Source: http://www.legislation.nsw.gov.au/fullhtml/inforce/act+105+1993+pt.2-div.9-sec.58d+2005-12-01+N
Timestamp: 2013-05-24 21:25:47
Document Index: 164375330

Matched Legal Cases: ['art 2', 'art 3', 'art 4', 'art 5', 'art 6', 'art 6', 'art 1', 'art\n6', 'art 2', 'art 5', 'art 2', 'art 3', 'art 2', 'art 4', 'art 3', 'art 5', 'art 2', 'art 2', 'art 2', 'art 2', 'art 2', 'art 6', 'art 6', 'art 7', 'art 2', 'art 4', 'art 1', 'art 2', 'art 2', 'art\n2', 'art 3', 'art 6', 'art 2', 'art 4', 'arts 1', 'art 2', 'art 2', 'art 2', 'art 6', 'art 6', 'art\n2']

Health Care Complaints Act 1993 No 105
Historical version for 1 December 2005 to 8 December 2005 (accessed 25 May 2013 at 07:25).
Does not include amendments by:Podiatrists Act 2003 No
69 (not commenced)Defamation Act 2005 No
77 (not commenced — to commence on
1.1.2006)
File last modified 1 December 2005.
3A Outline of role of Commission and related government
agencies in health care system
Part 2 Complaints
7 What can a complaint be made about?
8 Who may make a complaint?
9 How is a complaint made?
Division 2 Liaising with registration authorities
10 Notifying registration authorities of
11 Complaints made to registration authorities
12 Consultation between the Commission, a registration
13 The outcomes of consultation
14 Suspension of action by registration authority
15 Provision of information to registration
Division 3 Notification and withdrawal of
17 Director-General to be notified of complaint made against
a health organisation
18 Can a complaint be withdrawn?
Division 4 Assessment of complaints
19 Initial assessment of complaints
20 The purpose of assessment
20A Duty of Commission to review assessment of
21 Commission may require further information
21A Commission may obtain certain medical and other
22 Time for completion of assessment
23 Investigation of complaint
24 Referral of complaints for conciliation or complaint
25 Notification of certain complaints to the
25A Reference of complaints to be dealt with under inquiry
powers of Director-General
25B Reference of complaints to be dealt with by registration
26 Reference of complaint to another person or body for
investigation or other action
27 Circumstances in which Commission may discontinue dealing
with complaint
28 Notice of action taken or decision made following
28A Notification of other persons following
Division 5 Investigation of complaints
29 The purpose of investigation
30 Expert assistance
31 Authorisation of persons to carry out
32 Functions to be exercised only with consent or under
33 Powers of entry, search and seizure
34 Search warrant
34A Power of Commission to obtain information, records and
35 Offence: obstructing an authorised person, Commission
36 Offence: impersonating an authorised person
37A Protection from incrimination
38 Notification of findings of investigation to appropriate
Division 6 Outcomes of investigations into health
39 What action is taken after an investigation?
40 Opportunity for persons investigated to make
41 Notification of results of investigations and review of
Division 7 Outcomes of investigations into health
43 Opportunity for health organisation investigated to make
44 Implementation of report
45 Notification of results of investigation
Division 8 Conciliation
46 Appointment of conciliators
47 Notification of arrangements for conciliation
48 Conciliation to be voluntary
49 Role of conciliator
50 Assistance to parties at conciliation
51 Confidentiality of the conciliation process
52 Conclusion of the conciliation process
53 Preparation and distribution of report on conclusion of
54 Furnishing of other information to Registrar concerning
55 Six-monthly reports to registration authorities
56 Complaint may be referred for investigation
57 Health Conciliation Registry and conciliators to be
independent in dealing with complaints
58 Offence for conciliator or staff of Health Conciliation
Registry to disclose information obtained in conciliation
58A Offence of concealing a serious offence
Division 9 Complaints resolution
58B Objects of Commission under this Division
58C Function of Commission under this Division
58D Participation in complaints resolution process to be
Part 3 Other investigations by the Commission
59 Investigation of health services
60 Director-General to be notified of proposed
61 Application of investigative powers for the purposes of
62 Report to Director-General and Minister following
63 Special report to Parliament
Part 4 Parliamentary Joint Committee
64 Constitution of Joint Committee
65 Functions
66 Power to veto proposed appointment of
67 Membership
69 Chairman and Vice-Chairman
70 Procedure
70A Reporting when Parliament not in session
71 Evidence
72 Confidentiality
73 Application of certain Acts
74 Validity of certain acts or proceedings
Part 5 Health Care Complaints Commission
75 The Commission
76 Appointment of Commissioner
77 The Commissioner
78 Veto of proposed appointment as Commissioner
79 Acting Commissioner
80 Functions of Commission
81 Ministerial control
82 Staff of the Commission
83 Financial year
84 Delegation of functions
Part 6 Health Conciliation Registry
85 Health Conciliation Registry
86 Functions of Health Conciliation Registry
87 Registrar of Health Conciliation Registry
88 Staff of Health Conciliation Registry
89 Conciliators
90 Functions of conciliators
Part 6A Director of Proceedings
90A Director of Proceedings
90B Functions of Director of Proceedings
90C Criteria relevant to determinations of Director of
90D Independence of Director of Proceedings
92 General standards of clinical practice
93 Inconsistency between this Act and health registration
94 Consultation between Commission and
95 Annual report
96 Exoneration from liability
97 Pending legal proceedings do not prevent exercise of
98 Offence: intimidation or bribery of
99 Offence: furnishing false or misleading information to the
99A Offence: improper disclosure of information
100 Proceedings for offences
102 Amendment of Acts
103 Savings, transitional and other provisions
103A Application of Ombudsman Act 1974
104 Review of Act
105 Special provisions relating to Walker Special Commission
Schedule 1 Certificate of authority
Schedule 3 Amendment of Acts
Schedule 5 Special provisions relating to Walker Special
An Act to provide for the making, resolution, investigation and
prosecution of health care complaints; to constitute a joint committee of
members of Parliament, the Health Care Complaints Commission and the Health
Conciliation Registry and to specify their functions; to amend certain Acts;
and for other purposes.Part 1 Preliminary1 Name of ActThis Act may be cited as the Health Care Complaints Act
1993.2 CommencementThis Act commences on a day or days to be appointed by
proclamation.3 Object of this Act(1) The primary object of this Act is to establish the Health Care
Complaints Commission as an independent body for the purposes of:(a) receiving and assessing complaints under this Act relating to
health services and health service providers in New South Wales,
(b) investigating and assessing whether any such complaint is serious
and if so, whether it should be prosecuted, and
(c) prosecuting serious complaints, and
(d) resolving or overseeing the resolution of
(2) In exercising its functions under this Act, the Commission is to
have as its primary object the protection of the health and safety of the
public.3A Outline of role of Commission and related government
agencies in health care system(1) This section provides an outline of the Commission’s role in
relation to government agencies with functions in connection with the health
care system.(2) Health Care Complaints Commission The Commission is an independent body with responsibility for
dealing with complaints under this Act, with particular emphasis on the
investigation and prosecution of serious complaints in consultation with
relevant registration authorities.(3) Director-General of the Department of Health The Director-General is responsible for:(a) facilitating the achievement and maintenance of adequate standards
of patient care within public hospitals and in relation to other services
provided by the public health system, and
(b) inquiring into the administration, management and services of
public health organisations and arranging, as appropriate, inspection of such
(c) developing and overseeing the implementation of health policy and
regulation and responding to policy and regulatory issues as they
(4) Public health organisations conducting health
services Public health organisations have the functions set out in Chapter
2 of the Health Services Act
1997. They are responsible for achieving and maintaining
adequate standards of patient care and services, which may include a role in
resolving complaints at a local level. Their role involves liaising with the
Commission and registration authorities.(5) Registration authorities Registration authorities are responsible for the registration of
health professionals and the management of complaints in conjunction with the
Commission. The registration authorities are also responsible for protecting
the public through promoting and maintaining professional
standards.(6) This section is explanatory only and does not affect any other
provision of this Act, or any other Act, or any instrument made under this or
any other Act.4 DefinitionsIn this Act:authorised
person means an officer of the Commission who is authorised as
referred to in section 31, and includes the Commissioner.client means a
person who uses or receives a health service, and includes a
patient.Commission means
the Health Care Complaints Commission constituted by section
75.complainant
means:(a) the person making a complaint, except as provided by paragraph
(b) the client on whose behalf a complaint is made if the complaint is
made by a person chosen by the client as his or her representative for the
purpose of making the complaint.
complaint means a
complaint made under this Act or a complaint made under another Act that is
able to be dealt with by the Commission under this Act.conciliator
means a person appointed to be a conciliator under section 89.Director of
Proceedings means the Director of Proceedings appointed under Part
6A.Director-General means the
Director-General of the Department of Health.exercise of a
function includes the performance of a duty.function includes
Conciliation Registry means the Health Conciliation Registry
established by section 85.health
organisation means a body that provides a health service (not being
a health practitioner).health
(whether or not the person is registered under a health registration
Act).health
registration Act means any of the following Acts:Chiropractors Act
2001Dental Technicians Registration
Act 1975Dental Practice Act
2001Medical Practice Act
1992Nurses and Midwives Act
1991Optical Dispensers Act
1963Optometrists Act
2001Pharmacy Act
1964Physiotherapists Act
2001Podiatrists Act
1989Psychologists Act
2001.health
optometrists, physiotherapists, psychologists and optical
(j) services provided by dietitians, masseurs, naturopaths,
acupuncturists, occupational therapists, speech therapists, audiologists,
audiometrists and radiographers,
(k1) forensic pathology services,
(l) a service prescribed by the regulations as a health service for
provider means a person who provides a health service (being a
health practitioner or a health organisation).Joint
Committee means the Committee on the Health Care Complaints
Commission appointed as referred to in section 64.officer of the
Commission means a person who is employed under section 82 (1) or
whose services are made use of under section 82 (2).parties to a
complaint means the complainant and the person against whom the
complaint is made.registered
includes enrolled.Registrar means
the Registrar of the Health Conciliation Registry.registration
authority means the person who has the function, under a health
registration Act, of determining an application for registration under the
Act.5 Act binds the CrownThis Act binds the Crown.6 Notes in the textNotes and charts appearing in this Act are explanatory notes and
do not form part of this Act. They are provided to assist
understanding.Part 2 ComplaintsDivision 1 The right to complain7 What can a complaint be made about?(1) A complaint may be made under this Act concerning:(a) the professional conduct of a health practitioner,
(b) a health service which affects the clinical management or care of
an individual client.
(2) A complaint may be made against a health service
provider.(3) A complaint may be made against a health service provider even
though, at the time the complaint is made, the health service provider is not
qualified or entitled to provide the health service
concerned.8 Who may make a complaint?A complaint may be made by any person including, in particular,
the following:• the client concerned
• a parent or guardian of the client concerned
• a person chosen by the client concerned as his or her
representative (including an Australian legal practitioner) for the purpose of
• a health service provider
• a member of Parliament
• the Director-General
• the Minister.
