What to do to Avoid Malpractice Claims

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Protecting yourself from malpractice claims

By Stuart Oberman, Esq.

May 21, 2025

Optometrists, like other health care professionals, face risks that are related to malpractice, negligence and patient complaints.

Due to the specialized nature of eye care and the increasing complexity of treatments, optometrists must implement robust risk management strategies to reduce potential liability risks.

Here are key aspects of reducing liability risk such as obtaining informed consent, ensuring regulatory compliance, training staff members and adopting cybersecurity measures to protect patient data.

Types of Informed Consent Optometrists Should Obtain to Avoid Malpractice Claims

For optometrists, obtaining an informed consent means providing patients with the necessary information so they understand their treatment options, risks and alternatives before any procedure is performed.

The types of informed consent that optometrists should obtain may include:

• General Treatment Consent: This type of consent is for routine eye exams, vision tests and a prescription for corrective eyewear. While basic, optometrists should still ensure that patients understand the general scope of the examination and any potential risks that may be associated with wearing glasses or contact lenses.
• Procedure-Specific Consent: For more complex procedures such as refractive surgery (e.g., LASIK), glaucoma treatment, or cataract evaluations, optometrists must provide detailed information about:

1. • The procedure’s benefits and risks that are associated with specific procedures (e.g., possible vision complications or side effects)
   • Expected recovery time, if applicable
   • Alternative treatment options (e.g., medication vs. surgery for glaucoma)

• Informed Consent for Contact Lens Fitting: For patients seeking contact lenses, optometrists should explain the risks that are involved, such as eye infections, dryness or discomfort. Optometrists should also inform patients regarding proper lens care and follow-up visits in order to ensure the lenses are a good fit and are not causing harm.
• Informed Consent for Diagnostic Procedures: Optometrists often perform diagnostic tests such as retinal imaging, OCT or visual field testing. These tests may involve some discomfort or risk, and patients should be informed about the procedure, its purpose and any risks that may be associated with the test such as false positives or potential for minor irritation.
• Informed Consent for Pediatric and Geriatric Patients: For pediatric or geriatric patients, obtaining an informed consent may also involve obtaining parental or guardian consent. For these patients, the optometrist must ensure that a guardian fully understands the treatment and its potential risks, as older and younger patients may face different risks with certain treatments.

Obtaining an informed consent from a patient is essential for protecting the optometrist in the event that a dispute arises regarding treatment outcomes. It can help you avoid a malpractice suit brought against your practice.

Compliance with OSHA and HIPAA Requirements Can Prevent Malpractice Claims

Optometrists must comply with several federal and state regulations to ensure patient safety, privacy and data protection, which includes the Occupational Safety and Health Administration (OSHA) and the Health Insurance Portability and Accountability Act (HIPAA). These are the two most important federal agencies pertinent to reducing liability risk.

• OSHA Compliance:

1. • Bloodborne Pathogen Standards: Even though optometrists deal primarily with the eyes, they are still at risk of exposure to blood-borne pathogens. Therefore, optometrists must follow OSHA’s standards on infection control, including the use of personal protective equipment (PPE), sterilization of instruments and disposal of medical waste.
   • Infection Control Protocols: Optometrists must ensure their office adheres to infection control procedures, such as proper cleaning and disinfecting equipment and surfaces, especially when dealing with diagnostic tools or instruments that may be utilized in patient care.
   • Exposure Control Plan: Practices must maintain an exposure control plan that addresses potential risks and outlines procedures for dealing with injuries or exposures.

• HIPAA Compliance:

1. • Patient Privacy and Confidentiality: HIPAA ensures that patients’ private health information is protected. Optometrists must secure all patient records, whether digital or paper, as well as limit access to only authorized personnel.
   • Electronic Health Records (EHR): Practices should use EHR systems with encryption to safeguard sensitive data. Access to these records must be restricted to authorized personnel and require secure passwords.
   • Patient Rights: Under HIPAA, patients have the right to access, correct and request a copy of their medical records. Optometrists must inform patients of these rights and ensure that proper procedures are in place for handling requests.

