Canadian Fundamentals of Nursing 5 th ed.

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1 Canadian Fundamentals of Nursing 5 th ed. 8 Legal Implications in Nursing Practice Written by Carla Shapiro, RN, MN Based on the original chapter by Christine R. Durbin, RN, PhD, JD objectives Mastery of content in this chapter will enable you to: Define the key terms listed. Explain legal concepts that apply to nurses. Describe the legal responsibilities and obligations of nurses. List sources for standards of care for nurses. Define legal aspects of nurse patient, nurse physician, nurse nurse, and nurse employer relationships. List the elements needed to prove negligence. Give examples of legal issues that arise in nursing practice. key terms Advance directive, p. 104 Adverse occurrence report, p. 105 Assault, p. 97 Battery, p. 97 Civil law, p. 95 Chapter 8. Legal Implications for Nursing Practice Page 1 of 35

2 Common law, p. 95 Euthanasia, p. 103 Incident report, p. 105 Informed consent, p. 100 Intentional torts, p. 97 Living will, p. 104 Negligence, p. 98 Nursing practice acts, p. 96 Risk management, p. 105 Standards of care, p. 95 Statute law, p. 95 Tort, p. 97 media resources Audio Chapter Summaries Examination Review Questions Glossary Student Learning Activities Weblinks Safe nursing practice includes knowledge of the legal boundaries within which nurses must function. Nurses must understand the law to protect themselves from liability and to protect their patients' rights. Nurses need not fear the law; rather, they should view it as representing what society expects from them. Laws are continually changing to meet the needs of the people they are intended to protect. As technology has expanded the role of the nurse, the ethical dilemmas associated with patient care have increased and often become legal issues as well. As health care evolves, so do the legal implications for health care. Although federal laws apply to all provinces and territories, nurses must also be aware that laws do vary across the country. It Chapter 8. Legal Implications for Nursing Practice Page 2 of 35

3 is important for nurses to know the laws in their province or territory that affect their practice. Being familiar with the law enhances nurses' ability to be patient advocates. Legal Limits of Nursing Nurses have a fiduciary relationship with their patients. A fiduciary relationship is one in which a professional (the nurse) provides services that, by their nature, cause the recipient (the patient) to trust in the specialized knowledge and integrity of the professional. In the fiduciary relationship, nurses are obligated to provide knowledgeable, competent, and safe care. Although legal actions against nurses were once rare, the situation is changing. The public is better informed now than in the past about their rights to health care and are more likely to seek damages for professional negligence. The courts have upheld the concept that nurses must provide a reasonable standard of care. Thus, it is essential that nurses understand the legal limits influencing their daily practice. Sources of Law The Canadian legal system can be divided into two main categories: public law and private law. Public law is chiefly concerned with relations between individuals and the state or society in general and includes constitutional, tax, administrative, human rights, and criminal law. Private law involves disputes between individuals and covers issues such as wills, contracts, marriage and divorce, and civil wrongs (e.g., negligence). Whereas public law is addressed in the same manner across the country, two systems deal with private law issues civil law (based on Roman law) in Quebec and common law (based on British common law) throughout the rest of the country. These two systems differ primarily in their legal processes. In each system, courts interpret the rules made by the legislature in the context of specific disputes. When either a civil or a criminal case goes to court, decisions are based on previous case rulings. How courts rule on the circumstances and facts surrounding the case is called a precedent. If a case is decided on the basis of certain facts, the court is bound to follow that decision in subsequent similar cases. Not every jurisdiction has case law on a given issue. For example, cases regarding a patient's right to refuse treatment are not found in every province. In such situations, other jurisdictions are consulted for guidance. In general, breaches of private law result in the payment of money to compensate the aggrieved party for damages incurred. Violations of public law may result in a range of remedies, including fines or imprisonment. Chapter 8. Legal Implications for Nursing Practice Page 3 of 35