9 How is a complaint made?(1) A complaint is made by lodging the complaint in writing with the
Commission.(2) The complaint is to include particulars of the allegations on
which it is founded.(3) It is the duty of staff of the Commission to help a person to make
a complaint if the person requests assistance to do
so.Note. This section does not prevent a person who wishes to make a
complaint from first talking to the Commission about it. However, a complaint
cannot be acted on until it is put in writing.It is an offence under section 99 to furnish information to the
Commission for the purposes of this Act that is false or misleading in a
material particular and under section 35 to furnish such information to the
Commissioner or staff of the Commission.Division 2 Liaising with registration authorities10 Notifying registration authorities of
complaints(1) If a complaint made under this Act to the Commission is made
against or directly involves a health practitioner who is or has been
registered under a health registration Act, the Commission must notify the
appropriate registration authority of the
complaint.(2) The complaint is to be so notified as soon as practicable after it
is made.11 Complaints made to registration authoritiesWhen, in accordance with a health registration Act, a registration
authority notifies the Commission of a complaint made under the health
registration Act, the complaint is taken to have been made in accordance with
this Act to the Commission.12 Consultation between the Commission, a registration
authority and the Registrar(1) Before determining, as a result of the assessment of a complaint,
whether to investigate a complaint, to refer the complaint for conciliation,
to deal with the complaint under Division 9 or to discontinue dealing with the
complaint, the Commission must consult with the appropriate registration
authority, subject to this section.(1A) If it is proposed, as a result of the assessment of a complaint,
to refer the complaint for conciliation, the Commission must also consult with
the Registrar.(2) The regulations may prescribe circumstances, such as cases of
urgency, where the Commission may consult with a prescribed person on behalf
of the appropriate registration authority instead of consulting with the
registration authority itself and where the prescribed person may exercise the
other functions of the registration authority under this
Division.13 The outcomes of consultation(1) If either the Commission or the appropriate registration authority
is of the opinion that a complaint (or any part of a complaint) should be
investigated, it must be investigated.(2) If:(a) neither the Commission nor the appropriate registration authority
is of the opinion that the complaint (or part) should be investigated,
(b) either is of the opinion that it should be referred to the
registration authority for consideration as to whether the registration
authority should take any action under the relevant health registration Act
(such as performance assessment or impairment
assessment),
it must be referred to the registration authority under section
25B.(3) If:(a) neither the Commission nor the appropriate registration authority
is of the opinion that the complaint (or part) should be investigated or
referred to the registration authority, but
(b) either is of the opinion that it should be referred for
conciliation and the Registrar considers that it is appropriate for
the Commission is to refer the complaint for conciliation under Division
8.Note. Only the Medical Practice Act
1992 and the Nurses and
Midwives Act 1991 contain provisions relating to performance
assessment.14 Suspension of action by registration authority(1) A registration authority must not take any action under a health
registration Act concerning a complaint while it is subject to investigation
by the Commission or is being dealt with under Division 8 or
9.(2) This section does not limit any power of a registration authority
under a health registration Act to do anything to protect the life or the
physical or mental health of any person.15 Provision of information to registration
authorities(1) A registration authority may, at any time, request information
from the Commission concerning a specified complaint that is made against or
directly involves a health practitioner who is or has been registered under
the health registration Act relevant to the registration
authority.(2) The Commission must supply the information requested if it is
reasonable to do so.Note. Division 2 enables the health professional registration boards and
the Commission to act in collaboration with each other. The Division will
allow complete information sharing between the two arms in the disciplinary
system, with a decision to investigate a complaint being made only after there
has been consultation between the Commission and the registration authority.
Where a disagreement occurs as to the appropriate action, both bodies will
retain the ability to refer the matter for investigation, thus creating an
internal checking method for all decisions which may result in disciplinary
action. This two-pronged system will also apply to decisions to refer
complaints for conciliation and will involve the Registrar in the consultation
process.Division 3 Notification and withdrawal of
complaints16 Person against whom complaint made to be notified of
complaint(1) The Commission must give written notice of the making of a
complaint, the nature of the complaint and the identity of the complainant to
the person against whom the complaint is made. The notice must be given not
later than 14 days after the Commission’s assessment of the complaint
under Division 4.(2) If the Commission has assessed the complaint, the notice is to
include the notice required to be given to the person under section
28.(3) The Commission may give a copy of the complaint to the person
against whom the complaint is made.(4) This section does not require the Commission to give notice under
this section if it appears to the Commission, on reasonable grounds, that the
giving of the notice will or is likely to:(a) prejudice the investigation of the complaint,
(b) place the health or safety of a client at risk,
(c) place the complainant or another person at risk of intimidation or
(5) Despite subsection (4), the Commission must give the notice if the
Commission considers on reasonable grounds that:(a) it is essential, having regard to the principles of natural
justice, that the notice be given, or
(b) the giving of the notice is necessary to investigate the matter
effectively or it is otherwise in the public interest to do
(6) If the Commission decides that subsection (4) applies to a
complaint but that some form of notice could be given of the complaint without
affecting the health or safety of a client or putting any person at risk of
intimidation or harassment, the Commission may give such a form of
notice.(7) On the expiration of each consecutive period of 60 days after the
complaint is assessed, the Commission must undertake a review of a decision
not to give notice under this section (or to give notice in some other form as
referred to in subsection (6)) unless notice under this section has already
been given or the Commission has discontinued dealing with the
complaint.17 Director-General to be notified of complaint made against
a health organisationOn receiving a complaint against a health organisation, the
Commission must give written notice of the making of the complaint, the nature
of the complaint and the identity of the complainant to the
Director-General.18 Can a complaint be withdrawn?(1) A complainant may withdraw the complaint at any time by notice in
writing to the Commission.(2) On the withdrawal of a complaint, the Commission may cease to deal
with it but must continue to deal with the matter the subject of the complaint
if it appears to the Commission that:(a) the matter raises a significant issue of public health or safety,
(b) the matter raises a significant question as to the appropriate
care or treatment of a client by a health service provider,
(c) the matter, if substantiated, would provide grounds for
disciplinary action against a health practitioner, or
(d) the matter, if substantiated, would involve gross negligence on
the part of a health practitioner.
Division 4 Assessment of complaints19 Initial assessment of complaints(1) On its receipt by the Commission, a complaint is to be
assessed.(2) This section does not apply to a matter that is to be investigated
in accordance with section 59.20 The purpose of assessment(1) The assessment of a complaint is for the purpose of deciding
whether:• the complaint should be investigated
• the complaint should be conciliated or dealt with under Division
• the complaint should be referred to the Director-General in
accordance with section 25 or 25A
• the complaint should be referred to another person or body in
accordance with section 25B or 26
• the Commission should decline to entertain the
(2) Unless the Commission decides to decline to entertain a complaint,
the Commission is, as part of its assessment of the complaint and as soon as
practicable after commencing its assessment:(a) to identify the specific allegations comprising the complaint and
the person or persons whose conduct appears to be the subject of the
(b) to use its best endeavours to confirm with the complainant and
with any other person who provided relevant information in relation to the
complaint that the matters so identified accord with the information provided
complaint(1) The Commission is to keep under review its assessment of a
complaint while it is dealing with the complaint.(2) At any time while dealing with a complaint (including during or at
the end of the investigation of a complaint) and after consultation with the
appropriate registration authority, the Commission may revise its assessment
of the complaint and take any of the following actions:(a) deal with the complaint under Division 9,
(b) refer the complaint for conciliation,
(c) investigate the complaint,
(d) refer the complaint to the Director-General in accordance with
section 25 or 25A,
(e) refer the complaint to another person or body in accordance with
section 25B or 26,
(f) change the person whose conduct appears to be the subject of the
complaint or include another person as a person whose conduct appears to be
the subject of the complaint,
(g) add to, substitute, amend or delete any of the specific
allegations comprising the complaint (including add an allegation arising out
of an investigation of the complaint that may not be the particular object of
the complaint).
Note. Section 56 limits the Commission’s power to investigate a
matter that has been dealt with under Division 8.(3) If the Commission revises its assessment of a complaint to include
another person as referred to in subsection (2) (f), sections 16 and 28 apply
to the giving of notice to that person as if a reference in those sections to
the assessment of the complaint were a reference to the revision of the
assessment under this section.(4) If the Commission revises its assessment of a complaint and as a
result determines that the conduct of a person previously being investigated
by the Commission will no longer be investigated or that different conduct of
the person will be investigated, the Commission is to give the person notice
in writing that the person’s conduct is no longer under investigation or
that other conduct of the person is now under investigation (as
appropriate).(5) In this section, complaint includes any
part of a complaint.21 Commission may require further informationFor the purposes of the assessment, the Commission may require the
complainant to provide further particulars of the complaint within such time,
not exceeding 60 days, as may be specified by the
Commission.21A Commission may obtain certain medical and other
documents(1) For the purposes of the assessment, the Commission may exercise
the powers conferred on it by section 34A in connection with the investigation
of a complaint to obtain hospital and medical records and documents relating
to a health practitioner’s practice.(2) A reference in this Act to a requirement under section 34A
includes a reference to such a requirement that arises under this
section.22 Time for completion of assessmentThe Commission must carry out its assessment of a
complaint:(a) within 60 days after receiving the complaint,
(b) if, under section 21, the Commission has required the complainant
to provide further particulars of the complaint, within 60 days after the date
by which the Commission specified that those particulars were to be
23 Investigation of complaint(1) The Commission must investigate a complaint:(a) if, under section 13 (1), the appropriate registration authority
is of the opinion that the complaint should be investigated,
(b) if, following assessment of the complaint, it appears to the
Commission that the complaint:(i) raises a significant issue of public health or safety,
(ii) raises a significant question as to the appropriate care or
treatment of a client by a health service provider, or
(iii) if substantiated, would provide grounds for disciplinary action
against a health practitioner, or
(iv) if substantiated, would involve gross negligence on the part of a
(2) A complaint is to be investigated in accordance with Division
5.(3) (Repealed)(4) The Commission may investigate a complaint despite any agreement
the parties to the complaint may have reached concerning the
complaint.24 Referral of complaints for conciliation or complaint
resolution(1) The Commission must refer a complaint for conciliation under
Division 8 if it is required to do so under section 13 (3) or if it decides to
do so under section 20A.(2) The Commission may deal with a complaint under Division 9 if the
complaint is not required to be investigated, referred to a registration
authority under section 25B or referred for
conciliation.(3) The Commission may at any time during the assessment of a
complaint take any action referred to in section 58C with respect to the
complaint without the need for consultation with the appropriate registration
authority.(4) However, subsection (3) does not affect the requirement in section
12 (1) for the Commission to consult with the appropriate registration
authority before making a determination on how a complaint should be dealt
with as a result of an assessment of the complaint.25 Notification of certain complaints to the
Director-General(1) Following the assessment, the Commission must notify the
Director-General of the details of the complaint if it appears to the
Commission that the complaint involves a possible breach of any of the
following Acts, or specified provisions of Acts, or any regulations made under
them:• Anatomy Act
• Health Administration Act
• Health Records and Information
Privacy Act 2002, section 68, 69 or 70
• Health Services Act
• Human Tissue Act
• Nursing Homes Act
• Poisons and Therapeutic Goods
• Private Hospitals and Day
Procedure Centres Act 1988
• Public Health Act
(2) The Commission is not required to notify the Director-General of
the details of the complaint if the complaint was made by the
Director-General.(3) The Director-General must notify the Commission whether the
Director-General proposes to deal with the complaint and, if the
Director-General does so, of the outcome of the Director-General’s
dealing with the complaint.(4) This section does not prevent the Commission from dealing with a
complaint (or any part of a complaint) in so far as it concerns:(a) the professional conduct of a health practitioner,
Note. The Director-General, under the Minister, is primarily responsible
for the enforcement of the Acts listed in section 25. Accordingly, complaints
arising under those Acts are to be referred to the Department of Health for
possible action. Accountability will be maintained through obligations imposed
on the Director-General to notify the Commission of the
outcome.However, the section ensures that the Commission may continue to
pursue questions that are not dealt with by the Director-General as well as
questions that concern the professional conduct of health practitioners and
the clinical management or care of individual clients.25A Reference of complaints to be dealt with under inquiry
powers of Director-General(1) The Commission may, with the consent of the Director-General,
refer a complaint (or part of a complaint) to the Director-General if the
Commission is of the opinion that the complaint (or part) relates to a matter
that could be the subject of an inquiry by the Director-General under section
71 of the Public Health Act
1991 or section 123 of the Health Services Act
1997.(2) Despite section 27 (3), the Commission must discontinue dealing
with a complaint (or part) under that section that has been referred to the
Director-General under this section.(3) However, the Commission may continue dealing with a complaint (or
any part of a complaint) in so far as it concerns:(a) the professional conduct of a health practitioner,
authorities(1) Following the assessment, the Commission may refer a complaint to
the appropriate registration authority (after consultation with that
authority) if it appears that the complaint (or part) should be referred to
the registration authority for consideration as to whether the registration
authority should take any action under the relevant health registration Act,
such as performance assessment or impairment assessment.Note. Section 13 (2) requires the Commission to refer a complaint to the
registration authority if either the Commission or the registration authority
is of the opinion that it should be referred.(2) Despite section 27 (3), the Commission must discontinue dealing
with a complaint (or part) under that section that has been referred to a
registration authority under this section.Note. Registration authorities are required in certain circumstances
under the relevant health registration Acts to deal with matters as complaints
that have been dealt with under performance assessment or impairment
assessment provisions. (See, for example, section 86M of the Medical Practice Act 1992 which
requires a matter arising from a performance review to be treated as a
complaint if the Performance Review Panel considers the matter raises a
significant issue of public health or safety.)26 Reference of complaint to another person or body for
investigation or other action(1) Following the assessment, the Commission may refer a complaint (or
any part of a complaint):(a) to an appropriate public health organisation if it appears that
the complaint (or part) may be capable of resolution at a local level and the
public health organisation consents, or
(b) to any person or body (other than a public health organisation or
registration authority) if it appears that the complaint (or part) raises
issues which require investigation by the other person or
(2) However, the Commission must continue to deal with the matter the
subject of the complaint (or part) if it appears to the Commission
that:(a) the matter raises a significant issue of public health or safety,
disciplinary action against a health practitioner.
