Standards of
Practice for
Optometrists
and Dispensing
Opticians
effective from April 2016
Standards of Practice for Optometrists
and Dispensing Opticians
Standards of Practice
Our Standards of Practice define the standards
of behaviour and performance we expect of all
registered optometrists and dispensing opticians.
The General Optical Council
The General Optical Council is the UK regulator for
the optical professions with statutory responsibility
for setting standards.
This document sets out the nineteen standards
that you must meet as an optical professional.
These standards are not listed in order of priority
and include both standards relating to your
behaviour and your professional performance.
You will need to use your professional judgement
in deciding how to meet the standards. To help
you in doing so, we have provided additional
information about what we expect of you under
each standard. In relation to a small number
of standards we may produce supplementary
material where we feel that registrants need
additional support.
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Standards of Practice for Optometrists
and Dispensing Opticians
Your role as a professional
As a healthcare professional you have a responsibility
to ensure the care and safety of your patients
and the public and to uphold professional standards.
You are professionally accountable and personally
responsible for your practice and for what you do
or do not do, no matter what direction or guidance
you are given by an employer or colleague.
This means you must always be able to justify your
decisions and actions.
If someone raises concerns about your fitness to
practise, we will refer to these standards when
deciding if we need to take any action. You will
need to demonstrate that your decision making
was informed by these standards and that you
have acted in the best interests of your patients.
Making the care of your patients your first
and overriding concern
The care, well-being and safety of patients must
always be your first concern. This is at the heart
of being a healthcare professional. Even if you do
not have direct contact with patients, your decisions
or behaviour can still affect their care and safety.
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The standards
As an optometrist or dispensing optician you must:
1 Listen to patients and ensure that they are at the
heart of the decisions made about their care
2 Communicate effectively with your patients
3 Obtain valid consent
4 Show care and compassion for your patients
5 Keep your knowledge and skills up to date
6 Recognise, and work within, your limits
of competence
7 Conduct appropriate assessments, examinations,
treatments and referrals
8 Maintain adequate patient records
9 Ensure that supervision is undertaken
appropriately and complies with the law
10 Work collaboratively with colleagues in the
interests of patients
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11 Protect and safeguard patients, colleagues
and others from harm
12 Ensure a safe environment for your patients
13 Show respect and fairness to others and do
not discriminate
14 Maintain confidentiality and respect your
patients’ privacy
15 Maintain appropriate boundaries with others
16 Be honest and trustworthy
17 Do not damage the reputation of your
profession through your conduct
18 Respond to complaints effectively
19 Be candid when things have gone wrong
You will need to use your professional judgement in
deciding how to meet the standards. To help you in
doing so, the next section provides more detail about
what we expect of you in relation to each standard.
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1. Listen to patients and ensure they
are at the heart of the decisions
made about their care
1.1 Give patients your full attention and allow
sufficient time to deal properly with their needs.
1.2 Listen to patients and take account of their views,
preferences and concerns, responding honestly
and appropriately to their questions.
1.3 Assist patients in exercising their rights and
making informed decisions about their care.
Respect the choices they make.
1.4 Treat patients as individuals and respect their
dignity and privacy. This includes a patient’s
right to confidentiality.
1.5 Where possible, modify your care and treatment
based on your patients’ needs and preferences
without compromising their safety.
1.6 Consider all information provided by your
patients, including where they have undertaken
research in advance of the consultation. Explain
clearly if the information is not valid or relevant.
1.7 Encourage patients to ask questions and take an
active part in the decisions made about their
treatment, prescription and aftercare.
1.8 Support patients in caring for themselves,
including giving advice on the effects of life
choices and lifestyle on their health and
well-being and supporting them in making
lifestyle changes where appropriate.
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2. Communicate effectively with
your patients
2.1 Give patients information in a way they can
understand. Use your professional judgement
to adapt your language and communication
approach as appropriate.
2.2 Patients should know in advance what to expect
from the consultation and have the opportunity
to ask questions or change their mind before
proceeding.
