard prior to disposal at a sanitary landfill. They also require that "[b]lood saturated materials" either be incinerated at an approved facility or rendered noninfectious prior to disposal at a sanitary landfill, so long as the methods of rendering waste noninfectious are written and the noninfectious waste labeled. While the CDC guidelines align with the OSHA standards, the department waste regulations appear to reach conduct beyond them (that is, the treatment of processed sharps and medical waste rendered noninfectious and the disposal of them at an approved incineration facility or sanitary landfill). Although this signals some difference between the conduct proscribed by the OSHA standards and the department waste regulations, it is not clear that the board relied on those differences in making its decision. While the board found that Chadwick had disposed of sharps and medical waste in the town trash, the thrust of its decision focused on Chadwick's practices within his own office. In its specific findings of fact for infection control, the board emphasized Chadwick's practices of removing the rubber stoppers from glass carpules, autoclaving glass carpules, and soaking cotton balls and medical gauze
With respect to Chadwick's failure to conduct weekly spore testing and record the results, however, the board invoked only the CDC guidelines and referenced a prior decision of its own. It is not apparent that a formal OSHA standard covering such conduct was in place during the relevant time period.
ii. Direct and substantial effect. Having concluded that OSHA
Although it did not purport to regulate occupational safety and health issues, the board's decision focused on Chadwick's role as an employer, not a healthcare professional, when it assessed his practices regarding hepatitis B vaccinations and training, office training, exposure control, and the handling and disposal of sharps and medical waste. As such, the board imposed on him methods of practice that are directly, substantially, and specifically aimed at workplace safety; as detailed above, they instruct the dentist, as an employer, to establish safeguards to prevent occupational exposure to his employees.
This is not to say that the act preempts the board's use of the CDC guidelines or department waste regulations in their entirety. Gade does not require such expansive preemption, but rather "refers to preemption of state regulation on an issue-by-issue basis." Industrial Truck Ass'n v. Henry, supra at 1311. Only where an OSHA standard exists for a given workplace practice does the question of preemption arise, and only where the State regulation directly or substantially affects workplace safety does preemption attach.
c. Licensing. The board's goal in penalizing Chadwick ostensibly was to protect the public health and preserve the integrity of the profession of dentistry, matters in which the State has a compelling interest. See Gade, supra at 108 (recognizing State interest "in the practice of professions within [its] boundaries"). As a result, the board has broad powers to define the contours of appropriate conduct for professional dentists under its jurisdiction. G. L. c. 112, §§ 43-53. See Leigh v. Board of Registration in Nursing, 395 Mass. 670 (1985). See also Gade, supra at 107. However, that power does not permit the board independently to interpret and apply OSHA standards or otherwise regulate occupational safety and health issues that Federal OSHA standards govern, where Congress has clearly indicated its intent to confine State authority to occupational safety and health issues for which no Federal OSHA standard exists, unless an approved plan is in place. As the Supreme Court cautioned in Gade, supra at 108, quoting Felder v. Casey, 487 U.S. 131,
3. Credible and substantial evidence. We turn now to the one board finding that does not directly implicate an OSHA standard — Chadwick's practice regarding spore testing. Chadwick argues that this finding is not supported by substantial evidence and relies on faulty credibility determinations.
The standard of review guiding us is clear: "We must uphold the decision of the board where, considering the entire record, its findings are supported by substantial evidence." D'Amour v. Board of Registration in Dentistry, 409 Mass. 572, 581 (1991), quoting Langlitz v. Board of Registration of Chiropractors, 396 Mass. 374, 379 (1985). "`Substantial evidence' means such evidence as a reasonable mind might accept as adequate to support a conclusion." G. L. c. 30A, § 1 (6). This review is quite limited. "While we must consider the entire record, and must take into account whatever in the record detracts from the weight of the [board's] opinion, ... as long as there is substantial evidence to support the findings of the [board], we will not substitute our views as to the facts." D'Amour v. Board of Registration in Dentistry, supra, quoting Cherubino v. Board of Registration of Chiropractors, 403 Mass. 350, 354 (1988). We summarize the board's findings of fact, supplemented by reference to exhibits and testimony presented at the hearing, to the extent necessary for this analysis.
At the hearing, Chadwick testified that he had been responsible for spore testing until the July, 2004, inspection, at which point he assigned the task to his dental assistant, Andrea Summerton. He, Summerton, and another employee, Wendy Jolie, specifically refuted Perault's testimony that Chadwick had told her he did not conduct spore testing. Rather, the three claimed, spore testing occurred every week, and Summerton further testified that she would purchase the supplies as needed. Chadwick, however, was unable to produce documents verifying the results for any tests performed before the first inspection. Further, although Summerton had begun keeping written records when she assumed responsibility for spore testing after the July, 2004, inspection, several gaps existed in the records between November 1, 2004, and March 1, 2005.