(3) A public health organisation to which a complaint (or part) is
referred under this section may refer the complaint (or part) back to the
Commission if it is unable to resolve it or the public health organisation
considers that the matter is appropriate to be dealt with under Division 8 or
9.(4) If a complaint (or part) has been referred back to the Commission
under subsection (3), the Commission must assess the complaint (or part) again
in accordance with this Division.(5) The Commission may not refer a complaint (or part) to the
Director-General under this section.Note. The Commission may refer a complaint to the Director-General under
section 25 or 25A but only with the consent of the
Director-General.(6) In this section, public health
1997.27 Circumstances in which Commission may discontinue dealing
with complaint(1) Following the assessment, the Commission may discontinue dealing
with a complaint (or any part of a complaint) for any one or more of the
following reasons:(a) the complaint (or part) is frivolous, vexatious or not made in
(b) the subject-matter of the complaint (or part) is trivial or does
not warrant investigation or conciliation or the Commission dealing with it
under Division 9,
(c) the subject-matter of the complaint (or part) has been or is under
investigation by some other competent person or body or has been or is the
subject of legal proceedings,
(d) the complaint (or part) has been referred by the Commission to
another person or body for investigation or for consideration of other action
(including, for example, performance assessment or impairment assessment under
a health registration Act),
(e) there is or was, in relation to the matter complained of, a
satisfactory alternative means of dealing with the matter by the complainant
and the complainant does not have a sufficient reason for not pursuing that
alternative means,
(f) the complaint (or part) relates to a matter which occurred more
than 5 years before the complaint was made and the complainant does not have a
sufficient reason for having delayed the making of the
(g) the complainant has failed, without sufficient reason, to provide
further particulars of the complaint (or part) within the time specified by
(h) the complaint (or part) concerns a matter that falls within the
responsibility of the Commonwealth.
(2) This section does not exhaust the circumstances in which the
Commission may discontinue dealing with a complaint (or
part).(3) The Commission must not discontinue dealing with a complaint (or
part) under this section if it appears to the Commission that the complaint
(or part) raises a significant issue of public health or
safety.(4) If the Commission discontinues dealing with a complaint (or part)
under this section, the complaint (or part) is
terminated.28 Notice of action taken or decision made following
assessment(1) The Commission must give the parties to the complaint notice in
writing of the action taken or decision made by the Commission following its
assessment of the complaint. The notice is to be given within 14 days after
the Commission takes that action or makes that
decision.(2) If the Commission decides to investigate a complaint against a
health practitioner, the Commission must give notice in writing of the
decision:(a) if the health practitioner has provided the health service in
respect of which the complaint is made under a contract or agreement with a
person who is, or who conducts, a hospital or other health care facility, to
(b) if the health practitioner has provided the health service in the
capacity of an employee, to the health practitioner’s
(3) If the Commission decides to investigate a complaint against a
health practitioner, the Commission may give notice in writing of the decision
to a person who currently employs or engages the health practitioner as a
health practitioner.(4) This section does not require the Commission to give notice of
action taken or a decision made to investigate a complaint if it appears to
the Commission, on reasonable grounds, that the giving of the notice
will:(a) prejudice the investigation of the complaint,
(d) unreasonably prejudice the employment of the health practitioner
in the case of a health practitioner who has provided the health service in
the capacity of an employee.
Commission has decided to investigate a complaint, the Commission must
undertake a review of a decision not to give notice under this section (or to
give notice in some other form as referred to in subsection (6)), unless
notice under this section has already been given or the Commission has
discontinued dealing with the complaint.(8) The Commission’s notice to the complainant must
include:(a) advice that the complainant may ask the Commission to review the
decision made after assessing the complaint if the decision is:(i) not to investigate the complaint, or
(ii) to refer the complaint to the Director-General under section 25 or
25A, or
(iii) to refer the complaint to another person or body under section 25B
or 26, or
(iv) to discontinue dealing with the complaint under section 27,
(9) The Commission may review a decision made after assessing a
complaint if requested to do so by the complainant, and must do so if the
request is made within 28 days after the complainant is notified of the
decision.Note. A complainant also has the right under section 41 (3) to request a
review of a decision made by the Commission under section 39 at the end of its
investigation of a complaint.28A Notification of other persons following
assessment(1) The Commission is to use its best endeavours to give notification
of the outcomes of the assessment of a complaint to a client whose treatment
is the subject of the complaint and who is not required to be given notice
under section 28 unless the client:(a) is deceased, or
(b) is incapable of understanding the
(2) If a complaint relates to the treatment of a client at a hospital
or other health care facility, the Commission is to use its best endeavours to
give notification of the outcomes of the assessment of the complaint to any
person recorded by the hospital or health care facility as being a contact for
the client.(3) Without affecting the Commission’s obligations under
subsections (1) and (2), the Commission may, if it thinks it appropriate and
it is practicable to do so, give notification of the outcomes of the
assessment of a complaint to any person who is associated with a client whose
treatment is the subject of the complaint (including a legal representative of
the client or of the estate of the client).(4) The Commission may only give notification to a person under
subsection (2) or (3) if the client concerned:(a) is deceased, or
(b) is incapable of understanding the notification and the
client’s authorised representative (as defined in section 8 of the
Health Records and Information Privacy Act
2002) has consented to the Commission giving the
(5) On request by the Commission, a person who is, or who conducts, a
hospital or health care facility is to supply the Commission with any
information in its possession that is necessary for the Commission to fulfil
its obligations under subsections (1) and (2). The information may be provided
to the Commission despite any other Act or law.Division 5 Investigation of complaintsNote. The bulk of Commission investigations under this Division will
deal with matters arising under health registration Acts relating to health
practitioners. The Commission will investigate with a view to moving to
prosecution of the complaint before the appropriate professional board,
committee or tribunal. The Commission will also use its powers under this
Division for other matters referred to it, such as a matter which is referred
for investigation under section 59, or where the Commission is operating in
conjunction with the Department of Health under general health
legislation.29 The purpose of investigation(1) The investigation of a complaint by the Commission is for the
purpose of obtaining information concerning the matter complained of and to
determine what action should be taken in respect of the
complaint.(2) The investigation of a complaint is to be conducted as
expeditiously as the proper investigation of the complaint permits. Expedition
is particularly appropriate if the complainant or the person on whose behalf
the complaint is made is seriously ill.30 Expert assistance(1) In investigating a complaint, the Commission may obtain a report
from a person (including a person registered under a health registration Act)
who, in the opinion of the Commission, is sufficiently qualified or
experienced to give expert advice on the matter the subject of the
complaint.(2) The Commission may not obtain a report from a person who has a
financial connection with the health practitioner against whom the complaint
is made.(2A) If the Commission seeks to obtain a report from a person under
this section in relation to a complaint, the Commission is to provide the
person with all relevant information concerning the complaint that is in the
possession of the Commission.(3) The person giving the report must include in it, or annex to it, a
statement in the following form, completed as appropriate:I have/do not have a personal, financial or professional
connection with the person against whom the complaint is made. Particulars of
the connection are as follows:....................................................................................................................................................................................Dated this day of 19 .Signature............................................................
(4) Such a report may be used in disciplinary or related proceedings
under a health registration Act but may not be admitted or used in any other
proceedings before a court, tribunal or body, except with the consent of the
person giving the report, the complainant and the person against whom the
complaint is made.(5) A person from whom such a report is obtained, the Commission or
the Commissioner may not be compelled to produce the report or to give
evidence in relation to the report or its contents in any such other
proceedings.(6) In this section, report includes a copy,
reproduction and duplicate of the report or any part of the report, copy,
reproduction or duplicate.31 Authorisation of persons to carry out
investigations(1) The Commission may authorise an officer of the Commission, in
writing, to exercise the functions under section
33.(2) The Commission must provide an authorised person with a
certificate of authority in the form set out in Schedule
1.(3) An authorised person in exercising in any place a function
conferred on the authorised person under section 33 must, if so requested by a
person apparently in charge of the place, produce the certificate to the
person.32 Functions to be exercised only with consent or under
search warrantAn authorised person may not enter any premises and exercise a
function under section 33 except with the consent of the owner or occupier of
the premises or under the authority of a search
warrant.33 Powers of entry, search and seizureAn authorised person may, for the purpose of investigating a
complaint, do any one or more of the following:(a) at any reasonable time, enter and inspect any premises if the
authorised person reasonably believes it is necessary to enter those premises
for the purpose of investigating the matter with which the complaint is
(b) examine, seize, retain or remove any equipment that the authorised
person reasonably believes is, has been or may be used in connection with that
(c) require the production of and inspect any stocks of any substance
or drugs in or about those premises,
(d) require any person within those premises to produce any records in
the possession or under the control of that person relating to that
(e) take copies of, or extracts or notes from, any such
(f) remove any such records, with the consent of the owner of the
records, for a maximum period of 24 hours for the purpose of taking copies of,
or notes from, those records,
(g) require any person at those premises to answer questions or
otherwise furnish information in relation to that matter,
(h) require the owner or occupier of those premises to provide the
authorised person with such assistance and facilities as is or are reasonably
necessary to enable the authorised person to exercise the functions of an
authorised person under this section.
34 Search warrant(1) An authorised person may apply to an authorised officer for a
search warrant if the person has reasonable grounds for believing that entry
to premises is necessary for the purpose of investigating a complaint that, if
substantiated, may provide grounds for:(a) the suspension or disqualification (by deregistration or
cancellation of enrolment) of the person against whom the complaint is made,
(b) the criminal prosecution of that person, or
(c) the taking of other disciplinary action against that
(2) An authorised person may not apply for a search warrant to search
premises for the purpose of investigating a complaint against a health
practitioner who is or was, at the relevant time, registered under a health
registration Act (or whose registration is or was suspended) unless the
authorised person or the Commission has caused the President or Chairperson of
the appropriate registration authority to be notified of the
application.(3) An authorised officer to whom an application is made under this
issue a search warrant authorising an authorised person named in the search
warrant to enter the premises and to exercise there the functions of an
authorised person under section 33.(4) Division 4 of Part 5 of the Law
2002.34A Power of Commission to obtain information, records and
evidence(1) If the Commission is investigating a complaint and is of the
opinion that a person is capable of giving information, producing documents
(including medical records) or giving evidence that would assist in the
investigation, the Commission may, by notice in writing given to the person,
request the person to do any one or more of the following:(a) to give the Commission, by writing signed by the person (or, in
the case of a corporation, by a competent officer of the corporation) and
within such time as is reasonable, and in the manner, specified in the notice,
any such information of which the person has knowledge,
(b) to produce to the Commission, in accordance with the notice, any
such documents,
(c) to appear before the Commissioner or a member of staff of the
Commission authorised by the Commissioner at a time and place specified in the
notice that is reasonable and give any such evidence, either orally or in
writing, and produce any such documents.
(2) A person to whom a request is made under subsection (1) may comply
with the request, but is not required to comply with it unless the person
is:(a) the complainant, or
(b) a person against whom the complaint was made,
(c) a health service provider.