2.3 Be alert to unspoken signals which could indicate
a patient’s lack of understanding, discomfort or
lack of consent.
2.4 Ensure that the people you are responsible for
are able to communicate effectively with patients
and their carers, colleagues and others.
2.5 Ensure that patients or their carers have all the
information they need to safely use, administer
or look after any optical devices, drugs or other
treatment that they have been prescribed or
directed to use in order to manage their eye
conditions. This includes being actively shown
how to use any of the above.
2.6 Be sensitive and supportive when dealing with
relatives or other people close to the patient.
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3. Obtain valid consent
3.1 Obtain valid consent before examining a patient,
providing treatment or involving patients in
teaching and research activities. For consent to
be valid it must be given:
3.1.1 Voluntarily.
3.1.2 By the patient or someone authorised to
act on the patient’s behalf.
3.1.3 By a person with the capacity to consent.
3.1.4 By an appropriately informed person.
Informed means explaining what you are
going to do and ensuring that patients
are aware of any risks and options in
terms of examination, treatment, sale or
supply of optical appliances or research
they are participating in. This includes the
right of the patient to refuse treatment or
have a chaperone or interpreter present.
3.2 Be aware of your legal obligations in relation to
consent, including the differences in the
provision of consent for children, young people
and vulnerable adults. When working in a nation
of the UK, other than where you normally
practise, be aware of any differences in consent
law and apply these to your practice.
3.3 Ensure that the patient’s consent remains valid at
each stage of the examination or treatment and
during any research in which they are
participating.
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4. Show care and compassion for
your patients
4.1 Treat others with dignity, and show empathy
and respect.
4.2 Respond with humanity and kindness to
circumstances where patients, their family or
carers may experience pain, distress or anxiety.
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5. Keep your knowledge and skills up
to date
5.1 Be competent in all aspects of your work,
including clinical practice, supervision, teaching,
research and management roles, and do not
perform any roles in which you are not
competent.
5.2 Comply with the Continuing Education and
Training (CET) requirements of the General
Optical Council as part of a commitment to
maintaining and developing your knowledge and
skills throughout your career as an optical
professional.
5.3 Be aware of current good practice, taking into
account relevant developments in clinical
research, and apply this to the care you provide.
5.4 Reflect on your practice and seek to improve the
quality of your work through activities such as
reviews, audits, appraisals or risk assessments.
Implement any actions arising from these.
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6. Recognise, and work within, your limits
of competence
6.1 Recognise and work within the limits of your
scope of practice, taking into account your
knowledge, skills and experience.
6.2 Be able to identify when you need to refer a
patient in the interests of the patient’s health
and safety, and make appropriate referrals.
6.3 Ensure that you have the required qualifications
relevant to your practice.
6.4 Understand and comply with the requirements
of registration with the General Optical Council
and the legal obligations of undertaking any
functions restricted by law, i.e. sight testing and
the sale and supply of optical devices.
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7. Conduct appropriate assessments,
examinations, treatments and referrals
7.1 Conduct an adequate assessment for the
purposes of the optical consultation, including
where necessary any relevant medical, family
and social history of the patient. This may
include current symptoms, personal beliefs or
cultural factors.
7.2 Provide or arrange any further examinations,
advice, investigations or treatment if required for
your patient. This should be done in a timescale
that does not compromise patient safety and care.
7.3 Only prescribe optical devices, drugs, or
treatment when you have adequate knowledge
of the patient’s health.
7.4 Check that the care and treatment you provide
for each patient is compatible with any other
treatments the patient is receiving, including
(where possible) over-the-counter medications.
7.5 Provide effective patient care and treatments
based on current good practice.
7.6 Only provide or recommend examinations,
treatments, drugs or optical devices if these are
clinically justified, and in the best interests of the
patient.
7.7 When in doubt, consult with professional
colleagues appropriately for advice on
assessment, examination, treatment and other
aspects of patient care, bearing in mind the
need for patient confidentiality.
