Code of Conduct

for optometrists
Code of conduct for optometrists

Contents
Overview 1

Australia and Australian

health care 1

Substitute decision makers 1

Code of conduct 2

1 Providing good care 2

2 Working with patients 3

3 Working with other practitioners 6

4 Working within the health care system 6

5 Minimising risk 7

6 Maintaining professional performance 7

7 Professional behaviour 8

8 Ensuring health 10

9 Teaching, supervising and assessing 11

10 Undertaking research 11
Code of conduct for optometrists

Good relationships with colleagues and other health

Overview practitioners strengthen the optometrist–patient
This Code of Conduct (Code) seeks to assist and support relationship and enhance care.
optometrists to deliver effective health services within an
Optometrists have a responsibility to contribute to the
ethical framework. Optometrists have a duty to make the
effectiveness and efficacy of the health care system.
care of patients their first concern and to practise safely
and effectively. Maintaining a high level of professional Minimising risk to patients is a fundamental component
competence and conduct is essential for good care. of practice. Good practice involves understanding and
applying the key principles of risk minimisation and
The Code contains important standards for optometrists’
management to practice.
behaviour in relation to:
Maintaining and developing an optometrist’s knowledge,
• providing good care, including shared decision making
skills and professional behaviour are core aspects of good
• working with patients practice.
• working with other health practitioners Teaching, supervising and mentoring practitioners and
• working within the health care system students is important for their development, and for the
care of patients. It is part of good practice to contribute
• minimising risk to these activities and provide support, assessment,
• maintaining professional performance feedback and supervision for colleagues, optometrists in
training and students.
• professional behaviour and ethical conduct
• ensuring practitioner health
Australia and Australian
• teaching, supervising and assessing. health care
Making decisions about health care is the shared Australia is culturally diverse. We inhabit a land that,
responsibility of the optometrist and the patient (or their for many ages, was held and cared for by Indigenous
representative). Australians, whose history and culture have uniquely
Relationships based on openness, trust and good shaped our nation. Our society is further enriched by the
communication will enable optometrists to work in contribution of people from many nations who have made
partnership with their patients. An important part Australia their home.
of the optometrist–patient relationship is effective Optometrists in Australia reflect the cultural diversity of our
communication. society and this diversity strengthens our profession.
Optometrists have ethical and legal obligations to protect There are many ways to practise optometry in Australia.
the privacy of people requiring and receiving care. Patients Optometrists have critical roles in caring for people who
have a right to expect that optometrists and their staff require eye health care. This Code focuses on these roles.
will hold information about them in confidence, unless For optometrists with roles that involve little or no contact
information is required to be released by law or public with patients, not all of this Code may be relevant, but the
interest considerations. underpinning principles will still apply.
Optometrists need to obtain informed consent for the
care that they provide to their patients. Caring for children Substitute decision makers
and young people brings additional responsibilities for
optometrists. There are several conditions or situations in which
patients may have limited competence or capacity to
Good practice involves genuine efforts to understand the make independent decisions about their eye health care;
cultural needs and contexts of different patients to obtain for example, people with dementia or acute conditions
good health outcomes. Optometrists need to be aware that temporarily affect competence and children or young
that some patients have additional needs and modify their people (depending on their age and capacity — see
approach appropriately. Section 2.5 ‘Informed consent’).
When adverse events occur, optometrists have a In this Code, reference to the terms ‘patient’ also includes
responsibility to be open and honest in communication substitute decision makers for patients who do not have
with patients to review what has occurred. the capacity to make their own decisions. These can be
parents or a legally appointed decision maker. If in doubt,
In some circumstances, the relationship between an
seek advice from the relevant guardianship authority.
optometrist and a patient may become ineffective or
compromised and may need to end.

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Code of conduct for optometrists

(k) making responsible and effective use of the

Code of conduct resources available (see Section 4.2 ‘Wise use of
health care resources’)
1 Providing good care
(l) ensuring that an optometrist’s personal views do
1.1 Introduction
not adversely affect the care of a patient.
For optometrists in clinical practice, the care of the patient
1.3 Shared decision making
is the primary concern. Providing good care includes:
Making decisions about health care is the shared
(a) assessing the patient, taking into account his or
responsibility of the treating optometrist and the patient.
her history, views and an appropriate physical
Patients may wish to involve their family, carer(s) or others.
examination where relevant; history includes
relevant psychological, social and cultural aspects 1.4 Decisions about access to care

(b) formulating and implementing a suitable An optometrist’s decisions about access to care need
management plan (including providing treatment to be free from bias and discrimination. Good practice
and advice and, where relevant, arranging involves:
investigations and liaising with other treating
practitioners) (a) treating patients with respect at all times