(3) Information and documents may be given or provided to the
Commission in compliance with this section despite any other Act or law (but
not despite a provision of Division 8 of this Part or Division 6B or 6C of
Part 2 of the Health Administration Act
1982).(4) A person who is required to comply with a request under subsection
(1) must not, without reasonable excuse, fail to comply with the
request.Maximum penalty: 20 penalty units.Note. Failure of a health practitioner to comply with a request under
subsection (4) may constitute unsatisfactory professional conduct under the
relevant health registration Act.35 Offence: obstructing an authorised person, Commission
etcA person who:(a) prevents an authorised person from exercising a function under
section 33, or
(b) hinders or obstructs an authorised person in the exercise of such
(c) without reasonable excuse, refuses or fails to comply with a
requirement made or to answer a question of an authorised person asked in
accordance with section 33, or
(d) furnishes information knowing that it is false or misleading in a
material particular to an authorised person, the Commissioner or a member of
staff of the Commission in connection with the exercise of their functions
under this Act with respect to a complaint,
is guilty of an offence.Maximum penalty: 20 penalty
units.36 Offence: impersonating an authorised personA person who impersonates or falsely represents that he or she is
an authorised person is guilty of an offence.Maximum penalty: 20 penalty
units.37 (Repealed)37A Protection from incrimination(1) Self-incrimination not an excuse A person is not excused from a requirement under section 34A to
give information, to answer a question or to produce a document on the ground
that the information, answer or document might incriminate the person or make
the person liable to a penalty.(2) Information or answer not admissible if objection
made However, any information or answer given by a natural person in
compliance with a requirement under section 34A is not admissible in evidence
against the person in any civil or criminal proceedings (except disciplinary
proceedings or proceedings for an offence under this Part) if:(a) the person objected at the time to doing so on the ground that it
(b) the person was not warned on that occasion that the person may
object to giving the information or answer on the ground that it might
(3) Documents admissible Any document produced by a person in compliance with a requirement
under section 34A is not inadmissible in evidence against the person in any
proceedings on the ground that the document might incriminate the
person.(4) Further information Further information obtained as a result of a document produced or
information or answer given in compliance with a requirement under section 34A
is not inadmissible in any proceedings on the ground:(a) that the document, information or answer had to be produced or
(b) that the document, information or answer might incriminate the
(5) The Commission, the Commissioner or a member of staff of the
Commission cannot be required (whether by subpoena or any other procedure) to
produce, in connection with any proceedings, a document that contains any
information or answer that has been obtained as a result of a requirement
under section 34A if the information or answer is not admissible in evidence
in those proceedings because of this section.38 Notification of findings of investigation to appropriate
registration authority(1) The Commission must notify the appropriate registration authority
(if any) of the findings of an investigation.(2) If the Commission is required to consult with the registration
authority under section 39 (2), the notification may be given at the time of
consultation.Division 6 Outcomes of investigations into health
practitioners39 What action is taken after an investigation?(1) At the end of the investigation of a complaint against a health
practitioner, the Commission must do one or more of the following:(a) refer the complaint to the Director of
(c) refer the complaint to the appropriate registration authority (if
any) for consideration of the taking of action under the relevant health
registration Act, such as the referral of the health practitioner for
performance assessment or impairment assessment,
(d) make comments to the health practitioner on the matter the subject
of the complaint,
(e) terminate the matter,
(f) refer the matter the subject of the complaint to the Director of
(1A) The Commission is not required to take action under this section
if it reviews its assessment of the complaint and takes action under section
20A.(2) The Commission must consult with the appropriate registration
authority before deciding what action to take.(3) In this section, disciplinary body
means a person or body (including a professional standards committee)
established under a health registration Act that has the power to discipline a
health practitioner or suspend or cancel (by whatever means) the registration
of a health practitioner.40 Opportunity for persons investigated to make
submissions(1) If, at the end of the investigation of a complaint against a
health practitioner, the Commission proposes to do any of the things referred
to in section 39 (1) (a), (b), (c) or (d), it must first inform the health
practitioner of the substance of the grounds for its proposed action and give
the health practitioner an opportunity to make
submissions.(2) Any such submission must be made in writing within 28 days after
the health practitioner is so informed.(3) The Commission is not required by this section to inform a health
practitioner of the substance of the grounds for its proposed action
if:(a) the grounds relate to the sufficiency of the physical or mental
capacity of the practitioner to practise as a health practitioner under the
impairment provisions of a health registration Act, and
(b) the practitioner has been notified by the appropriate registration
authority of action to be taken pursuant to those
Note. Section 40 (3) will ensure that registration authorities can act
to deal with impaired practitioners pursuant to any powers they may have under
their respective health registration Acts, without awaiting advice from the
Commission. The Medical Practice Act
Midwives Act 1991 contain such
provisions.41 Notification of results of investigations and review of
decisions(1) After the Commission has complied with section 39 and any
requirement under section 40, it must notify the parties to the complaint and
the appropriate registration authority, in writing, of the results of the
investigation, the action taken under section 39 and the reasons for taking
that action and include advice that the complainant may ask the Commission to
review the decision made under section 39.(2) The Commission may, at its discretion, also provide the same
information to:(a) an appropriate professional or similar association, if there is no
appropriate registration authority, or
(b) any person or body it could have referred the matter to under
section 26 if it is of the view that the matter requires investigation by that
(3) The Commission must review a decision made under section 39 if
asked to do so by the complainant.Division 7 Outcomes of investigations into health
organisations42 What action is taken at the end of an
investigation?(1) At the end of the investigation of a complaint against a health
organisation, the Commission must:(a) terminate the matter, or
(b) make recommendations or comments to the health organisation on the
matter the subject of the complaint, or
(c) refer the matter the subject of the complaint to the Director of
(2) If the Commission makes recommendations or comments, it must
prepare a report on the matter for the
Director-General.(3) The report must include:(a) the reasons for its conclusions, and
(b) the reasons for any action recommended to be
health organisation, the Commission proposes to make recommendations or
comments to the health organisation on the matter the subject of the
complaint, it must first inform the health organisation of the substance of
the grounds for its proposed action and give the health organisation an
opportunity to make submissions.(2) Any such submission must be made in writing within 28 days after
the health organisation is so informed.44 Implementation of report(1) The Commission may request the Director-General to notify it of
any action taken or proposed as a consequence of its report under section 42
(2).(2) If the Commission is not satisfied that sufficient steps have been
taken within a reasonable time as a consequence of its report to the
Director-General, it may, after consultation with the Director-General, make a
report to the Minister.(3) If the Commission is not satisfied that sufficient steps have been
taken within a reasonable time as a consequence of its report to the Minister,
it may make a special report on the matter to the Presiding Officer of each
House of Parliament.(4) Section 63 (subsection (1) excepted) applies to a special report
under this section in the same way as it applies to a special report under
section 63.45 Notification of results of investigation(1) After the Commission has complied with any requirement under
section 43, it must notify the parties to the complaint, in writing, of the
results of the investigation.(2) The Commission may, at its discretion, also provide the results of
its investigation to any person or body it could have referred the matter to
under section 26.(3) Nothing in this section authorises the release of a report
prepared under section 42 (2) otherwise than as provided by section 44, unless
the report is released by the Director-General or the
Minister.Division 8 Conciliation46 Appointment of conciliators(1) On the referral of a complaint by the Commission to the Health
Conciliation Registry, the Registrar must appoint a conciliator to conciliate
the complaint.(2) The Registrar may appoint more than one conciliator to conciliate
the complaint if the Registrar thinks it is desirable to do
so.47 Notification of arrangements for conciliationWithin 14 days after the referral of a complaint by the Commission
to the Health Conciliation Registry, the Registrar must give written notice to
the parties to the complaint of the following:(a) that the complaint has been referred for
(b) that the conciliation process is voluntary and that the consent of
the parties is required,
(c) the objects of the conciliation process,
(d) confidentiality provisions concerning
(e) the effect of any agreements arising out of
(f) the reasons why conciliation is considered to be
48 Conciliation to be voluntaryParticipation in the conciliation process by the parties to a
complaint is voluntary.49 Role of conciliatorThe function of a conciliator is:(a) to bring the parties to the complaint together for the purpose of
promoting the discussion, negotiation and settlement of the complaint,
(b) to undertake any activity for the purpose of promoting that
discussion, negotiation and settlement, and
(c) if possible, to assist the parties to the complaint to reach
Note. A conciliator has no power to impose a decision on the parties, to
make a determination or to award compensation.50 Assistance to parties at conciliation(1) At the conciliation of a complaint, a party to the complaint is
not entitled to be legally represented.(2) A party to a complaint may be assisted by another person (not
being an Australian legal practitioner) if the assistance is provided:(a) to the complainant, or
(b) to another party to the complaint and the Registrar or conciliator
gives permission because the party would be disadvantaged without the
(3) This section does not prevent an officer of a corporation that is
a party to a complaint from representing the
corporation.(4) Contravention of this section does not invalidate the conciliation
of a complaint.51 Confidentiality of the conciliation process(1) Evidence of anything said or of any admission made during the
conciliation process is not admissible in any proceedings before a court,
tribunal or body.(2) A document prepared for the purposes of, or in the course of, the
conciliation process (or a copy of such a document) is not admissible in any
proceedings before a court, tribunal or body.(3) This section does not apply to evidence or a document if the
persons who attended, or were named during, the conciliation process and, in
the case of a document, all persons named in the document, consent to
admission of the evidence or document.(4) A person cannot be required (whether by subpoena or any other
procedure) to produce evidence or a document that is inadmissible in evidence
in proceedings before a court, tribunal or body because of this
section.52 Conclusion of the conciliation process(1) The conciliation process is concluded:(a) if either party terminates the conciliation process at any time,
(b) if the parties to the complaint reach agreement concerning the
matter the subject of the complaint.
(2) The complainant must notify the Registrar without delay if the
parties reach agreement otherwise than during the conciliation
process.(3) The conciliation process is terminated if the conciliator
terminates the process after having formed the view:(a) that it is unlikely that the parties will reach agreement,
(b) a significant issue of public health or safety has been
conciliation process(1) On the conclusion of the conciliation process, the conciliator who
was involved in the process must prepare a report to the Registrar concerning
the conciliation.(2) The report may state only:(a) the outcome of the conciliation process, and
(b) whether or not a recommendation is made that the Commission
investigate the complaint.
(3) As soon as practicable after receipt of the report, the Registrar
must give a copy of the report to the Commission, the parties to the complaint
and the appropriate registration authority (if
any).54 Furnishing of other information to Registrar concerning
conciliation processA conciliator who was involved in a conciliation process must
furnish information to the Registrar (otherwise than in a report under section
53) sufficient to enable the Registrar to comply with section
55.55 Six-monthly reports to registration authorities(1) As soon as practicable after 1 April and 1 October in each year,
the Registrar must furnish a report to each registration authority setting out
the following information in relation to the complaints which have been dealt
with under this Division during the previous 6 months:(a) the number of complaints dealt with,
(b) the background of each complaint,
(c) the nature of the issues the subject of the conciliation
(d) any issues of a general nature arising out of each complaint
relevant to the professional or educational standards of the profession
(2) A report must not contain any information which identifies a party
to a complaint.(3) A registration authority must not use a report furnished to it
under this section except for the purpose of providing general information to
health practitioners who are registered by it concerning the professional or
educational standards of their profession.56 Complaint may be referred for investigation(1) Despite section 20A, the Commission may investigate a complaint
that has been dealt with under this Division but only if:(a) the report under section 53 contains a recommendation that the
Commission investigate the complaint, or
(b) new material concerning the matter the subject of the complaint
becomes available and that material raises a matter that would cause the
Commission to refer the complaint for investigation in accordance with section
(2) Before investigating the complaint, the Commission must consult
with the appropriate registration authority (if any). If either the Commission
or the appropriate registration authority (or both) is (or are) of the opinion
that a complaint should be investigated, it must be
investigated.57 Health Conciliation Registry and conciliators to be
independent in dealing with complaintsA member of staff of the Commission employed in the Health
Conciliation Registry or a conciliator is not subject to the direction and
control of the Commissioner in relation to dealing with any particular
complaint that has been referred to the Health Conciliation Registry for
conciliation.58 Offence for conciliator or staff of Health Conciliation
Registry to disclose information obtained in conciliationA conciliator or a member of staff of the Commission employed in
the Health Conciliation Registry must not disclose information obtained during
the conciliation of a complaint (including to a member of staff of the
Commission that is not employed in the Registry) except in any one or more of
the following circumstances:(a) with the consent of the parties to the complaint
(c) if there are reasonable grounds to believe that the disclosure is
necessary to prevent or minimise the danger of injury to any person or damage
to any property,
(d) in accordance with a requirement imposed by or under a law of the
Maximum penalty: 10 penalty units or imprisonment for 6 months, or
both.58A Offence of concealing a serious offenceA conciliator is not liable to be proceeded against under section
316 of the Crimes Act 1900
in respect of any information obtained in connection with the conciliation
process.Division 9 Complaints resolution58B Objects of Commission under this DivisionThe objects of the Commission under this Division are as
follows:(a) to provide an alternate and neutral means of resolving complaints
that is independent of the investigative processes of the
(b) to facilitate the resolution of complaints, including determining
the most appropriate means of resolution having regard to the nature of the
complaint and the expectations of the parties to the
(c) to provide information to health service providers and members of
the public on the complaints resolution functions of the Commission under this
58C Function of Commission under this DivisionThe Commission, when dealing with a complaint under this Division,
is to take appropriate measures to assist in the resolution of the complaint,
including (but not limited to) any of the following measures:(a) providing information to the parties to the
(b) undertaking discussions concerning the complaint with the parties
to the complaint,
(c) facilitating the direct resolution of the complaint between the
parties to the complaint.