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8. Maintain adequate patient records
8.1 Maintain clear, legible and contemporaneous
patient records which are accessible for all those
involved in the patient’s care.
8.2 As a minimum, record the following information:
8.2.1 The date of the consultation.
8.2.2 Your patient’s personal details.
8.2.3 The reason for the consultation and any
presenting condition.
8.2.4 The details and findings of any
assessment or examination conducted.
8.2.5 Details of any treatment, referral or
advice you provided, including any drugs
or optical device prescribed or a copy of a
referral letter.
8.2.6 Consent obtained for any examination
or treatment.
8.2.7 Details of all those involved in the
optical consultation, including name
and signature, or other identification
of the author.
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9. Ensure that supervision is undertaken
appropriately and complies with the law
This applies to supervision of pre-registration
trainees and unregistered colleagues undertaking
delegated activities.
The responsibility to ensure that supervision does
not compromise patient care and safety is shared
between the supervisor and those being
supervised. Adequate supervision requires you to:
9.1 Be sufficiently qualified and experienced to
undertake the functions you are supervising.
9.2 Only delegate to those who have appropriate
qualifications, knowledge or skills to perform the
delegated activity.
9.3 Be on the premises, in a position to oversee the
work undertaken and ready to intervene if
necessary in order to protect patients.
9.4 Retain clinical responsibility for the patient.
When delegating you retain responsibility for the
delegated task and for ensuring that it has been
performed to the appropriate standard.
9.5 Take all reasonable steps to prevent harm to
patients arising from the actions of those being
supervised.
9.6 Comply with all legal requirements governing
the activity.
9.7 Ensure that details of those being supervised or
performing delegated activities are recorded on
the patient record.
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10. Work collaboratively with colleagues
in the interests of patients
10.1 Work collaboratively with colleagues within the
optical professions and other healthcare
practitioners in the best interests of your patients,
ensuring that your communication is clear and
effective.
10.2 Refer a patient only where this is clinically
justified, done in the interests of the patient and
does not compromise patient care or safety.
When making or accepting a referral it must be
clear to both parties involved who has
responsibility for the patient’s care.
10.3 Ensure that those individuals or organisations to
which you refer have the necessary qualifications
and registration so that patient care is not
compromised.
10.4 Ensure that patient information is shared
appropriately with others, and clinical records are
accessible to all involved in the patient’s care.
10.5 Where disagreements occur between colleagues,
aim to resolve these for the benefit of the patient.
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11. Protect and safeguard patients,
colleagues and others from harm
11.1 You must be aware of and comply with your
legal obligations in relation to safeguarding of
children, young people and vulnerable adults.
11.2 Protect and safeguard children, young people
and vulnerable adults from abuse.
You must:
11.2.1 Be alert to signs of abuse and denial
of rights.
11.2.2 Consider the needs and welfare of
your patients.
11.2.3 Report concerns to an appropriate person
or organisation.
11.2.4 Act quickly in order to prevent further risk
of harm.
11.2.5 Keep adequate notes on what has
happened and what actions you took.
11.3 Promptly raise concerns about your patients,
colleagues, employer or other organisation
if patient or public safety might be at risk
and encourage others to do the same.
Concerns should be raised with your employing,
contracting, professional or regulatory
organisation as appropriate. This is sometimes
referred to as ‘whistle-blowing’ and certain
aspects of this are protected by law.
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11.4 If you have concerns about your own fitness
to practise whether due to issues with health,
character, behaviour, judgement or any other
matter that may damage the reputation
of your profession, stop practising immediately
and seek advice.
11.5 If patients are at risk because of inadequate
premises, equipment, resources, employment
policies or systems, put the matter right if that
is possible and/or raise a concern.
11.6 Ensure that any contracts or agreements
that you enter into do not restrict you from
raising concerns about patient safety including
restricting what you are able to say when
raising the concern.