4 Statute law is created by elective legislative bodies such as Parliament and provincial or territorial legislatures. Federal statutes apply throughout the country, and provincial and territorial statutes apply only in the province or territory in which they were created. Examples of provincial statutes are the Regulated Health Professions Act (1991) in Ontario and nursing practice acts throughout the country, which describe and define nursing practice within each province. Examples of federal statutes are the new Assisted Human Reproduction Act (2004), the Controlled Drugs and Substances Act (1996), and the Food and Drugs Act (1985). Professional Regulation Like all self-governing professions in Canada, nursing is regulated at the provincial or territorial level. Each province and territory has legislation that grants authority to a nursing regulatory body. These regulatory bodies are accountable to the public for ensuring safe, competent, and ethical nursing care. Regulatory bodies are responsible for granting certificates of registration, offering practice support, ensuring continuing competence of its members, investigating complaints against members' conduct, and disciplining members when necessary. Regulatory bodies are also responsible for developing codes of ethics, setting standards of practice, and approving nursing education programs (McIntyre, & McDonald, 2010). Separate regulatory bodies exist for registered nurses and practical nurses. Some provinces also have regulatory bodies for registered psychiatric nurses. These regulatory bodies are called either the provincial association or the college of nursing (e.g., the Alberta Association of Registered Nurses, the College of Licensed Practical Nurses of Alberta, the College of Nurses of Ontario). The trend appears to be a move to the college model, with a stronger focus on regulation of practice and accountability to the public. Nurses must be registered by the professional nursing association or college of the province or territory in which they practise. The requirements for registration (or licensure, as applicable) vary across the country, but most provinces and territories have minimum education requirements and require the nurse to pass an examination. All provinces and territories (except Quebec) use the Canadian Registered Nurse Examination. Quebec has created its own examination. Registration (or licensure) enables people to practise nursing and use the applicable nursing title and initials: registered nurse (RN) or registered practical nurse (RPN). All nurses' credentials must be verified, either by the listing of their names on a register or by their holding a valid licence to practise. Registration can be suspended or revoked by the regulatory body if a nurse's conduct violates provisions in the registration statute. For example, nurses who perform illegal acts, Chapter 8. Legal Implications for Nursing Practice Page 4 of 35

5 such as selling controlled substances, jeopardize their registration status. Due process must be followed before registration can be suspended or revoked. Due process means that nurses must be notified of the charges brought against them and have an opportunity to defend themselves against the charges in a hearing. Such hearings do not occur in courts but are usually conducted by the regulatory body. If a nurse loses his or her professional licence, or if the nurse's name is removed from the provincial or territorial register, and if the case involves civil or criminal wrongs, then further legal consequences may follow. Regulation of Nurse Practitioners Over the past number of years, the role, responsibilities and use of nurse practitioners (NPs) has evolved in Canada. The utilization and regulation of NPs varies from jurisdiction to jurisdiction across the country. In some provinces or territories (e.g., Newfoundland, Northwest Territories, Nunavut), the title nurse practitioner is protected, and in others (e.g., Manitoba) these nurses are identified in other ways such as RN/EP (Extended Practice) or RN/NP (nurse practitioner). It is important that nurses communicate their regulated title to their patients, families, and other members of the health care team. The differences in regulatory approaches among jurisdictions can be confusing to consumers and can affect the mobility of nurses across the country as a result of this (McIntyre & McDonald, 2010). Standards of Care Standards of care are legal guidelines for nursing practice. Standards establish an expectation of nurses to provide safe and appropriate patient care. If nurses do not perform duties within accepted standards of care, they may place themselves in jeopardy of legal action and, more important, place their patients at risk for harm and injury. Nursing standards of care arise from a variety of sources, including statutes and laws of broad application, such as the statutes and common law relating to human rights, privacy, and negligence; provincial statutes that specifically apply to health care professionals or nurses only; and the detailed regulations, practice standards, and codes of ethics that are generated by the professional associations. Nursing standards are also outlined in the written policies and procedures of employing institutions. All provincial and territorial legislatures have passed health professions, nursing practice acts, or both that define the scope of nursing practice. These acts set educational requirements for nurses, distinguish between nursing and medical practice, and generally define nursing practice. The rules and regulations enacted by the provincial or territorial regulatory body help define the practice of nursing more specifically. For example, a nursing association may develop a rule regarding intravenous therapy. All nurses are Chapter 8. Legal Implications for Nursing Practice Page 5 of 35

6 responsible for knowing the provisions of the nursing practice act for the province or territory in which they work, as well as the rules and regulations enacted by the regulatory administrative bodies of their province or territory. Professional organizations are another source for defining standards of care. The Canadian Nurses Association (CNA) has developed standards for nursing practice, policy statements, and similar resolutions. The standards delineate the scope, function, and role of the nurse in practice. Nursing specialty organizations also have standards of practice defined for certification of nurses who work in specific specialty areas, such as the operating room or the critical care unit. The same standards also serve as practice guidelines for defining safe and appropriate nursing care in specialty areas. The Canadian Council on Health Services Accreditation requires that accredited health care institutions have nursing policies and procedures in writing that detail how nurses are to perform their duties. These internal standards of care are usually quite specific and are found in procedural manuals on most nursing units. For example, a procedure or policy that outlines the steps that should be taken when a dressing is changed or medication is administered gives specific information about how nurses are to perform these tasks. Nurses must know the policies and procedures of their employing institution because they all must follow the same standard of care. Institutional policies and procedures must conform to laws and cannot conflict with legal guidelines that define acceptable standards of care. In a negligence lawsuit, these standards are used to determine whether the nurse has acted as any reasonably prudent nurse in a similar setting with the same credentials would act. A nursing expert is called to testify about the standards of nursing care as applied to the facts of the case (Box 8-1). The expert may be called to define and explain to the court what a reasonably prudent nurse would have been expected to do in view of the facts of the case in any similar setting around the country. It is recognized and understood that nursing practice differs according to the rural or urban nature of the institutional setting. In addition, home health care, occupational health nursing, and other community-based clinical settings require that the expert be familiar with the standards of care in these settings, as opposed to the traditional hospital or institutional setting. The expert must have the appropriate credentials, the appropriate experience, and an understanding of what the standard of care should have been in the specific case. The expert witness is distinguished from the fact witness. Staff nurses may testify in a court proceeding as fact witnesses if they have firsthand personal experience with the facts of the case. The expert witness evaluates the defendant's professional judgements and behaviour under the circumstances being reviewed. Box 8-1 Anatomy of a Lawsuit Chapter 8. Legal Implications for Nursing Practice Page 6 of 35