voluntaryParticipation in the complaints resolution process under this
Division by the parties to a complaint is voluntary.Part 3 Other investigations by the Commission59 Investigation of health servicesThe Commission may, in accordance with this Part, investigate the
delivery of health services by a health service provider directly affecting
the clinical management or care of clients which may not be the particular
object of a complaint but which arises out of a complaint or out of more than
one complaint, if it appears to the Commission that:(a) the matter raises a significant issue of public health or safety,
care or treatment of clients, or
investigationAn investigation under this Part may not be carried out by the
Commission unless:(a) the Commission has notified the Director-General that it proposes
to carry out the investigation and requests the Director-General to provide it
with a report on the matter, and
(b) the Director-General:(i) fails to provide the report within 30 days after receiving the
Commission’s request (or such longer period as the Commission may
allow), or
(ii) provides a report to the Commission which, in the opinion of the
Commission, is not satisfactory.
this PartDivision 5 of Part 2 applies to an investigation under this Part
in the same way as it applies to the investigation of a complaint under that
Division.62 Report to Director-General and Minister following
investigation(1) The Commission must prepare a report of an investigation carried
out under this Part and give copies of the report to the Director-General and
the Minister.(2) The Commission may request the Director-General and the Minister
to notify it of any action taken or proposed as a consequence of a
recommendation made by the Commission in the
report.63 Special report to Parliament(1) If the Commission is not satisfied that sufficient steps have been
taken within a reasonable time concerning a recommendation in the report under
section 62, the Commission may make a special report on the matter to the
Presiding Officer of each House of Parliament.(2) A copy of a report furnished to the Presiding Officer of a House
of Parliament under this section is to be laid before that House before the
end of the next sitting day of that House after it is received by the
Presiding Officer.(3) The Commission may include in a report a recommendation that the
report be made public immediately.(4) If a report includes a recommendation by the Commission that the
report be made public immediately, a Presiding Officer of a House of
Parliament must make it public whether or not that House is in session and
whether or not the report has been laid before that
House.(5) If such a report is made public by that Presiding Officer of a
House of Parliament before it is laid before that House, it attracts the same
privileges and immunities as if it had been laid before that
House.(6) A Presiding Officer need not inquire whether all or any conditions
precedent have been satisfied as regards a report purporting to have been made
and furnished in accordance with this Act.(7) References in this section to a Presiding Officer are references
to the President of the Legislative Council or the Speaker of the Legislative
Assembly.(8) If there is a vacancy in the office of President, the reference to
the President is taken to be a reference to the Clerk of the Legislative
Council.(9) If there is a vacancy in the office of Speaker, the reference to
the Speaker is taken to be a reference to the Clerk of the Legislative
Assembly.Part 4 Parliamentary Joint Committee64 Constitution of Joint CommitteeAs soon as practicable after the commencement of this Part and the
commencement of the first session of each Parliament, a joint committee of
members of Parliament, to be known as the Committee on the Health Care
Complaints Commission, is to be appointed.65 Functions(1) The functions of the Joint Committee are as follows:(a) to monitor and to review the exercise by the Commission of the
Commission’s functions under this or any other Act,
(a1) without limiting paragraph (a), to monitor and review the exercise
of functions by the Health Conciliation Registry,
(b) to report to both Houses of Parliament, with such comments as it
thinks fit, on any matter appertaining to the Commission or connected with the
exercise of the Commission’s functions to which, in the opinion of the
Joint Committee, the attention of Parliament should be
(c) to examine each annual and other report made by the Commission,
and presented to Parliament, under this or any other Act and to report to both
Houses of Parliament on any matter appearing in, or arising out of, any such
(d) to report to both Houses of Parliament any change that the Joint
Committee considers desirable to the functions, structures and procedures of
(e) to inquire into any question in connection with the Joint
Committee’s functions which is referred to it by both Houses of
Parliament, and to report to both Houses on that
(2) Nothing in this Part authorises the Joint Committee:(a) to re-investigate a particular complaint, or
(b) to reconsider a decision to investigate, not to investigate or to
discontinue investigation of a particular complaint, or
(c) to reconsider the findings, recommendations, determinations or
other decisions of the Commission, or of any other person, in relation to a
particular investigation or complaint.
(3) The functions of the Joint Committee may be exercised in respect
of matters occurring before or after the commencement of this
section.66 Power to veto proposed appointment of
Commissioner(1) The Minister is to refer a proposal to appoint a person as the
Commissioner of the Commission to the Joint Committee and the Committee is
empowered to veto the proposed appointment as provided by this section. The
Minister may withdraw a referral at any time.(2) The Joint Committee has 14 days after the proposed appointment is
referred to it to veto the proposal and has a further 30 days (after the
initial 14 days) to veto the proposal if it notifies the Minister within that
14 days that it requires more time to consider the
matter.(3) The Joint Committee is to notify the Minister, within the time
that it has to veto a proposed appointment, whether or not it vetoes
it.(4) A referral or notification under this section is to be in
writing.67 Membership(1) The Joint Committee is to consist of 7 members, of whom:(a) 3 are to be members of, and appointed by, the Legislative Council,
(b) 4 are to be members of, and appointed by, the Legislative
(2) The appointment of members of the Joint Committee is, as far as
practicable, to be in accordance with the practice of Parliament with
reference to the appointment of members to serve on joint committees of both
Houses of Parliament.(3) A person is not eligible for appointment as a member of the Joint
Committee if the person is a Minister of the Crown or a Parliamentary
Secretary.68 Vacancies(1) A member of the Joint Committee ceases to hold office:(a) when the Legislative Assembly is dissolved or expires by the
effluxion of time, or
(b) if the member becomes a Minister of the Crown or a Parliamentary
(c) if a member ceases to be a member of the Legislative Council or
Legislative Assembly, or
(d) if, being a member of the Legislative Council, the member resigns
the office by instrument in writing addressed to the President of the
(e) if, being a member of the Legislative Assembly, the member resigns
the office by instrument in writing addressed to the Speaker of the
(f) if the member is discharged from office by the House of Parliament
(2) Either House of Parliament may appoint one of its members to fill
a vacancy among the members of the Joint Committee appointed by that
House.69 Chairman and Vice-Chairman(1) There is to be a Chairman and a Vice-Chairman of the Joint
Committee, who are to be elected by and from the members of the Joint
Committee.(2) A member of the Joint Committee ceases to hold office as Chairman
or Vice-Chairman of the Joint Committee if:(a) the member ceases to be a member of the Committee,
(b) the member resigns the office by instrument in writing presented
to a meeting of the Committee, or
(c) the member is discharged from office by the
(3) At any time when the Chairman is absent from New South Wales or
is, for any reason, unable to perform the duties of Chairman or there is a
vacancy in that office, the Vice-Chairman may exercise the functions of the
Chairman under this Act or under the Parliamentary Evidence Act
1901.70 Procedure(1) The procedure for the calling of meetings of the Joint Committee
and for the conduct of business at those meetings is, subject to this Act, to
be as determined by the Committee.(2) The Clerk of the Legislative Assembly is to call the first meeting
of the Joint Committee in each Parliament in such manner as the Clerk thinks
fit.(3) At a meeting of the Joint Committee, 4 members constitute a
quorum, but the Committee must meet as a joint committee at all
times.(4) The Chairman or, in the absence of the Chairman, the Vice-Chairman
(or, in the absence of both the Chairman and the Vice-Chairman, a member of
the Joint Committee elected to chair the meeting by the members present) is to
preside at a meeting of the Joint Committee.(5) The Vice-Chairman or other member presiding at a meeting of the
Joint Committee has, in relation to the meeting, all the functions of the
Chairman.(6) The Chairman, Vice-Chairman or other member presiding at a meeting
of the Joint Committee has a deliberative vote and, in the event of an
equality of votes, also has a casting vote.(7) A question arising at a meeting of the Joint Committee is to be
determined by a majority of the votes of the members present and
voting.(8) The Joint Committee may sit and transact business despite any
prorogation of the Houses of Parliament or any adjournment of either House of
Parliament.(9) The Joint Committee may sit and transact business on a sitting day
of a House of Parliament during the time of
sitting.70A Reporting when Parliament not in session(1) If a House of Parliament is not sitting when the Joint Committee
seeks to furnish a report to it, the Committee may present copies of the
report to the Clerk of the House.(2) The report:(a) on presentation and for all purposes is taken to have been laid
(b) may be printed by authority of the Clerk, and
(d) is to be recorded in the Minutes, or Votes and Proceedings, of the
House on the first sitting day of the House after receipt of the report by the
71 Evidence(1) The Joint Committee has power to send for persons, papers and
records.(2) The Joint Committee must take all evidence in public subject to
section 72.(3) If the Joint Committee as constituted at any time has taken
evidence in relation to a matter but the Committee as so constituted has
ceased to exist before reporting on the matter, the Committee as constituted
at any subsequent time, whether during the same or another Parliament, may
consider that evidence as if it had taken the
evidence.(4) The production of documents to the Joint Committee is to be in
accordance with the practice of the Legislative Assembly with respect to the
production of documents to select committees of the Legislative
Assembly.72 Confidentiality(1) If any evidence proposed to be given before, or the whole or a
part of a document produced or proposed to be produced to, the Joint Committee
relates to a secret or confidential matter, the Committee may, and at the
request of the witness giving the evidence or the person producing the
document must:(a) take the evidence in private, or
(b) direct that the document, or the part of the document, be treated
(2) If any evidence proposed to be given before, or the whole or a
part of a document produced or proposed to be produced in evidence to, the
Joint Committee relates to the proposed appointment of a person as the
Commissioner of the Commission, the Committee must (despite any other
provision of this section):(a) take the evidence in private, or
(3) Despite any other provision of this section except subsection (9),
the Joint Committee must not, and a person (including a member of the
Committee) must not, disclose any evidence or the contents of a document or
that part of a document to which subsection (2) applies.Maximum penalty: 20 penalty units or imprisonment for 3 months, or
both.(4) Despite any other provision of this section except subsection (9),
the Joint Committee (including a member of the Committee) must not, and any
person assisting the Committee or present during the deliberations of the
Committee must not, except in accordance with section 66 (3), disclose whether
or not the Joint Committee or any member of the Joint Committee has vetoed, or
proposes to veto, the proposed appointment of a person as
Commissioner.Maximum penalty: 20 penalty units or imprisonment for 3 months, or
both.(5) If a direction under subsection (1) applies to a document or part
of a document produced to the Joint Committee:(a) the contents of the document or part are, for the purposes of this
section, to be regarded as evidence given by the person producing the document
or part and taken by the Committee in private, and
(b) the person producing the document or part is, for the purposes of
this section, to be regarded as a witness.
(6) If, at the request of a witness, evidence is taken by the Joint
Committee in private:(a) the Committee must not, without the consent in writing of the
witness, and
(b) a person (including a member of the Committee) must not, without
the consent in writing of the witness and the authority of the Committee under
subsection (8),
disclose or publish the whole or a part of that evidence.Maximum penalty: 20 penalty units or imprisonment for 3 months, or
both.(7) If evidence is taken by the Joint Committee in private otherwise
than at the request of a witness, a person (including a member of the
Committee) must not, without the authority of the Committee under subsection
(8), disclose or publish the whole or a part of that evidence.Maximum penalty: 20 penalty units or imprisonment for 3 months, or
both.(8) The Joint Committee may, in its discretion, disclose or publish
or, by writing under the hand of the Chairman, authorise the disclosure or
publication of evidence taken in private by the Committee, but this subsection
does not operate so as to affect the necessity for the consent of a witness
under subsection (6).(9) Nothing in this section prohibits:(a) the disclosure or publication of evidence that has already been
lawfully published, or
(b) the disclosure or publication by a person of a matter of which the
person has become aware otherwise than by reason, directly or indirectly, of
the giving of evidence before the Joint Committee.
