Chapter 13 Legal frameworks for practice in Australia and New Zealand
Learning outcomes for this chapter are:
1. To summarise key legislation affecting midwives in Australia and New Zealand as they relate to regulation and control of the midwifery practice
2. To examine the role and function of nursing/midwifery regulatory authorities
3. To discuss the legal responsibilities of midwives when undertaking midwifery practice
4. To examine privacy issues as they pertain to midwifery practice and patient access to information
5. To discuss the legislative requirements for the notification of births and deaths in midwifery practice
6. To explain the avenues of complaint for clients following an adverse incident
7. To examine the role and the function of the Coroner’s Court as it relates to midwifery practice.
The law regulates and controls the practice of midwifery and provides legal redress for clients who have been injured after contact with a member of the midwifery profession. This chapter provides an overview of the main statutes from Australia and New Zealand that affect midwifery practice. An understanding of the law and how it operates is essential for safe practice and so that midwives can fulfil their legal responsibilities both to clients and to the midwifery profession.
KEY STATUTES ON THE REGULATION OF MIDWIFERY PRACTICE
Midwifery regulation in Australia
National Registration in Australia
(a) provide for the protection of the public by ensuring that only practitioners who are suitably trained and qualified to practise in a competent and ethical manner are registered;
(b) facilitate workforce mobility across Australia and reduce red tape for practitioners;
(c) facilitate the provision of high quality education and training and rigorous and responsive assessment of overseas-trained practitioners;
(d) have regard to the public interest in promoting access to health services; and
(e) have regard to the need to enable the continuous development of a flexible, responsive and sustainable Australian health workforce and enable innovation in education and service delivery. (COAG 2008)
The current situation in Australia will remain, with eight jurisdictions—six states and two territories—regulating the practice of nursing and midwifery until the National Registration scheme is implemented. Although similarities exist between the states and territories, there are also differences. The names of the Acts and governing bodies vary from jurisdiction to jurisdiction (see Table 13.1). It is not possible to provide a comprehensive review of all the legislation in the area in a chapter such as this; midwives are therefore encouraged to familiarise themselves with the legislation in the jurisdiction in which they practise.
State/Territory | Name of the Act | Board/Council |
---|---|---|
Australian Capital Territory | Health Professionals Act 2004 | ACT Nursing and Midwifery Board |
New South Wales | Nurses and Midwives Act 1991 | Nurses and Midwives Board of NSW |
Northern Territory | Health Practitioners Act 2004 | The Nursing and Midwifery Board of the Northern Territory |
Queensland | Nursing Act 1992 | Queensland Nursing Council |
South Australia | Nursing and Midwifery Practice Act 2008 | Nursing and Midwifery Board |
Tasmania | Nursing Act 1995 | Nursing Board of Tasmania |
Victoria | Health Professions Registration Act 2005 | Nurses Board of Victoria |
Western Australia | Nurses and Midwives Act 2006 | Nurses and Midwives Board of WA |
Midwifery regulation
Professional regulatory authorities
Generally the legislation has a common purpose, namely to maintain acceptable standards within the practice of nursing and midwifery and to ensure that clients are not misled as to whether their health carer has met the requirements of the state (McIlwraith & Madden 2006). The legislation sets out the role and function of the regulatory authorities, including the composition of the board or council and the procedure for disciplinary hearings.
The titles of ‘nurse’ and ‘midwife’ are protected under the legislation, with penalties for unauthorised use. Generally there are two divisions of the register for nurses and midwives in the various states and territories. Comprehensive and general nurses are recorded in Division 1 and enrolled nurses in Division 2. On successful completion of an accredited course, midwives are endorsed or recorded in Division 1 of the register. Under the proposed national registration the titles of ‘nurse’, ‘nurse practitioner’, ‘enrolled nurse’ and ‘midwife’ will be protected, with divisions of the register for registered nurses, enrolled nurses and midwives (see Table 1 and Table 2 of the intergovernmental agreement on the National Registration and Accreditation Scheme website www.nhwt.gov.au/natreg.asp).