Both parties also offered expert testimony at the hearing. Kathy Eklund, for the board, opined that "there was no evidence from which she could conclude that [Chadwick] conducted routine and regular spore testing of the sterilizer" or that he maintained documentation of the testing dates and results, as recommended by the CDC guidelines. In contrast, Dr. John D. Da Silva, Chadwick's expert, testified that Chadwick's spore testing program complied with the CDC guidelines, which he read as not requiring the maintenance of written records.
In considering this evidence, the board explicitly concurred
Substantial evidence supports the board's findings. This is evident from Chadwick's own admissions regarding his practice before the July, 2004, inspection and the physical records, or lack thereof, available after the July, 2004, inspection.
The "task of assessing the credibility of witnesses is one uniquely within [the board's] discretion," and we will only "modify or set aside findings and conclusions that are arbitrary or unsupported by substantial evidence" (citations omitted). Bettencourt v. Board of Registration in Med., 408 Mass. 221, 227 (1990). Based on this standard of review, we see no cause to disrupt the board's credibility determinations regarding the expert or lay witnesses.
It is well within the board's discretion to choose between conflicting experts. See D'Amour v. Board of Registration in Dentistry, supra at 583. Given the fact that Eklund's testimony was more comprehensive than Dr. Da Silva's and corresponded with the board's own reading of the CDC guidelines, both in Chadwick's and a previous case, the board's crediting Eklund over Dr. Da Silva was a reasonable exertion of that discretion. Similarly, although we may have weighed the significance of Chadwick's knowledge of infection control protocol or the allegiance of his employees differently, we cannot say that the board acted arbitrarily or without substantial evidence. The administrative hearings counsel saw and heard the witnesses testify, and a reasonable mind could view the evidence as she and the board did. Therefore, we uphold the board's credibility determinations with respect to Chadwick, Summerton, and Jolie and affirm its finding that Chadwick failed to conduct weekly spore testing or record the results of that testing.
4. Conclusion. The matter is remanded to the single justice who is directed to remand the case to the board for further proceedings consistent with this opinion.
So ordered.
However, there is a question whether the board properly cited Chadwick for not using the OSHA-mandated declination form to record his own hepatitis B vaccination status. According to Kathy Eklund, the board's expert witness, whether Chadwick's practice was a sole proprietorship or a corporation would dictate whether he had to complete the form. The board did not address this discrepancy in its findings, and it is not apparent from the record whether Chadwick had incorporated his practice.
With regard to sharps, the board argues that a latter portion of the 2007 Standard Interpretation acknowledges that the "ultimate disposal of pharmaceutical vials must be in accordance with municipal, state and federal regulations ... OSHA does not regulate the disposal of medical wastes which are not `regulated waste' within the meaning of the bloodborne pathogens standard." The board then contends that it was free to develop its own regulations regarding carpules as nonregulated waste. The board, however, was not creating its own regulations in this instance. It was interpreting the "sharps" provision of the OSHA blood-borne pathogens standard, ultimately finding that Chadwick "failed to handle, store, maintain or dispose of sharps in a manner consistent with CDC guidelines, OSHA standards, or [department] Waste Regulations" (emphasis added).
In the same 2004 interpretation, OSHA noted that the CDC has "developed guidelines and recommendations on the use and monitoring of sterilization equipment in dental healthcare settings," further suggesting that OSHA has not developed standards on that issue. Given OSHA's own reading of its blood-borne pathogen standard, and the recognition that a State may "assert jurisdiction ... over any occupational safety or health issue with respect to which no [Federal] standard is in effect," we refrain from concluding that the preemptive effect of the act applies to the 2001 directive. 29 U.S.C. § 667(a) (2006). See Chamber of Commerce of the U.S. v. United States Dep't of Labor, 174 F.3d 206, 210 (D.C.Cir.1999) (directive's failure to preempt State law is "point of difference between it and a formal OSHA standard").
Chadwick's arguments on this point are unpersuasive. A fair reading of the board's decision indicates that Abrahamson was not essential to its reasoning. The board had reviewed Eklund's testimony and the CDC guidelines alongside Abrahamson and concurred with the finding in each that "spore testing must be conducted at a minimum on a weekly basis and records must be maintained that reflect the outcome and dates of spore testing." We agree with the board that it then cited to Abrahamson "merely to reflect that it previously had found a violation of infection control standards to constitute misconduct."