(10) This section has effect despite section 4 of the Parliamentary Papers (Supplementary Provisions) Act
1975.(11) If evidence taken by the Joint Committee in private is disclosed
or published in accordance with this section:(a) sections 5 and 6 of the Parliamentary Papers (Supplementary Provisions) Act
1975 apply to and in relation to the disclosure or publication
as if it were a publication of that evidence under the authority of section 4
of that Act, and
(b) Division 5 of Part 3 of, and Schedule 2 to, the Defamation Act 1974 apply to and in
relation to that evidence as if it were taken by the Committee in
73 Application of certain ActsFor the purposes of the Parliamentary Evidence Act 1901 and
the Parliamentary Papers (Supplementary
Provisions) Act 1975 and for any other purposes:(a) the Joint Committee is to be regarded as a joint committee of the
Legislative Council and Legislative Assembly, and
(b) the proposal for the appointment of the Joint Committee is to be
regarded as having originated in the Legislative
74 Validity of certain acts or proceedingsAny act or proceeding of the Joint Committee is, even though at
the time when the act or proceeding was done, taken or commenced there
was:(a) a vacancy in the office of a member of the Committee,
(b) any defect in the appointment, or any disqualification, of a
member of the Committee,
as valid as if the vacancy, defect or disqualification did not exist and
the Committee were fully and properly constituted.Part 5 Health Care Complaints Commission75 The Commission(1) There is constituted by this section a body corporate with the
corporate name of the Health Care Complaints
Commission.(2) The Commission is a statutory body representing the
Crown.(3) Subject to section 90B, the functions of the Commission are
exercisable by the Commissioner. Any act, matter or thing done in the name of,
or on behalf of, the Commission by the Commissioner, or with the authority of
the Commissioner, is taken to have been done by the
Commission.(4) A reference in this Act to anything done or omitted by, to or in
relation to the Commission includes a reference to a thing done or omitted by,
to or in relation to the Commissioner or another officer of the Commission
having authority in the circumstances.76 Appointment of Commissioner(1) The Governor may appoint a
Commissioner.(2) The Commissioner has and may exercise the functions conferred or
imposed on the Commissioner by or under this or any other
Act.77 The Commissioner(1) The employment of the Commissioner is subject to Part 2A of the
1988, but is not subject to Part 2 of that Act.Note. Part 2A of the Public Sector
Management Act 1988, in section 42F, provides for term
appointments of not more than 5 years.(2) A person may hold office as Commissioner for terms totalling not
more than 10 years.(3) The Commissioner may be removed from office under section 42Q of
the Public Sector Management Act
1988 only for incapacity, incompetence or
misbehaviour.78 Veto of proposed appointment as Commissioner(1) A person is not to be appointed as the Commissioner of the
Commission until:(a) a proposal that the person be appointed has been referred to the
Joint Committee under section 66, and
(b) either the period that the Joint Committee has under that section
to veto the proposed appointment has ended without the Committee having vetoed
the proposed appointment or the Committee notifies the Minister that it has
decided not to veto the proposed appointment.
(2) A person may be proposed for appointment on more than one
occasion.(3) In this section and section 66, appointment includes
re-appointment.79 Acting Commissioner(1) The Minister may, from time to time, appoint a person to act in
the office of the Commissioner during the illness or absence of the
Commissioner (or during a vacancy in the office of Commissioner) and the
person, while so acting, has all the functions of the Commissioner and is
taken to be the Commissioner.(2) The Minister may, at any time, remove a person from office as
acting Commissioner.(3) An acting Commissioner is entitled to be paid such remuneration
time to time determine.80 Functions of Commission(1) The Commission has the following functions:(a) to receive and deal under this Act with the following
complaints:• complaints relating to the professional conduct of health
• complaints concerning the clinical management or care of
individual clients by health service providers
• complaints referred to it by a registration authority under a
health registration Act,
(b) to assess those complaints and, in appropriate cases, to
investigate them, refer them for conciliation or deal with them under Division
9 of Part 2,
(c) to make complaints concerning the professional conduct of health
practitioners and to prosecute those complaints before the appropriate bodies,
including registration authorities, professional standards committees and
(d) to report on any action the Commission considers ought to be taken
following the investigation of a complaint if the complaint is found to be
justified in whole or part,
(e) to monitor, identify and advise the Minister on trends in
(f) to publish and distribute information concerning the means
available for the making of complaints and the way in which complaints may be
made and dealt with,
(g) to provide information to health service providers and
professional and educational bodies concerning complaints, including trends in
(h) to consult with groups with an interest in the provision of health
services, including professional associations, health service provider groups,
relevant community organisations and private and institutional health care
providers, on the complaints process and the dissemination of information
concerning the complaints process,
(i) to develop, after such consultation with clients, health service
providers and persons who, in the Commission’s opinion, have an
appropriate interest, a code of practice to provide guidance on the way in
which the Commission intends to carry out some or all of its
(2) The Commission also has such other functions as are conferred or
imposed on it by or under this or any other Act.(3) A code of practice developed by the Commission under subsection
(1) (i) has no effect unless it is incorporated in, or adopted by, the
regulations.(4) The Commission may exercise its functions even though:(a) the Commission has not developed a code of practice in relation to
those functions, or
(b) a code of practice has been developed but has not been
incorporated in, or adopted by, the regulations.
81 Ministerial controlThe Commission is subject to the control and direction of the
Minister, except in respect of the following:• the assessment of a complaint
• the investigation of a complaint
• the prosecution of disciplinary action against a
• the terms of any recommendation of the
• the contents of a report of the Commission, including the annual
82 Staff of the Commission(1) Such staff as may be necessary to enable the Commission to
exercise its functions may be employed under Part 2 of the Public Sector Management Act
1988.(2) The Commission may arrange for the use of the services of any
staff or facilities of a public authority.(3) In this section:public
authority means any of the following:(a) a Government department,
(c) a public health organisation within the meaning of the Health Services Act
(d) any other public or local authority (including any State owned
corporation) constituted by or under any Act.
83 Financial yearThe financial year of the Commission is the year commencing on 1
July.84 Delegation of functionsThe Commission may delegate its functions, other than its power of
delegation, to any officer of the Commission.Part 6 Health Conciliation Registry85 Health Conciliation RegistryThere is established a Health Conciliation Registry within the
Commission.86 Functions of Health Conciliation Registry(1) The Health Conciliation Registry has the functions conferred or
imposed on it by or under this or any other Act.(2) In particular, the Health Conciliation Registry has the following
functions:(a) to arrange for the conciliation of complaints referred to the
Registry by the Commission,
(b) to liaise with the parties to a conciliation, including conducting
pre-conciliation conferences, where appropriate,
(c) to appoint a conciliator or conciliators to conduct the
conciliation of a complaint referred to the Registry by the
(d) to facilitate the conciliation of complaints,
(e) to provide information about the conciliation process to the
public and to health professionals.
87 Registrar of Health Conciliation RegistryThe Commission is to appoint a member of its staff as Registrar of
the Health Conciliation Registry to manage the
Registry.88 Staff of Health Conciliation RegistryThe Commission is to designate as staff of the Health Conciliation
Registry such of its staff as may be necessary to enable the Registry to carry
out its functions.89 Conciliators(1) The Minister may appoint one or more suitably qualified persons to
be conciliators for the purposes of this Act.(2) A conciliator may be appointed on a full-time or part-time
basis.(3) Schedule 2 has effect with respect to the
conciliators.90 Functions of conciliatorsA conciliator has the functions conferred or imposed on a
conciliator by or under this or any other Act.Part 6A Director of Proceedings90A Director of Proceedings(1) The Commission is to appoint a member of its staff to be Director
of Proceedings.(2) The Commission may, from time to time, appoint a person to act in
the office of the Director of Proceedings during the illness or absence of the
Director, and the person, while so acting, has and may exercise all the
functions of the Director and is taken to be the
Director.90B Functions of Director of Proceedings(1) The following functions of the Commission are to be exercised only
by the Director of Proceedings in relation to any complaint referred to the
Director by the Commission:(a) to determine whether the complaint should be prosecuted before a
disciplinary body and, if so, whether it should be prosecuted by the
Commission or referred to another person or body for
(a1) if the Director determines that the complaint should be prosecuted
before a disciplinary body by the Commission, to prosecute the complaint
before the disciplinary body,
(b) to intervene in any proceedings that may be taken before a
disciplinary body in relation to the complaint.
(2) In addition, the Director of Proceedings has any other functions
conferred or imposed on the Director by or under this or any other
Act.(3) The Director of Proceedings:(a) may at any time consult with a registration authority in relation
to the exercise of any of the Director’s functions,
(b) must consult with the appropriate registration authority (if any)
before determining whether or not a complaint should be prosecuted before a
disciplinary body.
(4) The exercise by the Director of Proceedings of any function
referred to in subsection (1) is taken to be the exercise of that function by
the Commission.(5) While holding the office of Director of Proceedings, a person is
not to exercise any function of the Commission other than a function referred
to in subsection (1).90C Criteria relevant to determinations of Director of
Proceedings(1) The Director of Proceedings is to take into account the following
matters when making a determination as to whether or not a complaint should be
prosecuted before a disciplinary body:(a) the protection of the health and safety of the
(b) the seriousness of the alleged conduct the subject of the
(c) the likelihood of proving the alleged conduct,
(d) any submissions made under section 40 by the health practitioner
(2) For the purpose of enabling the Director of Proceedings to fulfil
the Director’s functions under this section in relation to a complaint
referred to the Director, the Commission is to provide the Director with any
submissions received under section 40 in relation to the
complaint.90D Independence of Director of ProceedingsThe Director of Proceedings is not subject to the direction and
complaint that has been referred by the Commission to the Director for
consideration.Part 7 Miscellaneous91 Recommendations to have regard to available
resourcesA recommendation made by the Commission in relation to a matter
investigated under this Act must be made in such a way that to give effect to
it:(a) would not be beyond the resources appropriated by Parliament for
the delivery of health services, or
(b) would not be inconsistent with the way in which those resources
have been allocated by the Minister and the Director-General in accordance
with government policy.