(c) facilitating coordination and continuity of care (b) not prejudicing the care of a patient because the
optometrist believes that the behaviour of the
(d) referring a patient to another practitioner when this patient has contributed to his or her condition
is in the best interests of the patient
(c) upholding the duty to the patient and not
(e) recognising and respecting the rights of patients to discriminating on grounds irrelevant to health care,
make their own decisions. including race, religion, sex, disability or other
grounds specified in antidiscrimination legislation
1.2 Good care
(d) investigating and treating patients on the basis of
Maintaining a high level of professional competence and
clinical need and the effectiveness of the proposed
conduct is essential for good care. Good practice involves:
investigations or treatment and not providing
(a) recognising and working within the limits of an unnecessary health services
optometrist’s competence and scope of practice
(e) keeping optometrists and their staff safe when
(b) maintaining adequate knowledge and skills to caring for patients; action should be taken to
provide safe and effective care protect optometrists and their staff if a patient
poses a risk to the health or safety of the
(c) encouraging patients to take interest in and optometrist or their staff, but such a patient should
responsibility for the management of their health not be denied care, if reasonable steps can be
and supporting them in this taken to keep optometrists and their staff safe
(d) maintaining adequate records (see Section 7.4 (f) being aware of an optometrist’s right to not provide
‘Health records’) or participate directly in treatments to which he
(e) considering the balance of benefit and harm in all or she conscientiously objects, informing patients
clinical management decisions and, if relevant, colleagues of the objection and not
using the objection to impede access to treatments
(f) communicating effectively with patients (see that are legal
Section 2.3 ‘Effective communication’)
(g) not allowing an optometrist’s moral or religious
(g) providing treatment options based on the best views to deny patients access to health care,
available information recognising that an optometrist is free to decline to
provide or participate personally in that care.
(h) taking steps to alleviate patient symptoms and
distress whether or not a cure is possible 1.5 Treatment in emergencies
(i) supporting the right of patients to seek a second Treating patients in emergencies requires optometrists
opinion to consider a range of issues in addition to the provision
of best care. Good practice involves offering assistance
(j) consulting and taking advice from colleagues when
in an emergency that takes account of the optometrist’s
appropriate
own safety, skills, the availability of other options and the

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Code of conduct for optometrists

impact on any other patients under the optometrist’s care (c) informing patients of the nature of and need for all
and continuing to provide that assistance until services are aspects of their clinical care, including examination
no longer required. and investigations and giving them adequate
opportunity to question or refuse intervention and
2 Working with patients treatment

2.1 Introduction (d) discussing with patients their condition and the
available health care options, including their
Relationships based on openness, trust and good nature, purpose, possible positive and adverse
communication will enable optometrists to work in consequences, limitations and reasonable
partnership with their patients. alternatives wherever they exist
2.2 Partnership (e) endeavouring to confirm that a patient understands
A good partnership between an optometrist and the what an optometrist has said
person he or she is caring for requires high standards of (f) ensuring that a patient is informed of the material
personal conduct. This involves: risks associated with any part of a proposed
(a) being courteous, respectful, compassionate and management plan
honest (g) responding to the questions of patients and
(b) treating each patient as an individual keeping them informed about their clinical progress

(c) protecting the privacy and right to confidentiality of (h) making sure, wherever practical, that arrangements
patients, unless release of information is required are made to meet the specific language, cultural
by law or by public interest considerations and communication needs of patients and being
aware of how these needs affect understanding
(d) encouraging and supporting patients and, when
relevant, their carer(s) or family in caring for (i) being familiar with, and using wherever necessary,
themselves and managing their health qualified language interpreters or cultural
interpreters to help meet the communication needs
(e) encouraging and supporting patients to be well of patients including those who require assistance
informed about their health and assisting patients because of their English skills or because they are
to make informed decisions about their health care speech or hearing impaired. Wherever possible,
activities and treatments by providing information optometrists should use trained translators and
and advice to the best of an optometrist’s ability interpreters rather than family members or other
and according to the stated needs of patients staff. Information about government-funded
interpreter services is available on the Australian
(f) respecting the right of patients to choose whether
Government Department of Immigration and
or not they participate in any treatment or accept
Citizenship website (http://www.immi.gov.au).
advice
2.4 Confidentiality and privacy
(g) recognising that there is a power imbalance in
the optometrist–patient relationship and not Optometrists have ethical and legal obligations to protect
exploiting patients physically, emotionally, sexually the privacy of people requiring and receiving care. Patients
or financially (see also Section 7.2 ‘Professional have a right to expect that optometrists and their staff
boundaries’ and Section 7.12 ‘Financial and will hold information about them in confidence unless
commercial dealings’). release of information is required by law or public interest
considerations. Good practice involves:
2.3 Effective communication
(a) treating information about patients as confidential
An important part of the optometrist–patient relationship is
effective communication. This involves: (b) seeking consent from patients before disclosing
information where practicable
(a) listening to patients, asking for and respecting their
views about their health and responding to their (c) being aware of national privacy laws and the State
concerns and preferences and Territory privacy laws in which the optometrist
practises
(b) encouraging patients to tell optometrists about
their condition and how they are managing it, (d) sharing information appropriately about patients for
including any alternative or complementary their health care, consistent with privacy legislation
therapies they are using and professional guidelines about confidentiality