7 Pleadings: Statements of Claim and Defence The plaintiff outlines what the defendant or defendants did wrong and how that action caused injury. The statement of claim is then issued by the court and served on the defendant or defendants. Statements of claim are often very broad and may be served on the employer, institution, and all members of the health care team involved in the patient's care at the relevant time. The defendant or defendants must deliver a statement of defence to the allegations. The defendant or defendants can admit or deny each allegation in the petition. Procedures of Discovery Pretrial proceedings enable each side to gather legally relevant information from the other side and usually lead to a settlement between the parties before a trial. 1. Examination for discovery: The plaintiff's lawyer is permitted to question each defendant under oath. Examination for discovery usually takes place in private offices, with only the plaintiffs and defendants, their lawyers, and a reporter present to record a transcript of the testimony. Questioning can be wide-ranging and detailed in order to reveal useful information. Answers given to questions will be available for trial. 2. Discovery of documents: Each side can be forced to produce all documents relevant to the litigation. Medical records and nurses' notes may be of particular value. 3. Independent medical examination of the plaintiff: This examination is conducted to determine the extent of the plaintiff's injuries. Negligence cannot be charged without proof of damage. 4. Discovery by interrogatories: Similar to the examination for discovery, interrogatories involve a series of written questions, which must be answered under oath. Expert Witnesses Chapter 8. Legal Implications for Nursing Practice Page 7 of 35

8 An expert witness is an individual who, because of education, experience, or both, has knowledge that can assist decision makers in establishing whether the nursing care that was provided met the expected standard of practice. Each side usually selects experts to help explain and interpret the evidence as it emerges. Pretrial Conference The purpose of the pretrial conference is to identify points of contention, narrow down the issues, and encourage settlement out of court. In some jurisdictions, the pretrial conference may be mandatory. A pretrial conference is presided over by a judge and attended by counsel for the various parties. Most settlements take place without any admission of liability. Trial A trial usually occurs several years after the initial statement of claim is filed. Most nursing negligence cases are heard and decided by a judge alone. Damages are usually assessed at trial. General duty nurses are often legally responsible for meeting the same standards as other general duty nurses in similar settings. However, specialized nurses, such as nurses in a critical care unit or nurses who perform dialysis, are held to standards of care and skill that apply to all professionals in the same specialty. All nurses must know the standards of care that they are expected to meet within their specific specialty and work setting. Ignorance of the law or of standards of care is not a defence against negligence, nor is being asked by an employer to perform an out-of-scope procedure. The law as written overrules any agency policy or procedure. Legal Liability Issues in Nursing Practice Torts A tort is a civil wrong committed against a person or property. Torts may be classified as intentional or unintentional. Intentional torts are willful acts that violate another person's rights (Keatings & Smith, 2010). Examples are assault, battery, invasion of privacy, and false imprisonment. Negligence is an example of an unintentional tort. Intentional Torts Assault. Chapter 8. Legal Implications for Nursing Practice Page 8 of 35

9 Assault is conduct (such as a physical or verbal threat) that creates in another person apprehension or fear of imminent harmful or offensive contact. No actual contact is necessary in order for damages for assault to be awarded (Fridman, 2003; Osborne, 2003). Threats by a nurse to give a patient an injection or to restrain a patient for an X- ray procedure when the patient has refused consent constitute assault. The key issues are whether the patient was afraid of being harmed in the situation and whether the patient consented to a procedure. In a lawsuit wherein assault is alleged, the patient's consent would negate the claim of assault against a nurse. Battery. Battery is any intentional physical contact with a person without that person's consent. The contact can be harmful to the patient and cause an injury, or it can be merely offensive to the patient's personal dignity (Sneiderman et al., 2003). In the example of a nurse's threats to give a patient an injection without the patient's consent, if the nurse actually gives the injection, it is considered battery. Battery could even be life-saving, as in the Ontario case of Malette v. Shulman (1990). In that case, the plaintiff was unconscious and bleeding profusely. The physician determined that she needed a lifesaving blood transfusion. Before the transfusion, a nurse found a signed card in the plaintiff's purse that identified the patient as a Jehovah's Witness and stated that under no circumstances was she to receive blood. Despite this, the physician chose to administer the blood to preserve the patient's life. The plaintiff survived, recovered from her injuries, and successfully sued the physician for battery (Sneiderman et al., 2003). In some situations, consent is implied. For example, if a patient gets into a wheelchair or transfers to a stretcher of his or her own volition after being advised that it is time to be taken for an X-ray procedure, the patient has given implied consent to the procedure. A patient has the right to revoke or withdraw consent at any time. Invasion of Privacy. The tort of invasion of privacy protects the patient's right to be free from unwanted intrusion into his or her private affairs. Patients are entitled to confidential health care. Nursing standards for what constitutes confidential information are based on professional ethics and the common law. The ideals of privacy and sensitivity to the needs and rights of patients who may not choose to have nurses intrude on their lives but who depend on nurses for their care guide the nurse's judgement. The nurse's fiduciary duty requires that confidential information not be shared with anyone else except on a need-to-know basis. Chapter 8. Legal Implications for Nursing Practice Page 9 of 35