Disciplinary action
Most states have a two-tiered system where, for instance in New South Wales, a Professional Standards Committee is set up to review complaints, and should a finding of professional misconduct be made the matter is referred to the Nurses and Midwives Tribunal. Following an inquiry, the name of the midwife may be removed from the register or roll. In Western Australia, an informal hearing may take place at the Nurses and Midwives Board and for a more serious complaint the matter is referred to the State Administrative Tribunal (SAT) for determination. A nurse or midwife may be de-registered following a disciplinary hearing at SAT.
Section 4(1) of the Nurses and Midwives Act 1991, NSW defines ‘professional misconduct’ as ‘unsatisfactory professional conduct of a sufficiently serious nature to justify the removal of the nurse’s name from the Register or Roll’. Unsatisfactory professional conduct is defined in the Nurses and Midwives Act 1991, NSW section 4(2). For the purposes of this Act, ‘unsatisfactory professional conduct’, in relation to a nurse or midwife, includes any of the following:
(a) any conduct that demonstrates that the knowledge, skill or judgment possessed, or care exercised, by the nurse or midwife in the practice of nursing or midwifery is significantly below the standard reasonably expected of a nurse or midwife of an equivalent level of training or experience,
(b) the nurse’s or midwife’s contravening (whether by act or omission) a provision of this Act or the regulations,
(c) the nurse’s or midwife’s failure to comply with an order or determination made or a direction given under section 48, 55 or 64 or with a condition of registration or enrolment,
(d) the nurse’s or midwife’s failure without reasonable excuse to comply with a direction by the Board to provide information with respect to a complaint under this Act against the nurse or midwife,
(d1) a contravention by the nurse or midwife of section 34A(4) (Power of Commission to obtain information, records and evidence) of the Health Care Complaints Act 1993,
(e) any other improper or unethical conduct relating to the practice of nursing or midwifery.
The onus of proof is on the board or council to prove the allegation against the nurse or midwife according to the civil standard of proof, which is on the balance of probabilities.
While the procedure and composition of the committees investigating the alleged misconduct vary from jurisdiction to jurisdiction, most are informal. However, a hearing is governed by rules set out in the relevant legislation and incorporates the principles of natural justice. The main principles are that the accused must know of the allegations, and must be able to state their case, and that ‘no one may sit in judgement of another who has a vested interest in the outcome’ (McIlwraith & Madden 2006, p 16). Following a disciplinary hearing, a right of appeal exists within the respective legislation. By way of example, a breach in the rules of natural justice would give a midwife the right to appeal to another judicial body according to the specific legislation.
Impairment issues
The Nurses and Midwives Act 1991, NSW contains the following definition:
Under section 69(2) of the Nurses and Midwives Act 2006, WA certain conditions may be placed on a midwife’s registration, the registration may be suspended, or the midwife may be required to undergo counselling.
Mutual recognition legislation
Prior to the introduction of mutual recognition legislation, a nurse or midwife who wished to practise in another state or territory had to apply for registration. Each case was assessed individually and required the submission of evidence of registration in the first state. Mutual recognition legislation, first introduced by the Commonwealth in 1992 and subsequently adopted by the states and territories, has in part facilitated the process of registration from one state to another but is well short of a national registering authority. The main principle of the legislation is that a person registered in one state is entitled to be registered in another state for the equivalent occupation (section 17 Mutual Recognition Act 1992 (Commonwealth [Cth])). If any conditions are placed on practice, or the registration of a nurse or midwife is cancelled or suspended in one state following a disciplinary hearing, the person’s registration in another state is similarly affected. However, the other state may vary or waive any conditions set in the first state if this is considered appropriate given the circumstances (section 33 Mutual Recognition Act 1992 (Cth)). With the implementation of the national registration scheme it will no longer be necessary to register in each state and territory.
Midwifery regulation in New Zealand
Nurses Act 1977
The Nurses Act 1977 was the governing legislation for nurses and midwives in New Zealand until 2003 and it established the Nursing Council of New Zealand as the statutory body. It was the role of the Nursing Council, among other things, to regulate registration of local and overseas nurses and midwives, issue annual practising certificates, approve educational programs, and investigate and hear complaints against nurses and midwives as part of its disciplinary function.
The regulation of midwives was transferred from the Nursing Council to the Midwifery Council of New Zealand as a result of the Health Practitioners Competence Assurance Act 2003 (HPCAA). This legislation repealed the Nurses Act 1977, and other healthcare professional legislation, and established the Midwifery Council as the responsible authority to regulate the practice of midwifery.