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Code of conduct for optometrists

(e) where relevant, being aware that there are complex attempting to obtain the consent of the patient
issues relating to genetic information and seeking as far as practically possible when working with a
appropriate advice about disclosure of such patient whose capacity to give consent is or may
information be impaired or limited.

(f) providing appropriate surroundings to enable 2.7 Children and young people
private and confidential consultations and
Caring for children and young people brings additional
discussions to take place
responsibilities for optometrists. Good practice involves:
(g) ensuring that all staff are aware of the need
(a) placing the interests and wellbeing of the child or
to respect the confidentiality and privacy of
young person first
patients, and refrain from discussing patients in a
nonprofessional context. (b) considering the capacity of the child or young
person for decision making and consent; in
2.5 Informed consent
general, where an optometrist judges that a person
Informed consent is a person’s voluntary decision is of a sufficient age and of sufficient mental and
about health care that is made with knowledge and emotional capacity to give consent to a service,
understanding of the benefits and risks involved.1 Good he or she should be able to request and provide
practice involves: informed consent to receive services without
the consent of a parent, guardian or other legal
(a) providing information to patients in a way they can
representative
understand before asking for their consent
(c) ensuring that, when communicating with children
(b) obtaining informed consent or other valid
or young people, optometrists
authority before undertaking any examination or
investigation, providing treatment (this may not be • treat them with respect and listen to their
possible in an emergency) or involving patients in views
teaching or research
• encourage questions and answer their
(c) when working with a patient whose capacity to questions to the best of an optometrist’s
give consent is or may be impaired or limited, ability
obtaining the consent of persons with legal
• provide information in a way they can
authority to act on behalf of the patient and
understand
attempting to obtain the consent of the patient as
far as practically possible. • recognise the role of parents and, when
appropriate, encourage children and young
2.6 Informed financial consent
people to involve their parents in decisions
Informed financial consent is a person’s voluntary about their care
decision about health care that is made with knowledge
• are alert to children and young people
and understanding of the costs involved. Good practice
who may be at risk and notify appropriate
involves:
authorities as required by law.
(a) providing information on costs likely to be incurred
2.8 Culturally safe and sensitive practice
in the delivery of a health service in a way that the
patient can understand Good practice involves genuine efforts to understand the
cultural needs and contexts of different patients to obtain
(b) obtaining informed financial consent or any other
good health outcomes. This includes:
valid authority before undertaking any examination,
investigation or treatment provision (this may not (a) having knowledge of, respect for, and sensitivity
be possible in an emergency) towards the cultural needs of the community
optometrists serve, including those of Indigenous
(c) advising the patient that there may be additional
Australians and those from culturally and
costs, which he or she may wish to clarify
linguistically diverse backgrounds
before proceeding, when referring a patient for
investigation or treatment (b) acknowledging the social, economic, cultural and
behavioural factors influencing health, both at
(d) obtaining the consent of persons with legal
individual and population levels
authority to act on behalf of the patient and

1. A useful guide to the information that practitioners need to give to patients is available in the NHMRC publication General Guidelines for Medical Practitioners in
Providing Information to Patients (www.nhmrc.gov.au).
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Code of conduct for optometrists

(c) understanding that an optometrist’s own culture (g) reporting adverse events to the relevant authority
and beliefs influence his or her interactions with as required (see Section 5 ‘Minimising risk’)
patients
(h) ensuring patients have access to information about
(d) adapting practice to improve engagement with the processes for making a complaint; for example,
patients and health care outcomes. through the Optometry Board of Australia (the
Board) or a health care complaints commission.
2.9 Patients who may have additional needs
2.12 When a notification is made
Some patients (including those with impaired decision-
making capacity) have additional needs. Good practice in Patients have a right to complain about their care. When a
managing the care of these patients includes: notification is made, good practice involves:

(a) paying particular attention to communication (a) acknowledging the person’s right to complain

(b) being aware that increased advocacy may be (b) working with the person to resolve the issue where
necessary to ensure just access to health care possible

(c) recognising that there may be a range of people (c) providing a prompt, open and constructive
involved in their care, such as carers, family response including an explanation and, if
members or a guardian, and involving them when appropriate, an apology
appropriate
(d) ensuring the notification does not affect the
(d) being aware that these patients may be at greater person’s care adversely; in some cases, it may be
risk. advisable to refer the person to another practitioner

2.10 Relatives, carers and partners (e) complying with relevant complaints legislation,
policies and procedures.
Good practice involves:
2.13 Ending a professional relationship
(a) being considerate to relatives, carers, partners and
others close to the patient and respectful of their In some circumstances, the relationship between an
role in the care of the patient optometrist and a patient may become ineffective or
compromised, and the optometrist may need to end
(b) being responsive in providing information, with
it. Good practice involves ensuring that the patient is
appropriate consent.
adequately informed of the decision and facilitating
2.11 Adverse events arrangements for the continuing care of the patient,
including passing on relevant clinical information.
When adverse events occur, optometrists have a
responsibility to be open and honest in communication 2.14 Personal relationships
with patients, to review what has occurred and to report
Providing care to close friends, work colleagues and
appropriately. When something goes wrong, good practice
family members may be inappropriate because of the
involves:
lack of objectivity, possible discontinuity of care, and risks
(a) acknowledging what has happened to the optometrist and patient. Good practice requires
recognition and careful management of these issues.
(b) acting immediately to rectify the problem, if
possible, including seeking any necessary help and 2.15 Closing or relocating a practice
advice
Registered health practitioners have obligations under
(c) explaining to patients as promptly and fully as State and Territory legislation to keep records for specified
possible what has happened and the anticipated minimum periods. In general, health records should be
short-term and long-term consequences retained for a sufficient period so that the safety and
effectiveness of future treatment is not compromised
(d) acknowledging any distress of patients and by the loss of health information, and information can
providing appropriate support be made available to courts and assessors reviewing
(e) complying with any relevant policies, procedures the practice of a practitioner. Other legislation or a
and reporting requirements subject to advice from practitioner’s indemnity insurer may require practitioners to
the optometrist’s professional indemnity insurer retain records beyond the specified periods.

(f) reviewing adverse events and implementing Optometrists must comply with legislative requirements
changes to reduce the risk of recurrence (see about health records as relevant to the practise of their
Section 5 ‘Minimising risk’) profession and consider what arrangements need to be in

5
Code of conduct for optometrists

place in the event of death or retirement. In disposing of the overall management of the patient and for the
health records, optometrists should be mindful of patients’ decision to delegate
rights to privacy and confidentiality under the relevant
(c) always communicating sufficient information about
laws and this Code (see Section 2.4 ‘Confidentiality and
the patient and the treatment needed to enable the
privacy’).
continuing care of the patient.
2.16 Working with multiple patients
3.4 Teamwork
Optometrists should treat patients in group work only
Many optometrists work closely with a wide range of
when it is suitable treatment for the patient.
other practitioners. The care of patients is improved
In providing group treatment, optometrists should be when there is mutual respect and clear communication
mindful of the patients’ rights to privacy and confidentiality as well as an understanding of the responsibilities,
under the relevant laws and this code of conduct (see capacities, constraints and ethical codes of each other’s
Section 2.4 ‘Confidentiality and privacy’). health professions. Working in a team does not alter a
practitioner’s personal accountability for professional
3 Working with other practitioners conduct and the care provided. When working in a team,
good practice involves:
3.1 Introduction
(a) understanding a practitioner’s particular role in
Good relationships with colleagues and other practitioners the team and attending to the responsibilities
strengthen the practitioner–patient relationship and associated with that role
enhance care of patients.
(b) advocating for a clear delineation of roles and
3.2 Respect for colleagues and other practitioners responsibilities, including that there is a recognised
Good care is enhanced when there is mutual respect and team leader or coordinator
clear communication between all practitioners involved in (c) communicating effectively with other team
the care of the patient. Good practice involves: members
(a) communicating clearly, effectively, respectfully and (d) informing patients about the roles of team
promptly with colleagues and other practitioners members
caring for the patient
(e) acting as a positive role model for team members
(b) acknowledging and respecting the contribution of
all practitioners involved in the care of the patient. (f) understanding the nature and consequences of
bullying and harassment, and seeking to eliminate
3.3 Delegation, referral and handover such behaviour in the workplace.
‘Delegation’ involves a practitioner asking another 3.5 Coordinating care with other practitioners
practitioner to provide care on behalf of the first
practitioner who retains overall responsibility for the care Good patient care requires coordination between all
of the patient. ‘Referral’ involves sending a patient to treating practitioners. Good practice involves:
obtain an opinion or treatment from another practitioner
(a) communicating all the relevant information in a
and usually involves the transfer (in part) of responsibility
timely way
for the person’s care for a defined time and a particular
purpose, such as care that is outside the first practitioner’s (b) ensuring that it is clear to the patient, the family
expertise or scope of practice. ‘Handover’ is the process and colleagues who has ultimate responsibility for
of transferring all responsibility to another practitioner. coordinating the care of the patient.