10 One form of invasion of privacy is the release of a patient's medical information to an unauthorized person, such as a member of the press or the patient's employer. The information that is contained in a patient's medical record is a confidential communication. It should be shared with health care providers only for the purpose of medical treatment. A patient's medical record is confidential. The nurse should not disclose the patient's confidential medical information without the patient's consent. For example, a nurse should respect a wish not to inform the patient's family of a terminal illness. Similarly, a nurse should not assume that a patient's spouse or family members know all of the patient's history, particularly with regard to private issues such as mental illness, medications, pregnancy, abortion, birth control, or sexually transmitted infections. Confidentiality is not an absolute value, however, and in certain circumstances, breaching confidentiality is justifiable. At times, a nurse may be required by law (statutory duty) to breach confidentiality and disclose information to a third party. For example, each province and territory has laws that require health care workers to report suspected child abuse to a local child protection agency. In some jurisdictions, statutes require the notification of the police when there has been a gunshot or a stab wound (The Gunshot and Stab Wounds Mandatory Reporting Act, S.M. 2008). Nurses may also be required to release information about a patient when they receive a subpoena (a legal order) to testify in court. Nurses are under no legal obligation to release confidential information to the police except in rare cases in which the life, safety, or health of the patient or an innocent third party is in jeopardy (such as when a patient tells a nurse that he or she intends to hurt or kill someone). Such a statement should first be reported to the employer's administration or legal counsel before releasing it to the police (Canadian Nurses Protective Society [CNPS], 2008). Other admissions made by a patient to a nurse about past or future criminal activity may not have to be disclosed unless the nurse is compelled to do so by a court of law. The conflict between confidentiality and risk of public harm is not always clear. When a nurse has serious concerns about the welfare of others (e.g., if a patient is infected with human immunodeficiency virus [HIV] and admits to having unsafe sex or donating blood), the nurse should first suggest and strongly encourage the patient to disclose this information. If the patient refuses, the nurse should seek consultation with professional colleagues and supervisors. A careful balancing of the need for privacy and confidentiality of privileged communication would need to be weighed carefully. Computers and Confidentiality. Chapter 8. Legal Implications for Nursing Practice Page 10 of 35

11 Most health care facilities use computer systems to maintain patient records. Computerization in health care raises major legal concerns related to confidentiality of health records because of the potential for unauthorized access and data sharing (Tapp, 2003). Access to confidential patient information is generally controlled by means of a variety of technological safeguards, including magnetized cards and passwords. It is important that these security devices not be shared with other people and that access cards are used to retrieve files only when warranted. The improper use of a magnetized card and password to seek out confidential information could lead to legal repercussions or disciplinary action. The use of social media and other forms of electronic communication such as blogs, Facebook, Twitter, and YouTube are used by many as a way to communicate and network. Nurses must be extremely cautious about what information or images they post online, as any information in electronic form can be easily distributed and make its way into the public domain. There is the mistaken belief that deleted information no longer exists, that privacy controls are totally secure, and that anonymous postings provide protection. Breaches of privacy legislation can lead to disciplinary action by the professional regulatory body, or civil lawsuits alleging defamation CNPS, 2010). The best way to avoid the inadvertent disclosure of confidential or private information about patients is by maintaining professional boundaries, following employer policies, not posting or sharing any patient-related information online, and not making disparaging comments about your employers or colleagues, as these may be viewed as defamatory (CNPS, 2003). False Imprisonment. The tort of false imprisonment serves to protect a person's individual liberty and basic rights. Preventing a patient from leaving a health care facility voluntarily may constitute the tort of false imprisonment. The inappropriate or unjustified use of restraints (e.g., by confining a person to an area, or by using physical or chemical restraints) may also be viewed as false imprisonment. Nurses must be aware of their facility's policies and specific legislation in their jurisdiction (e.g., under the Mental Health and Consequential Amendments Act, 1998) relating to when and how restraints can be used (CNPS, 2004). Unintentional Torts Negligence. When nurses are sued, most often the proceedings against them are for the tort of negligence, also referred to as malpractice (Sneiderman et al., 2003). Negligence in Chapter 8. Legal Implications for Nursing Practice Page 11 of 35