Training for Team Members Makes Malpractice Claims Less Likely

Proper employee training is crucial for reducing risk and ensuring the safety of patients, and can also make malpractice claims less likely.

Optometrists must ensure their team members are equipped with the knowledge and skills necessary to provide high-quality care and meet regulatory requirements.

Employee training should cover the following areas:

• Clinical Training:

• • Sterilization and Infection Control: All team members should be well-versed in proper sterilization techniques for equipment, the correct use of personal protective equipment (PPE) and protocols for maintaining a safe clinical environment to prevent cross-contamination.
  • Medical Emergencies: While rare in optometry practices, team members should be trained in basic first aid, CPR and how to respond to medical emergencies, such as anaphylactic reactions or eye trauma.
  • Proper Handling of Diagnostic Equipment: Team members should also receive training on the correct use and maintenance of diagnostic tools, such as OCT machines, tonometers and visual field testers to ensure accurate results and patient safety.

• Compliance Training:

• • OSHA and HIPAA: All team members should receive regular training on OSHA’s safety standards and HIPAA privacy regulations, which will help the practice maintain a safe environment for both patients and team members, and also ensure that patient data is protected.
  • Patient Confidentiality: Every team member should be aware of the importance of maintaining patient confidentiality, both in the clinical setting and in electronic communications.

• Patient Service and Conflict Resolution: Patient satisfaction is vital to any practice’s success. Team members should be trained in communication skills, including:

• • Listening to Patient Concerns: Ensuring that patients feel heard and understood can help defuse potential conflicts and prevent complaints.
  • Managing Difficult Situations: Employees should be prepared to handle patient dissatisfaction, whether related to billing, treatment outcomes, or wait times, and resolve issues before they escalate.

Cybersecurity Measures for Optometry Practices

As optometrists increasingly rely on digital systems for patient records, communications and scheduling, it is critical for optometrists to implement cybersecurity measures to protect sensitive patient information.

Key cybersecurity practices include:

• Strong Passwords and Two-Factor Authentication (2FA):

1. • Team members should use strong passwords for all devices and systems that access patient data. The use of two-factor authentication for sensitive systems provides an extra layer of security.

• Encrypted Communication:

1. • Any communication that involves patient information, including emails, messages, or test results, should be encrypted to prevent unauthorized access.

• Data Backup and Disaster Recovery:

1. • Optometrists should regularly back up patient records, either on secure offsite servers or using encrypted cloud-based systems. In the event of a data breach or system failure, a clear data recovery plan must be in place.

• Training Team Members on Cybersecurity Risks:

1. • Team members should be trained on common cybersecurity threats such as phishing emails and social engineering attacks. In addition, team members should also understand the importance of securing electronic devices and avoiding sharing sensitive information over unsecured platforms.

• Regular Software Updates and Security Patches:

1. • All digital systems, including EHR software and practice management tools, must be updated regularly to protect against potential vulnerabilities. Additionally, firewalls and antivirus software must be maintained so as to guard against malware or cyberattacks.

Conclusion: Multifaceted Risk Management Strategy Needed

Optometrists face various risks and liabilities which can significantly be reduced by adopting effective risk management strategies.

By obtaining the proper informed consent from patients, adhering to OSHA and HIPAA requirements, providing comprehensive training for team members and implementing strong cybersecurity measures, optometrists can protect both their patients and their practice.

In doing so, optometrists can reduce the likelihood of legal disputes, safeguard patient trust and ensure the long-term success of their practice.

Read another article by Stuart Oberman

Find additional practice management tips in ROB sister publication Independent Strong

Stuart Oberman, Esq., is the founder and president of Oberman Law Firm in Cumming, Ga. To contact him: stuart@obermanlaw.com.