Good practice involves:

4 Working within the health care
(a) taking reasonable steps to ensure that the person system
to whom a practitioner delegates, refers or hands
over has the qualifications, experience, knowledge 4.1 Introduction
and skills to provide the care required Optometrists have a responsibility to contribute to the
(b) understanding that although a delegating effectiveness and efficiency of the health care system.
practitioner will not be accountable for the 4.2 Wise use of health care resources
decisions and actions of those to whom he or
she delegates, he or she remains responsible for It is important to use health care resources wisely. Good
practice involves:

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Code of conduct for optometrists

(a) not providing or arranging for unnecessary services (f) taking all reasonable steps to address the issue if
there is reason to think that the safety of patients
(b) upholding the right of patients to gain access to
may be compromised.
the necessary level of health care and whenever
possible helping them to do so 5.3 Practitioner performance
(c) supporting the transparent and equitable allocation The welfare of patients may be put at risk if an optometrist
of health care resources is performing poorly. If there is a risk, good practice
(d) understanding that the use of resources can affect involves:
the access other patients have to health care (a) complying with statutory reporting requirements,
resources. including those under the National Law3
4.3 Public health
(b) recognising and taking steps to minimise the
Optometrists have a responsibility to promote the health risks of fatigue, including complying with relevant
of the community through disease prevention and control, State and Territory occupational health and safety
education and, where relevant, screening. Good practice legislation
involves:
(c) following the guidance in Section 8.2 ‘Personal
(a) understanding the principles of public health, health’ if an optometrist knows or suspects that he
including health education, health promotion, or she has a health condition that could adversely
disease prevention, and control and screening affect judgement or performance
(b) participating in efforts to promote the health of (d) taking steps to protect patients from risk of being
the community and being aware of the obligations placed at harm posed by a colleague’s conduct,
of optometrists in disease prevention, including practice or ill health
screening and reporting notifiable diseases where
relevant. (e) taking appropriate steps to assist a colleague
to receive help if there are concerns about a
5 Minimising risk colleague’s performance or fitness to practise

5.1 Introduction (f) seeking advice from an experienced colleague,

employer(s), practitioner health advisory services,
Risk is inherent in health care. Minimising risk to patients professional indemnity insurers, the Board or
is an important component of practice. Good practice Optometrists Association Australia, or other
involves understanding and applying the key principles of professional association if an optometrist is not
risk minimisation and management in practice. sure what to do.

5.2 Risk management

6 Maintaining professional
Good practice in relation to risk management involves: performance
(a) being aware of the principles of open disclosure 6.1 Introduction
and a nonpunitive approach to incident
management3 Maintaining and developing knowledge, skills and
professional behaviour are core aspects of good practice.
(b) participating in systems of quality assurance and
improvement Self-reflection and participation in relevant professional
development, practice improvement and performance
(c) participating in systems for surveillance and
appraisal processes to develop continually an
monitoring of adverse events and ‘near misses’,
optometrist’s professional capabilities is essential and
including reporting such events
must continue through his or her working life to meet the
(d) making sure that systems are in place for raising demands of scientific, technological and societal changes.
concerns about risks to patients (if an optometrist
6.2 Continuing professional development
has management responsibilities)
(e) working in practice and within systems to reduce Development of knowledge, skills and professional
error and improve patient safety, and supporting behaviour must continue throughout an optometrist’s
colleagues who raise concern about the safety of working life.
patients

2
A useful reference is the Australian Commission on Safety and Quality in Health Care’s National Open Disclosure Standard available at
www.safetyandquality.gov.au)
3
the National Law is contained in the schedule to the Health Practitioner Regulation National Law Act 2009 (Qld). 7
Code of conduct for optometrists