12 nursing is conduct that does not meet a standard of care established by law. No intent is needed for negligence to occur. It is characterized chiefly by inadvertence, thoughtlessness, or inattention. Negligence may involve carelessness, such as not checking an identification bracelet, which results in administration of the wrong medication. However, carelessness is not always the cause of misconduct. If nurses perform a procedure for which they have not been educated and do so carefully but still harm the patient, a claim of negligence can be made. In general, courts define nursing negligence as the failure to use the degree of skill or learning ordinarily used under the same or similar circumstances by members of the nursing profession (Box 8-2). Nurses can be found liable for negligence if the following criteria are established: (1) The nurse (defendant) owed a duty to the patient (plaintiff); (2) the nurse did not carry out that duty; (3) the patient was injured; and (4) the nurse's failure to carry out the duty caused the injury. The ability to predict harm (i.e., the foreseeability of risk) is evaluated in negligence cases. The circumstances surrounding the injury are evaluated to determine whether it was likely that the injury or harm to the patient could have been expected from the care that was or was not provided. The cause of the injury is also investigated through the evaluation of the actual and the nearest causes of the injury. Had it not been for what the nurse did or did not do, could an injury have been prevented? Box 8-2 Common Negligent Acts Medication errors that result in injury to patients Intravenous therapy errors that result in infiltrations or phlebitis Burns caused by equipment, bathing, or spills of hot liquids and foods Falls resulting in injury to patients Failure to use aseptic technique as required Errors in sponge, instrument, or needle counts in surgical cases Failure to give a report, or giving an incomplete report, to an incoming shift of health care staff Failure to monitor a patient's condition adequately Failure to notify a physician of a significant change in a patient's status Chapter 8. Legal Implications for Nursing Practice Page 12 of 35

13 The case of Downey v. Rothwell (1974) is an example of nursing negligence. This case involved a plaintiff who suffered a severe arm injury when she fell off an examining table while under the care of a nurse. The patient, who had a history of epilepsy, informed the nurse that she was about to have a seizure. The nurse left the patient unattended on an examining table while she left the room for a few moments. During this time, the patient had a seizure, fell onto the floor, and broke her arm. The nurse should have anticipated that the patient could have fallen during a seizure and ensured her safety either by moving her to the floor or by putting up guardrails on the examining table. This case involved an undertaking by the nurse to provide care, a reliance by the patient on this nurse, and a foreseeable risk. The nurse was found negligent in this case, and her employers were held vicariously liable. Vicarious liability is a legal doctrine that applies in situations where the law holds the employer legally responsible for the acts of its employees that occur within the scope and course of their employment (CNPS, 1998). In the case of Granger v. Ottawa General Hospital (1996), two nurses (a staff nurse and her team leader) were found negligent in the care they provided to a woman in labour. During labour, the plaintiff's fetal heart monitor strip showed deep, persistent, variable decelerations. The staff nurse did not appreciate that these were a sign of fetal distress and did not immediately report these findings to other members of the obstetrical team. The ensuing delay in care resulted in severe and permanent brain injury in the baby, leaving her severely disabled. In this case, the nurses breached their duty to exercise appropriate skill in making an assessment and to communicate the information to the physicians. Preventing Negligence. The best way for nurses to avoid being negligent is to follow standards of care; give competent health care; insist on appropriate orientation, continuing education, and adequate staffing; communicate with other health care providers; develop a caring rapport with the patient; and document assessments, interventions, and evaluations fully. The health care record, or chart, is a permanent record of the nursing process. The courts consult the patient's chart for a chronological record of all aspects of care provided from admission to discharge. Courts use nursing documentation at trial to reconstruct events, establish times and dates, refresh memories of witnesses and resolve conflicts in testimony (CNPS, 2007a). As a legal document, it is the most comprehensive record of the care provided. Careful, complete, and thorough documentation is one of the best defences against allegations of negligence or violations of nursing standards (see Chapter 15). The record can show that even in the Chapter 8. Legal Implications for Nursing Practice Page 13 of 35