11.7 Ensure that when reporting concerns, you
take account of your obligations to maintain
confidentiality as outlined in standard 14.
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12. Ensure a safe environment for
your patients
12.1 Ensure that a safe environment is provided to
deliver care to your patients, and take
appropriate action if this is not the case (see
standard 11). In particular:
12.1.1 Be aware of and comply with health and
safety legislation.
12.1.2 Ensure that the environment and
equipment that you use is hygienic.
12.1.3 Ensure that equipment that you use has
been appropriately maintained.
12.1.4 Follow the regulations on substances
hazardous to health.
12.1.5 Dispose of controlled, clinical and
offensive materials in an appropriate
manner.
12.6 Minimise the risk of infection by
following appropriate infection controls
including hand hygiene.
12.2 Have adequate professional indemnity insurance
and only work in practices that have adequate
public liability insurance. This includes the
following:
12.2.1 If insurance is provided by your employer,
you must confirm that adequate
insurance is in place.
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12.2.2 If you work in multiple practices, you
must ensure that there is adequate
insurance to cover each working
environment.
12.2.3 Your professional indemnity insurance
must provide continuous cover for the
period you are in practice.
12.2.4 Your professional indemnity insurance
must cover complaints that are received
after you stop practising, as these might
be received years later – this is sometimes
referred to as ‘run-off’ cover.
12.3 Ensure that when working in the home of a
patient or other community setting, the
environment is safe and appropriate for the
delivery of care.
12.4 In an emergency, take appropriate action
to provide care, taking into account your
competence and other available options.
You must:
12.4.1 Use your professional judgement to
assess the urgency of the situation.
12.4.2 Provide any care that is within your
scope of practice which will provide
benefit for the patient.
12.4.3 Make your best efforts to refer or
signpost the patient to another
healthcare professional or source of
care where appropriate.
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13. Show respect and fairness to others and
do not discriminate
13.1 Respect a patient’s dignity, showing politeness
and consideration.
13.2 Promote equality, value diversity and be inclusive
in all your dealings and do not discriminate on
the grounds of gender, sexual orientation, age,
disability, gender reassignment, marriage and
civil partnership, pregnancy and maternity, race,
religion or belief.
13.3 Ensure that your own religious, moral, political or
personal beliefs and values do not prejudice
patients’ care. If these prevent you from
providing a service, ensure that you refer patients
to other appropriate providers.
13.4 Respect colleagues’ skills and contributions and
do not discriminate.
13.5 Be aware of how your own behaviour might
influence colleagues and students and
demonstrate professional behaviour at all times.
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13.6 Refrain from making unnecessary or disparaging
comments which could make a patient doubt
your colleagues’ competence, skills or fitness to
practise, either in public or private. If you have
concerns about a colleague’s fitness to practise,
then please refer to standard 11.
13.7 Support colleagues and offer guidance where
they have identified problems with their
performance or health or they have sought your
help, but always put the interests and safety of
patients first.
13.8 Consider and respond to the needs of disabled
patients and make reasonable adjustments to
your practice to accommodate these and
improve access to optical care.
13.9 Challenge colleagues if their behaviour is
discriminatory and be prepared to report
behaviour that amounts to the abuse or denial
of a patient’s or colleague’s rights, or could
undermine patient safety.
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14. Maintain confidentiality and respect
your patients’ privacy
14.1 Keep confidential all information about patients
in compliance with the law, including
information which is handwritten, digital, visual,
audio or retained in your memory.
14.2 Ensure that all staff you employ or are
responsible for, are aware of their obligations
in relation to maintaining confidentiality.
14.3 Maintain confidentiality when communicating
publicly, including speaking to or writing
in the media, or writing online including on
social media.
14.4 Co-operate with formal inquiries and
investigations and provide all relevant
information that is requested in line with
your obligations to patient confidentiality.
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14.5 Provide an appropriate level of privacy for your
patients during consultation to ensure that
the process of information gathering,
examination and treatment remains confidential.