Good practice involves: to the Board. They also have professional obligations to
report to the Board and their employer(s) if they have had
(a) keeping knowledge and skills up to date
any limitations placed on their practice. Good practice
(b) participating regularly in activities that maintain and involves:
further develop an optometrist’s knowledge, skills
(a) being aware of these reporting obligations
and performance
(b) complying with any reporting obligations that apply
(c) ensuring that an optometrist’s practice meets the
to practice
standards that would be reasonably expected by
the public, and his or her peers4 (c) seeking advice from the Board, Optometrists
Association Australia, or other professional
(d) regularly reviewing an optometrist’s continuing
association or professional indemnity insurer if
professional development activities to ensure that
optometrists are unsure about their obligations.
they are consistent with those required by the
Board and Optometrists Association Australia, or 7.4 Health records
other professional organisation
Maintaining clear and accurate health records is essential
(e) ensuring that an optometrist’s personal continuing for the continuing good care of patients. Good practice
professional development program includes self- involves:
directed, practice-based learning and contact with
(a) keeping accurate, up-to-date and legible records
peers.
that report relevant details of clinical history,
clinical findings, investigations, information given
7 Professional behaviour to patients, medication and other management in a
7.1 Introduction form that can be interpreted by another optometrist

In professional life, optometrists must display a standard (b) ensuring records are held securely and are not
of behaviour that warrants the trust and respect of the subject to unauthorised access
community. This includes observing and practising the
(c) ensuring records show respect for patients and do
principles of ethical conduct. The guidance contained
not include demeaning or derogatory remarks
in this section emphasises the core qualities and
characteristics of good optometrists. (d) ensuring records are sufficient to facilitate
continuity of care
7.2 Professional boundaries
(e) making records at the time of events or as soon as
Professional boundaries are integral to a good
possible afterwards
optometrist–patient relationship. They promote good
care for patients and protect both parties. Good practice (f) recognising the rights of patients to access
involves: information contained in their records and
facilitating that access
(a) maintaining professional boundaries
(g) facilitating the transfer of health information
(b) never using the professional position to establish
promptly when requested by the patient.
or pursue a sexual, exploitative or otherwise
inappropriate relationship with anybody under an 7.5 Insurance
optometrist’s care; this includes those close to
Optometrists have a statutory requirement to ensure
patients, such as their carer(s), guardian, spouse
they are covered appropriately by professional indemnity
or the parent of a patient who is a child or young
insurance.
person
7.6 Advertising
(c) avoiding the expression of an optometrist’s
personal beliefs to his or her patients in ways that Advertisements for services can be useful in providing
exploit their vulnerability or that are likely to cause information for patients. All advertisements must conform
them distress. to relevant consumer protection legislation4. Good practice
7.3 Reporting obligations involves:

Optometrists have statutory responsibility under the (a) making sure that any information optometrists
National Law to report various proceedings or findings publish about their regulated health services is
factual and verifiable

4
Standards and guidelines on continuing professional development for optometrists can be found on the Board’s website (http://www.optometryboard.gov.au).
8
Code of conduct for optometrists

(b) making only justifiable claims about the quality (d) making clear the limits of an optometrist’s
or outcomes of regulated health services in any knowledge and not giving opinion beyond those
information provided to patients limits when providing evidence.

(c) not guaranteeing cures, exploiting the vulnerability 7.9 Curriculum vitae
or fears of patients about their future health or
When providing curriculum vitae, good practice involves:
raising unrealistic expectations
(a) providing accurate, truthful and verifiable
(d) not offering inducements or using testimonials
information about an optometrist’s experience and
(e) not making unfair or inaccurate comparisons qualifications
between the services of optometrists.
(b) not misrepresenting by misstatement or omission
7.7 Legal, insurance and other assessments an optometrist’s experience, qualifications or
position.
When optometrists are contracted by a third party to
provide a legal, insurance or other assessment of a person 7.10 Investigations
who is not their patient, the usual therapeutic optometrist–
Optometrists have responsibilities and rights relating to
patient relationship does not exist. In this situation, good
any legitimate investigation of their practice or that of a
practice involves:
colleague. In meeting these responsibilities, it is advisable
(a) applying the standards or professional behaviour to seek legal advice or advice from an optometrist’s
described in this Code to the assessment; in professional indemnity insurer. Good practice involves:
particular, being courteous, alert to the concerns of
(a) cooperating with any legitimate inquiry into the
the person and ensuring the person’s consent
treatment of a patient and with any complaints
(b) explaining to the person the optometrist’s area of procedure that applies to work
practice, role and the purpose, nature and extent of
(b) disclosing to anyone entitled to ask for it
the assessment to be conducted
information relevant to an investigation into the
(c) anticipating and seeking to correct any conduct, performance or health of an optometrist
misunderstandings that the person may have about or a colleague
the nature and purpose of the assessment and
(c) assisting the coroner when an inquest or inquiry
report
is held into the death of a patient by responding
(d) providing an impartial report (see Section 7.8 to his or her enquiries, and by offering all relevant
‘Reports, certificates and giving evidence’) information.