14 event of an adverse patient outcome, the nursing care that was provided met the expected standards. An institution has a legal duty to maintain nursing records. Nursing notes contain substantial evidence needed in order to understand the care received by a patient. If records are lost or incomplete, the care is presumed to have been negligent and therefore the cause of the patient's injuries. In addition, incomplete or illegible records undermine the credibility of the health care provider. In the case of Kolesar v. Jeffries (1976), the Supreme Court of Canada addressed the issue of poor record keeping. In that case, a patient underwent major spinal surgery and was transferred to a surgical unit, where he was nursed on a Stryker frame. The patient was found dead the following morning. No nursing notes were recorded from 2200 hours the previous evening until 0500 hours, when he was found dead. Although at trial several nurses and nursing assistants testified that they had tended to the patient multiple times throughout the night, the court inferred that nothing was charted because nothing was done. One of the nurses was held negligent in this patient's death. It is very important for documentation to be accomplished in a timely manner. Any significant changes in the patient's condition must be reported to the physician and documented in the chart (see Chapter 15). Recording nursing care notes in a notebook and then transferring them to the chart at the end of the shift can be a dangerous practice. If this practice is followed, other health care providers may administer medications or provide care to the patient without up-to-date information. Harm may come to a patient whose record is not accurate and current. Nurses must always follow the particular style of charting adopted by their employer (CNPS, 2007a). Truthful documentation is also essential. If an error is made in the documentation, it is important to follow the policies and procedures of the institution to correct it. Obliterating or erasing errors may appear to be concealing misconduct and lead to charges of fraud. The credibility of a nurse who goes to court is negatively affected if it appears that the nurse's initial charting has been changed after an injury has occurred to a patient. This scenario is exemplified in the case of Meyer v. Gordon (1981). Nurses did not adequately monitor a woman in labour, and their notes were sloppy and vague. The fetus experienced severe distress, required resuscitation on delivery, and was transferred to another hospital. When a nurse realized that the documentation was deficient, she altered it. However, the original chart had already been photocopied and sent to the second hospital. At trial, it was obvious that the original document had been tampered with. The court held that the nursing staff had been negligent in several ways, and the judge severely condemned the nurse's tampering with the evidence. The court commented as follows: My criticism of the defendant hospital is not confined to the lack of care of its nursing staff. The hospital chart contains alterations and additions Chapter 8. Legal Implications for Nursing Practice Page 14 of 35

15 which compel me to view with suspicion the accuracy of many of the observations which are recorded. Nurses should also be familiar with the current nursing literature in their areas of practice. They should know and follow the policies and procedures of the institution in which they work. Nurses should be sensitive to common sources of injury to patients, such as falls and medication errors. Nurses must communicate with the patient, explain the tests and treatment to be performed, document that specific explanations were provided to the patient, and listen to the patient's concerns about the treatment. Nurse patient relationships are very important not only in ensuring quality care but also in minimizing legal risks. Trust develops between a nurse and patient. Patients who believe that the nurses performed their duties correctly and were concerned with their welfare are less likely to initiate a lawsuit against the nurses. Sincere caring for patients is an essential role of the nurse and is an effective risk-management tool. However, caring does not protect nurses completely if negligent practice occurs. When a patient is injured, the investigation into the incident may implicate the nurses even if the patient feels kindly toward them. Criminal Liability Although most nursing liability issues involve private law matters (e.g., torts), the criminal law is also relevant. Canadian nurses have been charged with criminal offences such as assault, administering a noxious substance, and criminal negligence that causes death (a category of manslaughter). The difference between the tort of negligence and criminal negligence charges is the degree to which the act deviated from the standard of a reasonably competent practitioner. For example, in the case of criminal negligence, the courts must prove that the nurse was extremely careless, indicating wanton or reckless disregard for the lives or safety of other persons (Criminal Code, 1985, Part VIII, Section 219 [1]). Consent A signed consent form is required for all routine treatment, procedures such as surgery, some treatment programs such as chemotherapy, and research involving patients. A patient signs general consent forms when admitted to the hospital or other health care facility. The patient or the patient's representative must sign a special consent or treatment form before each specialized procedure or treatment. If a person receiving care is clearly incapable of consent, the nurse respects the law on capacity assessment and substitute decision making in his or her jurisdiction (CNA, 2008, p. 11; see also CNPS, 2009b). Provincial and Chapter 8. Legal Implications for Nursing Practice Page 15 of 35

16 territorial laws describe what constitutes the legal ability to give consent to medical treatment. Nurses should know the law in their own jurisdiction and be familiar with the policies and procedures of their employing institution with regard to consent. In general, the following factors must be verified for consent to be legally valid: The patient must have the legal and mental capacity to make a treatment decision. The consent must be given voluntarily and without coercion. The patient must understand the risks and benefits of the procedure or treatment, the risks of not undergoing the procedure or treatment, and any available alternatives to the procedure or treatment. If a patient is deaf, is illiterate, or does not speak the language of the health care providers, an official interpreter must be available to explain the terms of consent. A family member or acquaintance who is able to speak a patient's language should not be used to interpret health information except as a last resort. A patient experiencing the effects of a sedative is not able to clearly understand the implications of an invasive procedure. Every effort should be made to assist the patient in making an informed choice. Nurses must be sensitive to the cultural issues of consent. The nurse must understand the way in which patients and their families communicate and make important decisions. It is essential for nurses to understand the various cultures with which they interact. The cultural beliefs and values of the patient may be very different from those of the nurse. It is important for nurses not to impose their own cultural values on the patient (see Chapter 9). Informed Consent Informed consent is a person's agreement to allow a medical action to happen, such as surgery or an invasive procedure, on the basis of a full disclosure of the likely risks and benefits of the action, alternatives to the action, and the consequences of refusal (Garner & Black, 2009). Informed consent creates a legal duty for the physician or other health care provider to disclose material facts in terms that the patient can reasonably understand in order to make an informed choice (Sneiderman et al., 2003). The explanation should also describe treatment alternatives, as well as the risks involved in all treatment options. Failure to obtain consent in situations other than emergencies may result in a claim of battery. In the absence of informed consent, a patient may bring a lawsuit against the health care provider for negligence, even if the procedure was performed competently. Informed consent requires the provision of adequate information for the patient to form a decision and the documentation of that decision. Chapter 8. Legal Implications for Nursing Practice Page 16 of 35