Nurses Amendment Act 1990
Before considering the HPCAA in more detail, it is useful to briefly reflect on the enactment of the Nurses Amendment Act 1990, as the passing of this Act represented a major victory for midwives and women in New Zealand. Prior to this Amendment Act, the requirement for a doctor to oversee maternity care and be present at every birth meant that women were limited in the type of care they could access. Women who wanted to birth at home struggled to find a doctor willing to attend the birth. The 1990 Amendment Act removed the medical monopoly on maternity care and as a consequence enabled greater choice for women about who cared for them during pregnancy and birth, and where they gave birth.
This was a socially and internationally unique statement. It represented an affirmation by government of the importance of natural childbirth and provided a statutory recognition that midwives were appropriate caregivers for women experiencing normal birth.
Health Practitioner’s Competence Assurance Act 2003
Prior to the HPCAA, there were 11 recognised autonomous healthcare professions in New Zealand; each being regulated by their own governing body under separate pieces of legislation. Midwives were regulated, in a legal sense, under the auspices of the Nursing Council of New Zealand, which in turn derived its authority from the Nurses Act 1977. The introduction of the HPCAA established four new autonomous healthcare professions and their respective councils, including the ‘profession of midwifery’ and the ‘Midwifery Council’ (section 114 HPCAA). It is perhaps the world’s first, if not only, legislation that recognises midwifery as completely separate from nursing and medicine in terms of regulation. This sea-change came about partly because of political acceptance that childbirth was not an ‘illness’ but a natural and normal life event; that many midwives in New Zealand were already practising independently under a ‘continuity of care model’; and that midwives were a cohesive workforce that was professionally well supported through bodies such as the New Zealand College of Midwives.
All governing bodies of all healthcare professions are now termed ‘responsible authorities’ (section 2 HPCAA). Each responsible authority is ‘appointed in respect of the profession’ to be ‘responsible for the registration and oversight of practitioners’ of its particular profession. All responsible authorities must operate under the same provisions and procedures of the HPCAA to ensure there is ‘a consistent accountability regime for all health professions’ (section 3 HPCAA). The principal purpose of the Act is ‘to protect the health and safety of members of the public by providing mechanisms to ensure that health practitioners are competent and fit to practise their professions’ (section 3 HPCAA). It is the legal obligation of the Midwifery Council to promote the Act’s purpose when carrying out its activities. The Midwifery Council website (listed in the online resources at the end of this chapter) contains detailed information on its functions.
Midwives or those seeking to be midwives are accountable under various sections of the HPCAA, and it is recommended that practitioners or those seeking to practise obtain a copy of the legislation and have a working knowledge of its main provisions, as it is the primary legislative framework for the profession. An overview, which is not intended to be exhaustive, of some of the HPCAA’s provisions that affect midwives is set out in Box 13.1.
Box 13.1 Overview of the HPCAA
Section of the HPCAA
7. Criminal offence to claim to be an HP if not registered (fine up to NZ$10,000)
8. Prohibition against practising unless HP has Annual Practising Certificate issued by RA
9. Criminal offence to practise a ‘restricted activity’ without authority (fine up to NZ$30,000)
11–12 Requirement that RA consult, then prescribe scope of practice and qualifications for scope of practice including for overseas HPs coming to New Zealand, and that RA publish such information on the internet
15–16 May register HP who is ‘fit for registration’ (see section 16); has qualifications and is competent
16. Meaning of ‘fit for registration’
22. RA may authorise limited scope of practice of individual HP or impose conditions or supervision
23. RA registering or declining to register an HP
26–33 Issuing, declining or placing restrictions on a PC; surrendering PC
34. Describes only reason whereby one HP may notify RA of belief that another HP may pose a risk of harm to the public i.e. ‘practising below required standard of competence’
36. The circumstances under which RA may review HP’s competence
38. The various orders that RA can make following review of competence—that HPs undergo competence program; or sit exam/assessment; or have conditions placed on practice; or be counselled or assisted