(e) recognising that if an unrecognised, serious 7.11 Conflicts of interest

problem is discovered during the assessment,
Patients rely on the independence and trustworthiness
optometrists have a duty of care to inform the
of optometrists for any advice or treatment offered. A
patient or his or her treating practitioner.
potential conflict of interest in practice arises when an
7.8 Reports, certificates and giving evidence optometrist, entrusted with acting in the interests of
a patient, also has financial, professional, or personal
Optometrists have been given the authority to sign
interests or relationships with third parties that may affect
documents such as sickness certificates on the
the care of the patient.
assumption that they will only sign statements that they
know or reasonably believe to be true. Good practice Multiple interests are common. They require identification,
involves: careful consideration, appropriate disclosure and
accountability. When these interests compromise or might
(a) being honest and not misleading when writing
reasonably be perceived by an independent observer to
reports and certificates and only signing
compromise the optometrist’s primary duty to the patient,
documents believed to be accurate
optometrists must recognise and resolve this conflict in the
(b) taking reasonable steps to verify the content before best interests of the patient.
signing a report or certificate and not omitting
Good practice involves:
relevant information deliberately
(a) recognising potential conflicts of interest that
(c) preparing or signing documents and reports within
may arise in relation to initiating or continuing a
a reasonable and justifiable timeframe, where
professional relationship with a patient
agreed

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Code of conduct for optometrists

(b) acting in the best interests of patients when • declaring any relevant and material, financial
making referrals, and when providing or arranging or commercial interest that optometrists or
treatment or care their family might have in any aspect of the
care of the patient
(c) informing patients when optometrists have an
interest that could affect or could be perceived to • declaring to patients any professional and
affect care of patients financial interest in any product optometrists
might endorse or sell from their practice and
(d) recognising that pharmaceutical and other
not making an unjustifiable profit from the sale
marketing may influence optometrists and being
or endorsement
aware of ways in which practice may be influenced
(g) dispensing of optical appliances in accordance
(e) not asking for or accepting any inducement,
with guidelines issued by the Board.
gift or hospitality of more than trivial value from
companies that sell or market drugs or other
products that may affect or be seen to affect
8 Ensuring health
the way optometrists prescribe for, treat or refer 8.1 Introduction
patients
It is important for optometrists to maintain their own health
(f) not asking for or accepting fees for meeting sales and wellbeing. This includes seeking an appropriate work–
representatives life balance.
(g) not offering inducements to colleagues or entering 8.2 Personal health
into arrangements that could be perceived to
provide inducements Good practice involves:

(h) not allowing any financial or commercial interest (a) attending to personal health needs
in a hospital, other health care organisation or (b) seeking expert, independent, objective advice
company providing services or products that when an optometrist needs health care, and being
adversely affects the way in which optometrists aware of the risks of self-diagnosis and self-
treat patients. When optometrists or their treatment
immediate family have such an interest and that
interest could be perceived to influence the care (c) being immunised against relevant communicable
provided, optometrists must inform their patients. diseases

7.12 Financial and commercial dealings (d) conforming to State and Territory legislation in
relation to self-prescribing (for optometrists who
Optometrists must be honest and transparent in financial are able to prescribe)
arrangements with patients. Good practice involves:
(e) recognising the impact of fatigue on personal
(a) not exploiting the vulnerability or lack of knowledge health and ability to care for patients and
of patients when providing or recommending endeavouring to work safe hours whenever
services possible
(b) not encouraging patients to give, lend or bequeath (f) being aware of any State and Territory health
money or gifts that will benefit optometrists directly programs for advice on where to seek help
or indirectly
(g) if an optometrist knows or suspects that he or she
(c) not accepting gifts from patients other than tokens has a health condition or impairment that could
of minimal value adversely affect judgement, performance or the
(d) not becoming involved financially with patients; for health of patients, he or she should
example, through loans and investment schemes • not rely on self-assessment of the risk that
(e) not pressuring patients or their families to make poses to patients
donations to other people or organisations • obtain advice about whether and in what ways
(f) being transparent in financial and commercial the optometrist may need to modify practice
matters relating to an optometrist’s work, including and follow that advice
in dealings with employers, insurers and other • notify the Board if the condition may be
organisations or individuals, and in particular impairing the optometrist’s ability to provide
care to his or her patients.