17 Nurses ensure that nursing care is provided with the person's informed consent. Nurses recognize and support a capable person's right to refuse or withdraw consent for care or treatment at any time (CNA, 2008, p. 11). The following materials are required for informed consent (Sneiderman et al., 2003): A brief, complete explanation of the procedure or treatment Names and qualifications of people performing and assisting in the procedure A description of any possible harm, including permanent damage or death, that may occur as a result of the procedure An explanation of therapeutic alternatives to the proposed procedure or treatment, as well as the risks of doing nothing. Patients also need to be informed of their right to refuse the procedure or treatment without discontinuing other supportive care and of their right to withdraw their consent even after the procedure has begun. Informed consent is part of the physician patient relationship. Because nurses do not perform surgery or direct medical procedures, obtaining patients' informed consent is not usually one of nurses' duties. Even though the nurse may assume the responsibility for witnessing the patient's signature on the consent form, the nurse does not legally assume the duty of obtaining informed consent. The nurse's signature witnessing the consent does not mean that the nurse has provided information about risks and alternatives of a particular procedure, only that the patient voluntarily gave consent, that the patient's signature is authentic, and that the patient appears to be competent to give consent (Sneiderman et al., 2003). When nurses provide consent forms for patients to sign, the patients should be asked whether they understand the procedures to which they are consenting. If they deny understanding or if the nurse suspects that they do not understand, the nurse must notify the physician or nursing supervisor. Some consent forms also have a line for the physician to sign after explaining the risks and alternatives to a patient. Such a form is helpful in a court case when a patient alleges that consent was not informed. If a patient refuses treatment, this rejection should also be written, signed, and witnessed. If a patient participates in an experimental treatment program or submits to use of experimental drugs or treatments, the informed consent form must be even more detailed and stringently regulated. An organization's institutional review board should review the information in the consent form for research involving human subjects. The patient may withdraw from the experiment at any time (see Chapter 7). Chapter 8. Legal Implications for Nursing Practice Page 17 of 35

18 Many procedures that nurses perform (e.g., insertion of intravenous or nasogastric tubes) do not require formal written consent; nonetheless, patients' right to give or refuse consent to treatment must be protected. Implied consent to treatment is often involved in nursing procedures. For example, when the nurse approaches the patient with a syringe in hand and the patient rolls over to expose the injection site, consent is implied. If the patient resists the injection either verbally or through actions, the nurse must not proceed with the injection. Forcing or otherwise treating a patient without consent could result in criminal or civil charges of assault and battery. Many advanced practice nurses are now autonomously treating patients. It is therefore likely that formal written consent for nursing procedures will also be expected for the treatment received from advance practice nurse specialists. Parents are usually the legal guardians of pediatric patients, and, therefore, consent forms for treatment must be signed by parents. If the parents are divorced, the form must be signed by the parent with legal custody. On occasion, a parent or guardian refuses treatment for a child. In those cases, the court may intervene in the child's behalf. The practice of making the child a ward of the court and administering necessary treatment is relatively common in such cases. The example of 13-year-old Tyrell Dueck from Saskatchewan illustrates such a case. The teenager received a diagnosis of cancer in He completed part of the chemotherapy treatment when he decided that he did not want more treatment or the recommended amputation of his leg, believing that he had been cured by God and that further treatment was unnecessary. His statements were consistent with his family's Christian value system. Following his parents' advice, the boy wished to undergo alternative therapy at a clinic in Mexico. The treating physicians maintained that without further conventional treatment, Tyrell would die within a year. A judge concluded that Tyrell had been given inaccurate information by his father about the benefits and risks of the proposed alternative therapy and, therefore, was unable to make an informed consent or refusal. Thus, the family's wishes to forgo conventional treatment were legally overruled, and the boy's grandparents were to take him for treatments. Before the enforced treatment could be started, however, tests revealed that the cancer had already spread and the treatment would no longer be helpful. The teenager was returned to the care of his parents, and he died a short time later. In some instances, obtaining informed consent is difficult or simply not possible. If, for example, the patient is unconscious, consent must be obtained from a person legally authorized to give consent on the patient's behalf. Other surrogate decision makers may have legally been delegated this authority through proxy directives or court guardianship procedures. In emergency situations, if it is impossible to obtain consent from the patient Chapter 8. Legal Implications for Nursing Practice Page 18 of 35