92 General standards of clinical practiceNothing in this Act gives the Commission power to determine or
recommend general standards of clinical practice.Note. While sections 91 and 92 limit the scope of a recommendation that
the Commission may make, they do not limit other comment by the
Commission.93 Inconsistency between this Act and health registration
ActsThis Act prevails over a health registration Act to the extent of
any inconsistency between them.94 Consultation between Commission and
Director-General(1) The Director-General must, if requested to do so by the
Commission, consult with the Commission with respect to matters arising under
the administration of this Act.(2) The Commission must, if requested to do so by the
Director-General, consult with the Director-General with respect to matters
arising under the administration of this Act.95 Annual report(1) The Commission must include in its annual report for a
year:(a) in relation to complaints generally:• the number and type of complaints made to it during the
• the sources of those complaints
• the number and type of complaints assessed by the Commission
• the number and type of complaints referred for conciliation during
• the results of conciliations
• the number and type of complaints investigated by the Commission
• the results of investigations
• a summary of the results of prosecutions completed during the year
arising from complaints
• the number and details of complaints not finally dealt with at the
• the time intervals involved in the complaints process,
(b) the number and type of complaints referred to the Director-General
during the year and the outcomes of those complaints, as far as they are
(2) The Commission may include in its annual report for a year:(a) such information relating to complaints (other than that required
to be included under subsection (1)) as the Commission thinks fit,
(b) any report made to the Minister under section 44 (2),
(c) any notification and request made to the Director-General under
(3) Matters included in the annual report:(a) are to be reported, as far as practicable, according to
professional groupings, and
(b) must not identify individual clients or persons against whom
complaints have been made or who have been subject to investigation under this
Act, unless their names or identities have already lawfully been made
96 Exoneration from liability(1) A matter or thing done or omitted by a person, being the
Commissioner, an officer of the Commission, the Registrar or a conciliator
purpose of executing this Act, subject the person personally to any action,
liability, claim or demand.(2) The making of a complaint, or the reporting of any matter or thing
that could give rise to a complaint, to the Commission or a registration
authority by any person does not, if it was done in good faith, subject the
person personally to any action, liability, claim or
demand.97 Pending legal proceedings do not prevent exercise of
certain functionsThe Commission, the Commissioner, the Registrar and a conciliator
are not prevented from exercising any function concerning a matter merely
because legal proceedings relating to the matter have been
commenced.98 Offence: intimidation or bribery of
complainants(1) A person who, by threat, intimidation or inducement, persuades or
attempts to persuade another person:(a) not to make a complaint to the Commission or a registration
authority or not to continue with a complaint made to the Commission or a
registration authority, or
(b) not to have discussions with, or take part in proceedings before,
the Commission or a registration authority concerning a complaint or a matter
that could become the subject of a complaint,
is guilty of an offence.(2) A person who refuses to employ or dismisses another person,
subjects another person to any detriment, or harasses another person, because
the other person:(a) intends to make a complaint, has made a complaint, or has had a
complaint made on his or her behalf or otherwise concerning him or her, to the
Commission or a registration authority, or
(b) intends to take part, is taking part, or has taken part in any
discussions with, or proceedings before, the Commission or a registration
authority concerning a complaint or a matter which could become the subject of
is guilty of an offence.Maximum penalty: 50 penalty units or imprisonment for 12
months.99 Offence: furnishing false or misleading information to the
CommissionA person who furnishes the Commission with information for the
purposes of this Act knowing that it is false or misleading in a material
particular is guilty of an offence.Maximum penalty: 20 penalty
units.99A Offence: improper disclosure of informationIf a person discloses information obtained in exercising a
function under this Act and the disclosure is not made:(a) with the consent of the person to whom the information relates,
(b) in connection with the execution and administration of this Act,
(d) with other lawful excuse,
the person is guilty of an offence.Maximum penalty: 10 penalty units or imprisonment for 6 months, or
both.100 Proceedings for offencesProceedings for an offence against this Act or the regulations are
to be dealt with summarily before a Local Court constituted by a Magistrate
sitting alone.101 Regulations(1) The Governor may make regulations, not inconsistent with this Act,
exceeding 20 penalty units.102 Amendment of ActsEach Act specified in Schedule 3 is amended in the manner set out
in that Schedule.103 Savings, transitional and other provisionsSchedule 4 has effect.103A Application of Ombudsman Act 1974(1) The Ombudsman Act
1974 makes provision in respect of the investigation of the
conduct of certain public authorities including the
Commission.(2) The Commission is not precluded by anything in this Act or by any
other Act or law from providing information to the Ombudsman in connection
with a preliminary inquiry under section 13AA of the Ombudsman Act 1974 or an
investigation under that Act.Note. Section 12 of the Ombudsman Act
1974 enables a person to make a complaint about a wide range
of conduct of a public authority relating to administrative action or inaction
by the public authority. Section 13AA of that Act enables the Ombudsman to
conduct preliminary inquiries into such a complaint and section 13 of that Act
enables the Ombudsman to investigate such conduct whether or not a complaint
has been made if it appears to the Ombudsman that the conduct may be, for
example, contrary to law.104 Review of Act(1) The Minister is to review this Act to determine whether the policy
period of 3 years from the date of assent to this
House of Parliament within 12 months after the end of the period of 3
years.105 Special provisions relating to Walker Special Commission
of InquirySchedule 5 has effect.Schedule 1 Certificate of authority(Section 31 (2))HEALTH CARE COMPLAINTS
ACT 1993(Section 31 (2))HEALTH CARE COMPLAINTS COMMISSIONCERTIFICATE OF AUTHORITY
Valid until .........................No...............................(photograph of
person)This is to certify that:..............................(insert name of person being
authorised)a specimen of whose signature appears below..............................(specimen of
signature)is authorised under section 31 (2) of the Health Care Complaints Act 1993 to
exercise the functions set out in section 33 of that Act. The terms of section
33 are reproduced on the back of this certificate.Dated this day of 19 .........................................Commissioner, Health Care Complaints
Commission.Schedule 2 Provisions concerning conciliators(Section 89 (3))1 Term of officeSubject to this Schedule, a conciliator holds office for such
period (not exceeding 5 years) as is specified in the conciliator’s
re-appointment.2 Remuneration(1) A full-time conciliator is entitled to be paid:(a) remuneration in accordance with the Statutory and Other Offices Remuneration Act
(2) A part-time conciliator is entitled to be paid such remuneration
time to time determine in respect of the
conciliator.3 Vacancy in office(1) The office of a conciliator becomes vacant if the
conciliator:(a) dies, or
(e) in the case of a full-time conciliator—is absent from duty,
except on leave of absence granted by the Minister, for 14 consecutive days or
for 28 days in any period of 12 months, or
(2) The Minister may remove a conciliator from office for
misbehaviour, incompetence or incapacity.4 Effect of certain other Acts(1) Part 2 of the Public Sector
appointment of a conciliator.(2) If by or under any Act provision is made:(a) requiring a person who is the holder of a specified office to
office and also the office of a part-time conciliator or from accepting and
retaining any remuneration payable to the person under this Act as a part-time
conciliator.Schedule 3 Amendment of Acts(Section 102)Coroners Act 1980 No 27At the end of Division 1 of Part 4, insert: 23B Malpractice by health practitionerA coroner is required to notify the Health Care Complaints
Commission constituted under the Health
Care Complaints Act 1993 of any evidence given in an inquest
of malpractice by a person who is a health practitioner within the meaning of
that Act.Schedule 4 Savings, transitional and other
provisions(Section 103)Part 1 Preliminary1 Regulations(1) The regulations may contain provisions of a savings or
(Complaints) Act 2004Health Registration Legislation
(4) The provisions of this Schedule are subject to any regulations
made under this clause.Part 2 Provisions consequent on the enactment of this
Act2 Complaints made before the commencement of this
ActA complaint made to the Complaints Unit of the Department of
Health or a registration authority before the commencement of Part 2 may
continue to be dealt with and disposed of as if this Act had not been enacted,
except as provided by clause 3.3 Power to discontinue dealing with complaintsThe Director of the Complaints Unit of the Department of Health
has the same functions in relation to a complaint referred to in clause 2 (or
any part of such a complaint) as the Commission has under section
27.4 Complaints concerning past conductThis Act extends to enable a complaint to be made under this Act
in respect of an act or omission that occurred before the commencement of Part
2 but only if the complaint could have been made under a law in force before
that commencement.Part 3 Provisions consequent on enactment of Health Legislation Amendment (Complaints) Act
20045 DefinitionIn this Part:amending
Amendment (Complaints) Act 2004.6 Commission and CommissionerThe person holding the office of Commissioner, or acting in that
office, immediately before the substitution of section 76 by the amending Act
is taken to have been appointed to hold or act in that office under section 76
as so substituted on the same terms and conditions as applied to that
person’s appointment before that substitution.7 Health Conciliation Registry(1) The Health Conciliation Registry established under Part 6 (as in
force immediately before its substitution by the amending Act) is
abolished.(2) A person who was a member of staff of the Health Conciliation
Registry immediately before its abolition is transferred to the staff of the
Commission.(3) Any such transfer is taken to have been done under section 87 of
Act 2002.8 Conciliators and conciliation(1) A person appointed as a conciliator under section 89 before its
substitution by the amending Act and whose appointment is in force immediately
before that substitution is taken to have been appointed as a conciliator
under section 89 (as inserted by the amending Act).(2) Any complaint that was referred to the Health Conciliation
Registry before the substitution of Division 8 of Part 2 by the amending Act,
and the conciliation of which under that Division was not finalised before the
substitution:(a) is taken to have been referred to the Health Conciliation Registry
in accordance with that Division as substituted, and
(b) is to continue to be dealt with in accordance with that Division
as substituted.
9 Application of amendments(1) An amendment made by Schedule 1 [7] or [24] to the amending Act
applies only to complaints made on or after the commencement of the
amendment.(2) Despite subclause (1), an amendment made by Schedule 1 [7] or [24]
to the amending Act applies to a complaint made before the commencement of the
amendment to the extent (if any) that section 20A (3) applies to the
complaint.(3) An amendment made by Schedule 1 [6], [10]–[14],
[17]–[23], [27], [29], [32], [37] or Schedule 3 to the amending Act
applies to a complaint whether made before, on or after the commencement of
the amendment.(4) Despite subclause (3):(a) an amendment made by Schedule 1 [6] or [12] to the amending Act
does not apply to a complaint that was assessed by the Commission under
section 13 before the commencement of the amendment, and
(b) the amendment made by Schedule 1 [22] to the amending Act does not
apply to a referral of a complaint under section 26 that took place before the
commencement of the amendment, and
(c) the amendment made by Schedule 1 [37] to the amending Act does not
affect any proceedings commenced before the commencement of the amendment,
(d) an amendment made by Schedule 3 [2] or [5] to the amending Act
does not apply to a complaint in respect of which the Commission has made a
determination under section 39 before the commencement of the
(5) Despite any other provision of this clause, the power conferred by
section 90B (1) (a1) on the Director of Proceedings to prosecute a complaint
extends to enable the Director to continue the prosecution of a complaint that
had commenced before the commencement of that
paragraph.Part 4 Provisions consequent on enactment of Health Registration Legislation Amendment Act
200410 DefinitionIn this Part:amending
Act means the Health Registration
Legislation Amendment Act 2004.11 Pending proceedings(1) An amendment made to a health registration Act by the amending Act
does not apply to a complaint that was referred to a Committee or Tribunal
under the health registration Act before the commencement of the
amendment.(2) An amendment made to a health registration Act by the amending Act
does not apply to a complaint if an inquiry into the complaint under the
health registration Act had commenced before the commencement of the
amendment.12 Amendments relating to constitution of Tribunal and
committees(1) The amendment made to section 147 of the Medical Practice Act 1992 by the
amending Act does not affect the Tribunal as constituted before the
commencement of the amendment to deal with a complaint if the Tribunal is
still dealing with that complaint at that commencement. Accordingly, the
Tribunal as so constituted may continue to deal with the complaint as if the
amendment had not been made.(2) The amendment made to section 169 of the Medical Practice Act 1992 by the
amending Act does not affect any Committee that was constituted before the
commencement of the amendment to deal with a complaint and is still dealing
with the complaint at that commencement. Accordingly, any such Committee may
continue to deal with the complaint as if the amendment had not been
made.(3) The amendment made to section 51 of the Nurses and Midwives Act 1991 by the
made.13 Statutory declarationsAny amendment made to a health registration Act by the amending
Act to remove a requirement that a statutory declaration be given in relation
to a complaint applies to a complaint whether made before, on or after the
commencement of the amendment.Schedule 5 Special provisions relating to Walker Special
Commission of Inquiry(Section 105)1 DefinitionsIn this Schedule:disciplinary
body means a person or body (including a professional standards
committee) established under a health registration Act that has the power to
discipline a health practitioner or to suspend or cancel (by whatever means)
the registration of a health practitioner.HCCC means the Health
Care Complaints Commission constituted under this Act.impairment
assessment body means a person or body established under a health
registration Act to assess whether a health practitioner is suffering from any
impairment and to make recommendations accordingly (such as an Impaired
Registrants Panel under the Medical Practice
Act 1992).professional assessment
body means a person or body established under a health registration
Act to assess and report on the professional performance of a health
practitioner (such as a Performance Review Panel under the Medical Practice Act
1992).the referred
complaints means the complaints and other matters relating to
Campbelltown and Camden Hospitals specified in the commission establishing the
Special Commission issued on 11 December 2003, as altered or varied by the
Governor from time to time.the Special
Commission means the Special Commission of Inquiry established under
the Special Commissions of Inquiry Act
1983 for the purposes of inquiring into and reporting to the
Governor on the referred complaints, and includes the Commissioner of the
Special Commission.2 Provisions applicable to recommendations for investigation
by HCCC(1) This clause applies in respect of a recommendation in a report of
the Special Commission that a specified matter in relation to a health
practitioner be investigated by the HCCC.(2) The HCCC is required to investigate any such matter, without
delay, in accordance with this Act and the relevant health registration
Act.(3) If a recommendation for such an investigation is made:(a) the matter is taken to be a complaint duly made under this Act,
and cannot be withdrawn, and
(b) the requirements made by this Act or the relevant health
registration Act before a complaint is investigated are taken to have been
duly complied with, including that:(i) the complaint be verified by statutory declaration,
(ii) the appropriate registration authority has been notified of the
(iii) the appropriate registration authority has been consulted by the
HCCC about whether the complaint should be investigated,
(iv) the HCCC has assessed the complaint for the purposes of
determining whether the complaint should be investigated,
(c) the HCCC is required to give the health practitioner such notice
of the matter as the HCCC is required under this Act to give a person against
whom a complaint is made, and
(d) the complainant for the purposes of this Act is taken to be the
Director-General of the Department of Health or the person identified in the
recommendation as the complainant.