39. The circumstances where RA may order on short notice that HP’s PC be suspended or have conditions imposed
41. MC authorised to establish a re-certification process
42. Obligation on HPs to make clinical records available to RA if requested on competence review or re-certification program
44. Criminal offence for any person to improperly disclose any information obtained from competence review or re-certification (fine up to NZ$10,000)
45. Obligation imposed on HP to notify RA if HP believes another HP is unable to perform professional duties due to mental or physical condition
47. et seq Process for RA and HP where HP’s health condition (under section 45) is in question—intended to be supportive of midwife
54–63 Describes purpose and rules governing Quality Assurance Activities
64. Requirement that RA forward to HDC any complaint alleging that the practice or conduct of an HP has affected a healthcare consumer
65. Requirement that RA consider what action to take when HDC refers complaint to RA concerning an HP
66. et seq Sets out the disciplinary process—referral of complaints and notices of convictions to the PCC for investigation/hearing
67. If HP has been convicted of certain types of offences, then court must notify RA of same—includes all offences potentially carrying term of imprisonment of over 3 months (whether or not HP actually imprisoned), plus other specified acts
80. Specifies the various determinations and recommendations a PCC can make following a hearing, including that a charge be brought against the HP before the HPDT
84. et seq Sets out the process for the laying and hearing of charges before the HPDT
95. Criminal offence to breach a name or other suppression order of the HPDT (NZ$10,000)
101. Specifies the various disciplinary orders the HPDT can make, including cancellation or suspension of registration; supervision; practice upon conditions; fine up to NZ$30,000; censure; and/or payment towards costs of the legal proceedings
136. Requirement that RA maintain a public register
172. Criminal offence to knowingly make false declaration or false representation to RA, HPDT or PCC (fine up to NZ$10,000)
OTHER STATUTES THAT PROTECT PUBLIC SAFETY
Complaint procedures and professional negligence in Australia
Professional negligence
Negligence is part of tort law, which seeks to compensate persons injured through an act or omission of another. The purpose of this is to put the person in the position they would have been in had they not been injured (Forrester & Griffiths 2005).
Civil liabilities legislation has been enacted in the states and territories in response to the so-called medical insurance crisis (Skene 2008). Legislation now provides for a statutory basis for the principles of negligence, which were based on common-law principles. In negligence, the plaintiff must prove that a duty of care was owed, that there was a breach in the duty of care—that is, the standard of care fell below that of an ordinary reasonable midwife given the circumstances—and that the damage or injury was a reasonably foreseeable consequence of that breach.
The statutory duty of care is identified in section 5B of the Civil Liability Act 2002, WA; similar provisions exist in other jurisdictions within Australia.
(1) A person is not liable for harm caused by that person’s fault in failing to take precaution against a risk of harm unless—
(2) In determining whether a reasonable person would have taken precautions against a risk of harm, the court is to consider the following (amongst other relevant things)—
To prove causation the plaintiff must prove that the breach of duty by the defendant caused the injury. In other words, it cannot be too remote. The traditional test in Australia has been the ‘but for’ test—expressed as ‘would the plaintiff’s injury or loss have occurred “but for” the defendant’s negligent act or omission’ (Skene 2008). Civil liabilities legislation now requires a factual causation; that is, whether the harm was caused by the negligence and whether ‘it is appropriate to extend the scope of the tortfeasor’s (defendant’s) liability to the harm so caused (scope of liability)’ (s5C Civil Liability Act 2002, WA).
The plaintiff always bears the onus of proof, according to the civil standard of proof; namely, on the balance of probabilities (s5D Civil Liability Act 2002, WA).
Health complaints authorities in Australia
Each state and territory has an independent healthcare complaints body, set up under specific legislation to deal with complaints about healthcare providers and services (see Table 13.2). The healthcare complaints authorities are in recognition of an increase in patients’ rights (McIlwraith & Madden 2006) and in acknowledgement that it may not be appropriate to take every grievance through the courts.