19 or an authorized person, the procedure required to benefit the patient or save the patient's life may be undertaken without liability for failure to obtain consent. In such cases, the law assumes that the patient would wish to be treated. This is referred to as the emergency doctrine. Patients with mental health problems and frail older adults must also be given the opportunity to give consent. They retain the right to refuse treatment unless a court has legally determined that they are incompetent to decide for themselves. Nursing Students and Legal Liability Nursing students must know their own capabilities and competencies and must not perform nursing actions unless competent to do so. However, if a student nurse performs a nursing action which is one an RN would perform (e.g. administration of an I.M. [intramuscular] injection), that student will be held to the standard of an RN. Student nurses, like all other nurses, are accountable for their own actions (Phillips, 2002). In a few reported cases in Canada, nursing students were sued for negligence in their care of patients. A nursing student in Nova Scotia who caused permanent injury in a patient through an improperly administered intramuscular injection was found negligent, and the hospital was found vicariously liable for the student's actions (CNPS, 2007b; Roberts v. Cape Breton Regional Hospital, 1997). Thus, nursing students are liable if their actions cause harm to patients. However, if a patient is harmed as a direct result of a nursing student's actions or lack of action, the liability is generally shared by the student, the instructor, the hospital or health care facility, and the university or educational institution. Nursing students should never be assigned to perform tasks for which they are unprepared, and they should be carefully supervised by instructors as they learn new skills. Although nursing students are not considered employees of the hospital, the institution has a responsibility to monitor their acts. Nursing students are expected to ensure that their student status is known to patients and to perform as professional nurses would in providing safe patient care. Faculty members are usually responsible for instructing and observing students, but in some situations, staff nurses serving as preceptors may share these responsibilities. Every nursing school should provide clear definitions of student responsibility, preceptor responsibility, and faculty responsibility (Phillips, 2002). When students are employed as nursing assistants or nurses' aides when not attending classes, they should not perform tasks that do not appear in a job description for a nurses' aide or assistant. For example, even if a student has learned to administer intramuscular medications in class, this task may not be performed by a nurses' aide. If a staff nurse overseeing the nursing assistant or aide knowingly assigns work without regard for the person's ability to safely conduct the task as defined in the job description, that staff nurse Chapter 8. Legal Implications for Nursing Practice Page 19 of 35

20 is also liable. If students employed as nurse's aides are requested to perform tasks that they are not prepared to complete safely, this information should be brought to the nursing supervisor's attention so that the needed help can be obtained. The Web site of the CNPS ( through its members-only-section) is an excellent resource available to nursing students, providing information about legal risks nurses face in practice. However, nursing students are not entitled to receive legal consultation services or financial assistance from the CNPS; these services are provided only for the benefit of eligible registered nurses. Professional Liability Protection Most nurses in Canada are employed by publicly funded health care facilities that carry malpractice insurance. These facilities are considered employers and therefore are vicariously liable for negligent acts of their employees as long as the employees were working within the normal scope and course of practice (Keatings & Smith, 2010). Because of this legal principle, an employer will generally be liable to those who may have suffered damages as a result of the negligence of an employee. Consequently, a patient who considers himself or herself to have been injured by the actions of an employee will often look to the employer for compensation (CNPS, 1998). This legal principle does not apply when the employee is working outside the normal scope of his or her employment. Accordingly, a nurse who is self-employed or engages in activities that are not related to his or her employment (even if they are undertaken on the employer's premises) is solely liable for his or her own negligence. All nurses should be aware of their employment status as well as the availability and extent of their professional liability coverage. The CNPS is a nonprofit society established in 1988 to provide legal support and liability protection to nurses. The services of CNPS are available as a benefit of membership in a subscribing provincial or territorial professional association or college. The only two jurisdictions in Canada in which registered nurses are not eligible for CNPS services are British Columbia and Quebec. Registered nurses in British Columbia are covered by their own insurance corporation, and those in Quebec have commercial insurance available through the Order of Nurses of Quebec. CNPS services are otherwise available to nurses in a variety of work settings, including independent practice and volunteer settings. Eligible nurses can obtain confidential assistance from a nurse lawyer by contacting the CNPS tollfree by telephone, Monday to Friday from 0845 to 1630 Eastern Standard Time or Eastern Daylight Time at A nurse providing emergency assistance at an accident scene may not be covered by an employer's insurance policy because the care given would not fall within the scope of employment. However, some provinces have adopted Good Chapter 8. Legal Implications for Nursing Practice Page 20 of 35