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 Code of conduct for optometrists

8.3 Colleagues’ health 9.4 Students

Optometrists have a responsibility to assist their Students are learning how best to care for patients.
colleagues to maintain good health. Good practice Creating opportunities for learning improves their clinical
involves6: practice and nurtures the future workforce. Good practice
involves:
(a) encouraging a colleague who is not a patient to
seek appropriate help if it is believed they may (a) treating students with respect and patience
be ill and impaired; if an optometrist believes this
(b) making the scope of the student’s role in care of
impairment is putting patients at risk of being
patients clear to the student, to patients and to
placed at harm, refer to the notification provisions
other members of the health care team
of the National Law and the Board’s guidelines on
mandatory notifications (c) informing patients about the involvement of
students and encouraging their consent for student
(b) recognising the impact of fatigue on the health of
participation while respecting their right to choose
colleagues, including those under supervision and
not to consent.
facilitating safe working hours wherever possible.

9 Teaching, supervising and 10 Undertaking research

assessing 10.1 Introduction
9.1 Introduction Research involving humans, their tissue samples or their
health information is vital in improving the quality of health
Teaching, supervising and mentoring practitioners and
care and reducing uncertainty for patients now and in the
students is important for their development and for the
future, and in improving the health of the population as
care of patients. It is part of good practice to contribute
a whole. Research in Australia is governed by guidelines
to these activities and provide support, assessment,
issued in accordance with the National Health and Medical
feedback and supervision for colleagues, practitioners in
Research Council Act 1992 (Cwlth). If optometrists
training and students.
undertake research, they should familiarise themselves
9.2 Teaching and supervising with and follow these guidelines.

Good practice involves: Research involving animals is governed by legislation in

States and Territories, and by guidelines issued by the
(a) seeking to develop the skills, attitudes and National Health and Medical Research Council (NHMRC).
practices of an effective teacher, whenever
optometrists are involved in teaching 10.2 Research ethics

(b) making sure that any practitioner or student for Being involved in the design, organisation, conduct or
whose supervision an optometrist is responsible reporting of health research involving humans brings
receives adequate oversight and feedback. particular responsibilities for practitioners. These
responsibilities, drawn from the NHMRC guidelines,
9.3 Assessing colleagues include:
Assessing colleagues (including students) is an important (a) according to participants the respect and
part of making sure that the highest standards of practice protection that is due to them
are achieved. Good practice involves:
(b) acting with honesty and integrity
(a) being honest, objective and constructive when
assessing the performance of colleagues, (c) ensuring that any protocol for human research
including students; patients will be put at risk if an has been approved by a human research ethics
optometrist describes someone as competent if he committee, in accordance with the National
or she is not Statement on Ethical Conduct in Human Research
(2007) issued by the NHMRC
(b) when giving references or writing reports about
colleagues, provide accurate and justifiable (d) disclosing the sources and amounts of funding for
information promptly and include all relevant research to the human research ethics committee
information.
(e) disclosing any potential or actual conflicts of
interest to the human research ethics committee

6
Standards and guidelines on continuing professional development for optometrists can be found on the Board’s website (http://www.optometryboard.gov.au).
11
Code of conduct for optometrists

(f) ensuring that human participation is voluntary

and based on an adequate understanding of
sufficient information about the purpose, methods,
demands, risks and potential benefits of the
research

(g) ensuring that any dependent relationship between

optometrists and their patients is taken into
account in the recruitment of patients as research
participants

(h) seeking advice when research involves children

and young persons or adults who are not able to
give informed consent to ensure that there are
appropriate safeguards in place; this includes
ensuring that a person empowered to make
decisions on the behalf of a patient has given
informed consent or that there is other lawful
authority to proceed

(i) adhering to the approved research protocol

(j) monitoring the progress of the research and

reporting adverse events or unexpected outcomes
promptly

(k) respecting the entitlement of research participants

to withdraw from any research at any time and
without giving reasons

(l) adhering to the guidelines regarding publication of

findings, authorship and peer review

(m) reporting possible fraud or misconduct in research

as required under the Australian Code for the
Responsible Conduct of Research (2007) issued by
the NHMRC.

10.3 Treating optometrists and research

When optometrists are involved in research that involves

their patients, good practice includes:

(a) respecting the right of patients to withdraw from a

study without prejudice to their treatment

(b) ensuring that a decision by a patient not to

participate does not compromise the optometrist–
patient relationship or the care of the patient.

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