3 Provisions applicable to recommendations for referral by
HCCC for professional or other assessment(1) This clause applies in respect of a recommendation in a report of
practitioner be referred by the HCCC under section 26 of this Act to a
registration authority for assessment by an impairment assessment body or a
professional assessment body.(2) The HCCC is required to refer any such matter, without delay,
under section 26 of this Act.(3) If a recommendation for such a referral is made, the requirements
made by this Act or the relevant health registration Act before the matter is
referred for assessment by an impairment assessment body or a professional
assessment body are taken to have been duly complied
with.4 Provision of documents and other information to relevant
agencies by Special Commission(1) In this clause:relevant
agency means the HCCC, a registration authority, an impairment
assessment body or a professional assessment body.(2) The Special Commission is authorised to provide a relevant agency
with documents or other information obtained by it in the course of its
inquiries (but only if the Special Commission is satisfied that it is
reasonably necessary to do so to assist the relevant agency to exercise the
functions of the relevant agency).(3) Information may be provided under this clause despite any Act or
law.5 Consideration of report of, and documents or other
information used by, Special CommissionAny matter contained in a report of the Special Commission and any
documents or other information taken into account by the Special Commission in
making its report:(a) may be taken into account by the HCCC in any investigation or
other action taken by the HCCC in respect of a health practitioner under this
Act or the relevant health registration Act, and
(b) may be taken into account by any registration authority in any
investigation or other action taken by the registration authority in respect
of a health practitioner under the relevant health registration Act,
(c) may be taken into account by any impairment assessment body or
professional assessment body in any assessment of a health practitioner under
the relevant health registration Act, and
(d) may be taken into account by a disciplinary body in any
proceedings against a health practitioner under the relevant health
6 Protection of certain actions relating to Special
Commission from challenge(1) For the purposes of this clause, a protected action is any
action of the HCCC, a disciplinary body, a registration authority, an
impairment assessment body or a professional assessment body under this Act or
a health registration Act in relation to a health practitioner, being:(a) any investigation or other action that is recommended in a report
of the Special Commission, or
(b) any prosecution or other action that is taken following the
carrying out of any such recommended investigation or other
(2) A protected action may not be:(a) challenged, reviewed, quashed or called into question before any
court of law, administrative review body or disciplinary body in any
(b) restrained, removed or otherwise affected by any
because a designated person exercises a function in the circumstances or
manner authorised by this Schedule or because of any act or omission of the
Special Commission.(3) Subclause (2) applies whether or not the proceedings relate to any
question involving compliance or non-compliance, by a designated person, with
the provisions of this Act or a health registration Act or the rules of
natural justice (procedural fairness).(4) This clause does not affect the generality of section 36 of the
Special Commissions of Inquiry Act
1983.(5) In this clause:designated
person means:(a) the Special Commission (including the Commissioner of the Special
Commission), or
(b) the HCCC (including the Commissioner of the HCCC),
(c) a registration authority, an impairment assessment body or a
professional assessment body (or a member of any such body),
(d) a complainant, or
(e) any person assisting or otherwise associated with any of
functions includes the purported exercise of functions and the non-exercise or
improper exercise of functions.proceedings includes:(a) proceedings for an order in the nature of prohibition, certiorari
or mandamus or for a declaration or injunction or for any other relief,
(b) without limiting paragraph (a), proceedings for a stay of
disciplinary or other proceedings, and
(c) without limiting paragraph (a), proceedings in the exercise of the
inherent jurisdiction of the Supreme Court or the jurisdiction conferred by
section 23 of the Supreme Court Act
but does not include criminal proceedings.7 Action by HCCC in anticipation of recommendation of Special
Commission etc(1) Anything done by the HCCC, before the commencement of this
Schedule, with respect to the investigation of a matter in anticipation of a
recommendation of the Special Commission is taken, for the purposes of this
Schedule, to have been done after that commencement if the recommendation is
contained in a report of the Special Commission.(2) The HCCC is not precluded from continuing to investigate or take
other action with respect to a matter that the Special Commission has
considered but in respect of which it has not recommended any further
investigation or other action.Historical notesThe following abbreviations are used in the Historical notes:
Am amended LW legislation website Sch Schedule Cl clause No number Schs Schedules Cll clauses p page Sec section Div Division pp pages Secs sections Divs Divisions Reg Regulation Subdiv Subdivision GG Government Gazette Regs Regulations Subdivs Subdivisions Ins inserted Rep repealed Subst substituted Table of amending instrumentsHealth Care Complaints Act
1993 No 105. Assented to 2.12.1993. Date of commencement of
Parts 1, 4, 5, and 7, Sch 3 in so far as it amends the Public Sector Management Act 1988
and Sch 4, 4.5.1994, sec 2 and GG No 64 of 4.5.1994, p 2001; date of
commencement of remainder (except Sch 3 in so far as it amends the Coroners Act 1980), 1.7.1994, sec 2
and GG No 88 of 1.7.1994, p 3239; date of commencement of Sch 3 in so far as
it amends the Coroners Act
1980: not in force. This Act has been amended as
1994. Assented to 2.6.1994.Date of commencement of the provision of Sch 2 relating to the Health Care Complaints Act 1993,
1994. Assented to 12.12.1994.Date of commencement of the provision of Sch 1 relating to the Health Care Complaints Act 1993,
1995No 3Parliamentary Committees Legislation Amendment Act
1995. Assented to 30.5.1995.Date of commencement, assent, sec 2.
1996No 2Poisons Amendment (Therapeutic Goods) Act
1996. Assented to 8.5.1996.Date of commencement, 1.9.1996, sec 2 and GG No 99 of 30.8.1996, p
1997No 154Health Services Act
1999No 16Parliamentary Committees Legislation Amendment Act
1999. Assented to 9.6.1999.Date of commencement, assent, sec 2.
No 16Osteopaths Act
31.7.2002, p 5697.
2001. Assented to 11.10.2001.Date of commencement of Sch 6.3, 1.12.2002, sec 2 and GG No 237 of
29.11.2002, p 10062.
No 69Psychologists Act
2001. Assented to 11.10.2001.Date of commencement, 6.12.2002, sec 2 and GG No 246 of 6.12.2002, p
2002. Assented to 21.6.2002.Date of commencement of Sch 6.2, 16.6.2004, sec 2 and GG No 97 of
2003No 45Nurses Amendment Act
2003. Assented to 30.9.2003.Date of commencement of Sch 2.4, 1.8.2004, sec 2 (1) and GG No 126 of
30.7.2004, p 6114.
2004No 18Health Care Complaints Amendment
(Special Commission of Inquiry) Act 2004. Assented to
1.4.2004.Date of commencement, assent, sec 2.
No 98Health Legislation Amendment
(Complaints) Act 2004. Assented to 15.12.2004.Date of commencement of Schs 1–3, 1.3.2005, sec 2 and GG No 28 of
25.2.2005, p 477.
Provisions) Act 2005. Assented to 1.7.2005.Date of commencement of Sch 1.13, assent, sec 2
Long titleAm 2004 No 98, Sch 2 [1].Sec 3Subst 2004 No 98, Sch 1 [1].Sec 3AIns 2004 No 98, Sch 1 [2].Sec 4Am 2001 No 15, Sch 6.2; 2001 No 16, Sch 6.2; 2001
No 64, Sch 6.2; 2001 No 67, Sch 6.3; 2001 No 69, Sch 6.1; 2002 No 30, Sch 6.2;
2003 No 45, Sch 2.4 [1]; 2004 No 98, Schs 1 [3] [4], 2 [2] [3], 3 [1]; 2005 No
64, Sch 1.13 [1].Sec 8Am 2005 No 98, Sch 3.29 [1].Sec 9, noteAm 2004 No 98, Sch 1 [5].Sec 12Am 2004 No 98, Sch 2 [4].Sec 13Subst 2004 No 98, Sch 1 [6].Sec 14Am 2004 No 98, Sch 2 [5].Sec 15, noteAm 2004 No 98, Sch 2 [6].Sec 16Subst 2004 No 98, Sch 1 [7].Sec 18Am 2004 No 98, Sch 1 [8] [9].Sec 20Am 2004 No 98, Schs 1 [10]–[12], 2
[7].Sec 20AIns 2004 No 98, Sch 1 [13].Sec 21AIns 2004 No 98, Sch 1 [14].Sec 23Am 2004 No 98, Sch 1
[15]–[17].Sec 24Subst 2004 No 98, Sch 1 [18].Sec 25Am 1996 No 2, Sch 2; 1997 No 154, Sch 6.17 [1] [2];
2004 No 98, Sch 1 [19] [20].Secs 25A, 25BIns 2004 No 98, Sch 1 [21].Sec 26Subst 2004 No 98, Sch 1 [22].Sec 27Am 2004 No 98, Schs 1 [23], 2
[8].Sec 28Subst 2004 No 98, Sch 1 [24].Sec 28AIns 2004 No 98, Sch 1 [24].Sec 30Am 2004 No 98, Sch 1 [25]
[26].Sec 33Am 2004 No 98, Sch 1 [27].Sec 33, noteRep 2004 No 98, Sch 1 [28].Sec 34Am 2002 No 103, Sch 4.45
[1]–[3].Sec 34AIns 2004 No 98, Sch 1 [29].Sec 35Am 2004 No 98, Sch 1 [30].Sec 37Rep 2004 No 98, Sch 1 [31].Sec 37AIns 2004 No 98, Sch 1 [32].Sec 39Am 2004 No 98, Schs 1 [33] [34], 3
[2].Sec 40, noteAm 2003 No 45, Sch 2.4 [2].Part 2, Div 8Subst 2004 No 98, Sch 2 [9].Secs 46–49Subst 2004 No 98, Sch 2 [9].Sec 50Subst 2004 No 98, Sch 2 [9]. Am 2005 No 98, Sch
3.29 [2].Secs 51–58Subst 2004 No 98, Sch 2 [9].Sec 58AIns 2004 No 98, Sch 2 [9].Part 2, Div 9 (secs 58B–58D)Ins 2004 No 98, Sch 2 [9].Part 2, chartsRep 2004 No 98, Sch 2 [9].Sec 59Subst 2004 No 98, Sch 1 [35].Sec 65Am 2004 No 98, Sch 2 [10].Sec 67Am 1995 No 3, Sch 1 (1) (2); 1999 No 16, Sch 1.1
[1] [2].Sec 70Am 1995 No 3, Sch 1 (3); 1999 No 16, Sch 1.1
[3].Sec 70AIns 1994 No 95, Sch 1.Sec 75Am 2004 No 98, Sch 3 [3].Sec 76Subst 2004 No 98, Sch 3 [4].Sec 80Am 2004 No 98, Schs 1 [36], 2
[11].Sec 82Am 1997 No 154, Sch 6.17 [3].Part 6 (secs 85–90)Subst 2004 No 98, Sch 2 [12].Part 6AIns 2004 No 98, Sch 3 [5].Sec 90AIns 2004 No 98, Sch 3 [5].Sec 90BIns 2004 No 98, Sch 3 [5]. Am 2005 No 64, Sch 1.13
[2].Secs 90C, 90DIns 2004 No 98, Sch 3 [5].Sec 96Am 2004 No 98, Schs 1 [37], 2
[13].Sec 97Am 2004 No 98, Sch 2 [14].Sec 99AIns 2004 No 98, Sch 1 [38].Sec 103AIns 2004 No 98, Sch 1 [39].Sec 105Ins 2004 No 18, Sch 1 [1].Sch 2Am 1999 No 94, sec 7 (2) and Sch 5, Part
2.Sch 3Am 1994 No 32, Sch 2; 2003 No 82, Sch
3.Sch 4Am 2004 No 98, Sch 1 [40] [41]; 2005 No 64, Sch
1.13 [3].Sch 5Ins 2004 No 18, Sch 1 [2]. Am 2004 No 98, Sch 1