Different patients will require different levels
of privacy and their preferences must be taken
into account.
14.6 Only use the patient information you collect
for the purposes it was given, or where you
are required to share it by law.
14.7 Securely store and protect your patient records to
prevent loss, theft and inappropriate disclosure, in
accordance with data protection law. If you are an
employee, then this would be in accordance with
your employer’s storage policy.
14.8 Confidentially dispose of patient records when
no longer required in line with data protection
requirements.
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15. Maintain appropriate boundaries
with others
15.1 Maintain proper professional boundaries with
your patients, students and others that you
come into contact with during the course of your
professional practice and take special care when
dealing with vulnerable people.
15.2 Never abuse your professional position to exploit
or unduly influence your patients or the public,
whether politically, financially, sexually or by
other means which serve your own interest.
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16. Be honest and trustworthy
16.1 Act with honesty and integrity to maintain public
trust and confidence in your profession.
16.2 Avoid or manage any conflicts of interest
which might affect your professional judgement.
If appropriate, declare an interest, withdraw
yourself from the conflict and decline gifts
and hospitality.
16.3 Ensure that incentives, targets and similar factors
do not affect your professional judgement.
Do not allow personal or commercial interests
and gains to compromise patient safety.
16.4 Ensure that you do not make false or misleading
statements when describing your individual
knowledge, experience, expertise and specialties,
including by the use of titles.
16.5 Be honest in your financial and commercial
dealings and give patients clear information
about the costs of your professional services
and products before they commit to buying.
16.6 Do not make misleading, confusing or
unlawful statements within your advertising.
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17. Do not damage the reputation of your
profession through your conduct
17.1 Ensure your conduct, whether or not connected
to your professional practice, does not damage
public confidence in you or your profession.
17.2 Ensure your conduct in the online environment,
particularly in relation to social media, whether
or not connected to your professional practice,
does not damage public confidence in you or
your profession.
17.3 Be aware of and comply with the law and
regulations that affect your practice, and all the
requirements of the General Optical Council.
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18. Respond to complaints effectively
18.1 Operate a complaints system or follow the
system that your employer has in place,
making patients aware of their opportunities
to complain to yourself or your employer.
At the appropriate stage in the process, the
patient should also be informed of their
rights to complain to the General Optical
Council or to seek mediation through the
Optical Consumer Complaints Service.
18.2 Respect a patient’s right to complain and
ensure that the making of a complaint does
not prejudice patient care.
18.3 Respond honestly, openly, politely and
constructively to anyone who complains
and apologise where appropriate.
18.4 Provide any information that a complainant
might need to progress a complaint including
your General Optical Council registration
details and details of any registered specialty
areas of practice.
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19. Be candid when things have gone wrong
19.1 Be open and honest with your patients when
you have identified that things have gone wrong
with their treatment or care which has resulted
in them suffering harm or distress or where
there may be implications for future patient care.
You must:
19.1.1 Tell the patient or, where appropriate, the
patient’s advocate, carer or family) that
something has gone wrong.
19.1.2 Offer an apology.
19.1.3 Offer appropriate remedy or support to
put matters right (if possible).
19.1.4 Explain fully and promptly what has
happened and the likely short-term and
long-term effects.
19.1.5 Outline what you will do, where possible,
to prevent reoccurrence and improve
future patient care.
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19.2 Be open and honest with your colleagues,
employers and relevant organisations, and take
part in reviews and investigations when requested
and with the General Optical Council, raising
concerns where appropriate. Support and
encourage your colleagues to be open and honest,
and not stop someone from raising concerns.
19.3 Ensure that when things go wrong, you take
account of your obligations to reflect and
improve your practice as outlined in standard 5.
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Notes
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Notes
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Alternative formats
You can get this booklet in Welsh by visiting www.optical.org
General Optical Council
10 Old Bailey
London, EC4M 7NG
Telephone +44 (0)20 7580 3898
Email standar[email protected]g
@GOC_UK
www.optical.org