Legislation | Complaints body |
---|---|
Human Rights Commission Act 2005, ACT | Human Rights Commission |
Health and Community Services Complaints Act 1998, NT | Health and Community Services Complaints Commission |
Health Quality and Complaints Commission Act 2006, Qld | Health Quality and Complaints Commission |
Health and Community Services Complaints Act 2004, SA | Health and Community Services Complaints Commission |
Health Complaints Act 1995, Tas | Health Complaints Commission |
Health Care Complaints Act 1993, NSW | Health Care Complaints Commission (HCCC) |
Health Services (Conciliation and Review) Act 1987, Vic | Health Services Commissioner |
Health Services (Conciliation and Review) Act 1995, WA | Office of Health Review |
An aggrieved patient may choose not to purse litigation through the courts. The process is time-consuming, expensive and stressful whether or not the case proceeds to court. An alternative means of resolution is through a healthcare complaints authority, where the patient can make a complaint about the healthcare provider. The legislation varies from jurisdiction to jurisdiction, but in general the aim of the legislation is to provide an independent body for the resolution of complaints between healthcare consumers and providers.
Complaint procedures and professional negligence in New Zealand
The ACC regime, however, required (and still requires) proof of some physical or mental injury and, in the absence of such injury, consumers were not generally enabled to complain about service quality until the introduction of the Health and Disability Commissioner Act 1994. Now, in New Zealand, it is the statutory right of every consumer of a healthcare or disability service to complain about a provider in any form appropriate to the consumer according to the Code of Health and Disability Services Consumers’ Rights (the Code). Accordingly, every healthcare provider must also have a complaints procedure that complies with the Code. The healthcare professional concerned is required to ‘facilitate the fair, simple, speedy, and efficient resolution of complaints’. Towards that end, the midwife must follow a timetable for response and consideration of the complaint. The midwife must also inform the consumer of any internal and external complaints procedures, including the availability of the Health and Disability Commissioner (HDC) and independent advocates appointed under the Health and Disability Commissioner Act 1994. (The full text of the Code is set out in Box 13.3, later in this chapter.)
Box 13.2 NZCOM advice on responding to a complaint
• Contact the NZCOM Legal Advisor at the earliest possible opportunity and before you provide any written information to any agency.
• The clinical records are vitally important—review them immediately after the event, and as soon as possible make additional notated retrospective entries if necessary. Always date and sign your entries and identify them as retrospective. Ask your colleagues to review the records for you.
• Write down your detailed reflections (thoughts) and account of the case as soon as possible after the case in a separate private record. Sign and date this record and keep it in a safe place.
• Seek the support of your colleagues so you can take time out if you need to and have additional support in your practice for as long as you need it.
• Seek the support of your family and friends to make sure you get the necessary emotional support.
• Ensure that the woman receives ongoing midwifery care.
• Consider any NZCOM Resolutions if the family wants assistance to resolve any issues.
• NZCOM provides a professional framework, systems and structures to support you.
• Consider taking an NZCOM Special Review of the case; or review with peers, that is other health professionals.
• It may be some time (if at all) before you are held to account for your practice in relation to this case.
The majority of midwives, not surprisingly perhaps, find being the subject of a complaint stressful and, in line with how other healthcare professionals react, may commonly experience such feelings as shame, guilt, anger and depression and fear as to the consequences to them both professionally and financially. A complaint can take months if not years to be resolved, and the same complaint may receive multiple airings or investigations under different jurisdictions—all adding to the responsibilities for the midwife concerned. While the legal processes themselves may create professional responsibilities (such as the need to consult lawyers, draft written statements, attend meetings or appear in court), providing that appropriate professional indemnity insurance is in place and legal advice sought at an early stage, it is important to put the potential consequences into perspective. Figures from the New Zealand College of Midwives’ 2008 Annual Report (NZCOM 2008a), which comprise statistics for over 90% of the midwifery workforce including most self-employed practitioners, indicate the number of cases dealt with by the legal section to be small in relation to the number of midwifery transactions occurring:
Of the 1292 complaints received by the HDC for the year ended June 2008 in respect of all 15 healthcare professions, only 100 led to a formal investigation of which 59% were found to be in breach of the Code (HDC 2008). In the period 2004–2008, two midwives had charges of professional misconduct proven against them; neither, in the event, was de-registered. As is often the case in professional negligence claims, matters will often only become this serious when the healthcare professional practises in isolation; is not an active member of a professional organisation such as NZCOM; has not ensured that professional indemnity cover is maintained; or does not accept or recognise the nature of the problem and seek collegial or legal assistance. Without minimising the effect of complaints on a practitioner, and recognising that there are instances where unfortunate outcomes may ensue if the practitioner is not well guided and represented, the medico-legal environment in New Zealand can still be said to be relatively benign, compared with that in many countries. Certainly, it is the opinion of the Office of the Health and Disability Commissioner that:
[There is a] growing recognition in New Zealand and internationally that patient safety is best promoted by focusing on the systems that contribute to adverse events, and learning from mistakes. Rather than seeking to ‘name, blame, and shame’ individual practitioners (in disciplinary or court proceedings), the new approach has been to ‘compensate and rehabilitate injured patients (under the treatment injury’ cover provisions of the revised accident compensation legislation), attempt to resolve complainants’ concerns (by informal meetings, involvement of patient advocates, and formal mediation in a few cases), and prevent recurrences by recommendations to improve individual and system performance. Practitioners have been encouraged to ‘openly disclose’ their mistakes. Legal protection for approved ‘quality assurance activities’, together with a generally benign approach of health sector employers and regulatory authorities, should give practitioners reasonable confidence that they will not be punished for their mistakes. (HDC 2006)
Most midwives will seek legal advice when they first become aware of a complaint, or when they anticipate that a complaint may arise. Prompt notification of complaints is a condition of most professional indemnity insurance policies, to ensure that the complaint is appropriately managed from an early stage. Low-level resolution of the complaint is the preferred outcome for any provider. Resolution avenues such as prompt and appropriate direct communication, the NZCOM Complaints Resolution Service or the nationwide Health and Disability Advocacy Service should be considered.
Legal standards of care
Standard of care—civil cases
The general standard is variously described as whether the care was ‘adequate’ or what the majority of midwives would consider as ‘reasonable care in the circumstances’. What is ‘adequate’ or ‘reasonable’ in any given situation may give rise to debate. Deciding bodies such as the HDC, Coroner and ACC are not usually clinically qualified to assess the appropriateness of care and they will often refer such questions to individual experts. The Midwifery Council has its own expertise, however, and does not need to seek outside opinion. It is generally the case that expert midwives will comment on midwifery care; however, obstetric opinion is sometimes taken into account or followed. Tensions can sometimes arise when midwifery and obstetric experts disagree on what is ‘reasonable care’, as was highlighted in 2008 by the HDC when, in a case involving a remote rural birth, he stated:
It seems that obstetricians (who take a risk-averse, interventionist approach) and midwives (who take a less interventionist approach, to allow the normal physiological process of labour to proceed) do not agree on what is reasonable care in this type of situation. The differing philosoply and practice is evident in the approach to key issues in this case, including the frequency of fetal heart monitoring (given the long labour and the presence of meconium-stained liquor) and the timing of the decision to transfer to secondary services… It is a curious situation where ACC accepts that the midwife’s delay amounted to ‘poor practice’, but midwifery advisors describe the same care as ‘reasonable’ and ‘close and appropriate’. (HDC 2008b)
The Commissioner chose to accept the expert midwife’s opinion in this instance, but that may not always be the case and Coroners still regularly refer to obstetric opinion in cases involving midwives.
The primary references for determining whether care was reasonable are:
• competencies as prescribed for entry on the Register of Midwives (Midwifery Council of New Zealand 2007)
• skills and participation as required by the Recertification Programme (Midwifery Council of New Zealand 2008)
• NZCOM Code of Ethics (NZCOM 2008a; see also Ch 14)
• NZCOM Midwives Handbook for Practice guidelines (NZCOM 2008b)
• NZCOM consensus statements (NZCOM 2003)
• Section 88 Public Health and Disability Act 2000
• District Health Board or any national protocols
• Code of Health and Disability Services Consumers’ Rights (for HDC complaints) (Box 13.3).
Box 13.3 The Code of Health and Disability Services Consumers’ Rights
1. Consumers have Rights and Providers have Duties:
1. Every consumer has the rights in this Code.
2. Every provider is subject to the duties in this Code.
3. Every provider must take action to:
The rights of consumers and the duties of providers under this Code are as follows:
RIGHT 1. Right to be Treated with Respect
1. Every consumer has the right to be treated with respect.
2. Every consumer has the right to have his or her privacy respected.
3. Every consumer has the right to be provided with services that take into account the needs, values, and beliefs of different cultural, religious, social, and ethnic groups, including the needs, values, and beliefs of Māori.