1. Overview of Disciplinary Hearings & Sanctions Lisa Davis, Head of Fitness to Practise www.optical.org Friday 17 October 2014

2. General Optical Council2 About us We regulate optometrists, dispensing opticians, students training to be optometrists or dispensing opticians and optical businesses in the UK As at 31 December 2013 there were 26,435 registrants on the register Our statutory powers are derived from the Opticians Act 1989 (as amended) and various Rules that sit thereunder i.e. The General Optical Council (Fitness to Practise) Rules Order of Council 2013

3. Our main functions One of nine regulators of the healthcare professions Regulators protect the public by restricting who can practise a profession Independent of the government and our work is overseen by a separate statutory organisation – the Professional Standards Authority (PSA) General Optical Council3

4. Our mission and values Our Mission Our statutory function is ‘to protect, promote and maintain the health and safety’ of members of the public. We interpret this in our mission as ‘to protect and promote the health and safety of the public’. Our Values We are responsible, forward thinking and principled. General Optical Council4

5. How do we protect the public? Set standards for optical education, training, performance and behaviour Approve the qualifications that lead to registration Publish registers of optometrists, dispensing opticians, students and optical businesses in the UK Investigate and act on concerns about our registrants – are they fit to practise? General Optical Council5

6. Fitness to practise complaints A complaint that a GOC registrant may not be fit to practise can be as a result of one or more different factors including: Poor professional performance Physical or mental health Fraud or dishonesty Criminal conviction or caution Being under the influence of alcohol or drugs at work Inappropriate behaviour General Optical Council6

7. Number of registrants who were the subject of complaints in the period 1 April 2010 - 31 March 2014 22/10/2015General Optical Council7 Year Number of registrants Total number of registrants % of registrants subject to complaints 2010-11 18424,6560.7% 2011-12 21325,4610.8% 2012-13 23926,6160.9% 2013-14 18926,4350.7%

8. What happens when a complaint is received? Information gathering / investigation Registrant representations Case examiner consideration: i. No further action (NFA) ii. NFA with Advice / Warning iii.Health / Performance Assessment iv.Referral to the Fitness to Practise Committee (FTPC) for hearing General Optical Council8

9. Outcomes decided by the Investigation Committee for the period 1 April 2013 - 31 March 2014 for all cases considered in this period (including those where cases were opened before 1 April 2013) 22/10/2015General Optical Council9 Outcome2012-13%2013-14% No further action12239.713246.8 Referral to FTPC5016.34917.4 No further action with advice3110.13512.4 Further investigation required278.893.2 Minded to issue a warning247.8145.0 Warning196.2103.5 Direction for a performance assessment92.982.8 Direction for a health assessment72.341.4 Withdrawn by complainant72.351.8 Termination of referral to FTPC51.693.2 Review of decision not to refer to FTPC41.300.0 Voluntary performance review20.772.5 TOTAL307 282

10. Fitness to Practise Hearing – Interim Order Immediate order where satisfied that it is necessary to restrict the registrant’s practice to protect the public; is otherwise in the public interest; or in the registrant’s own interests Order for up to 18 months – suspension or conditions Last financial year – 14 sought, 11 obtained General Optical Council10

11. Types of cases where an Interim Order may be imposed Failure to detect retinoblastoma and blindness in a child – 18 month ICRO Drink-driving conviction & alcohol dependence – 18 month ISO Rape & assault of a child – 18 month ISO Criminal convictions for criminal damage and making threats to kill, and failure to disclose these – 18 month ISO Consuming alcohol before testing sight of patients – 18 month ISO cont’d General Optical Council11

12. Types of cases where an Interim Order may be imposed Criminal conviction for assault for which term of imprisonment given – 18 month ISO Registrant suffering from depression and alcoholism; drug taker – 18 month ICRO Concerns relating to clinical practice following a performance assessment – 18 month ICRO Caution for drugs and disorderly behaviour – 18 month ICRO Poor clinical procedures on a child – 18 month ICRO General Optical Council12

13. Fitness to Practise Hearing – Substantive FTPC follows a four stage process: 1.Committee decides whether factual allegations are proved by reference to the civil standard 2.If factual allegations are proven, whether facts amount to one of the grounds of impairment: a.Misconduct; b.Deficient professional performance; c.Conviction or caution; d.Adverse physical or mental health; or e.Adverse determination by another regulatory body cont’d General Optical Council13

14. Fitness to Practise Hearing – Substantive 3. Consideration as to whether the registrant is currently impaired 4. Sanction a. Erasure b. Suspension c. Conditional registration d. Warning e. Payment of a financial penalty General Optical Council14

15. Types of cases involving fraud Complaint received earlier this year anonymously, that employees have amended patient records by noting down a superior product, whilst providing a lesser product. Complaint received from NHS that: i. During a 4 year period, registrant was responsible for operation of a scheme whereby false claims to the value of almost £30,000 were submitted; ii.Further failure to disclose matters Complaint from customer regarding supply of inferior quality spectacles those purchase; overcharging by registrant. cont’d General Optical Council15

16. Types of cases involving fraud Complaint that registrant falsified dates on records/in diaries to meet the PCT pre-notification requirements; over-frequent testing of patients; fraudulently completing/signing of GOS forms Making fraudulent refunds Fraudulently submitting H Voucher GOS claims to the NHS for payment when it is not clinically indicated In 426 cases, patients received inferior lens to that ordered resulting in £12810 over charge. Occurred over 2 year period – erased. Forged signature of supervisor whilst under pre- registration – erased 22/10/2015General Optical Council16

17. Types of cases involving fraud Fraudulent refunds resulting in £2078 being stolen over 12 month period – erased Police caution for fraud by false representation – 9 month suspension Supplying false information to NHS – 6 months suspension 22/10/2015General Optical Council17

18. Breakdown of registrants who appeared before the FTPC 22/10/2015General Optical Council18

19. Outcomes decided by the FTPC 22/10/201519 Outcome2011-12%2012-13%2013-14% Erasure826.7719.4922 Suspension516.7513.9512.2 Conditions26.7411.112.4 Financial penalty----12.4 Warning516.76 819.5 No further action / No case to answer 723.3513.9922.0 Suspension to continue following review hearing 13.312.800 Conditions to continue following review hearing 13.325.612.4 No impairment following review hearing 13.3513.9616.6 Erasure following review hearing --12.812.4 TOTAL30 36 41

20. Hearings – other types Reviews Restorations Registration Appeals Appeals against sanctions PSA appeals General Optical Council20