General Optical Council Expert Witness Pool (consultant)

Information pack for applicantsDate: August 2017

Contents1. Introduction................................................................................................ 12. Overview ................................................................................................... 23. About the General Optical Council (GOC) ................................................ 34. Role and responsibilities of an expert witness…….................................... 45. Person Specification ................................................................................. 66. Joining the pool………………………………………………………………… 87. How to apply ............................................................................................. 98. Application Guidance ................................................................................12

1. Introduction

Thank you for expressing your interest in joining the GOC’s Expert Witness Pool and for taking the time to read this information pack which I hope gives you all the information you need to apply.

We are the regulator for the optical professions in the UK. Our purpose is to protect the public by promoting high standards of education, performance and conduct amongst opticians. We currently register around 29,000 optometrists, dispensing opticians, student opticians and optical businesses.

It is absolutely essential for both public protection and confidence in the professions that the GOC provides a high quality, robust and fair service across all its core functions. To support this aim, we are inviting applications from optometrists and dispensing opticians to join the GOC’s Expert Witness Pool. The GOC is seeking to create a pool of at least 25 expert witnesses, predominantly optometrists. Successful applicants will be added to the list of approved experts in the Pool. They will receive instructions from the GOC on a case-by-case consultancy basis.

The GOC will issue instructions in individual cases on a fixed fee basis so it is very important that you read the fixed fee criteria before completing the application form.

As well as helping us to protect the public and to maintain confidence in theprofessions, this is an opportunity for personal and professional development due to the challenging and varied nature of the work.

More detailed information about this role can be found at section 4 of this pack.

Interviews will be held in our London office (10 Old Bailey, London, EC4M 7NG).

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We particularly welcome applications from applicants who can reflect the diverse mix of our registrants and patients.

This information pack provides details of the expert witness role, information about the GOC, details of how to apply and information regarding the appointments process as well as further detail about the timetable. If you welcome the challenge of helping to take a leading role in supporting optical regulation at this time, we would be delighted to hear from you.

Safia Iman, Interim Director of Fitness to PractiseAugust 2017

2. Overview

TimelineThe key timeline for this exercise is set out below:

Application deadline Monday 18 September 2017 (14:00) Applicants who are invited to interview will be notified w/c 25

September 2017 Interviews (provisionally) w/c 23 and 30 October and w/c 6 November

2017 (which will include assessments to test clinical ability and the competencies required for expert witness work)

Appointment to the Pool confirmed by Friday 17 November 2017

[please note that timelines may be subject to change depending on the volume of responses]

Competencies requiredApplicants will need to clearly demonstrate that they have the necessary skills and competencies for the role as specified in section 5.

EligibilityPlease carefully read the information about potential conflicts of interest (section six) before you submit an application.

Final appointment to the Pool will be subject to attendance at a one-day training event at the GOC. The GOC will pay a training fee of £218 as well as reasonable travel, accommodation and subsistence expenses for those invited to attend this event, in accordance with the GOC Expenses Policy.

For the avoidance of doubt, this is not an employee, worker or contractor role and being accepted into the Pool will not imply any sort of contractual relationship with the GOC. This is a consultancy role and applicants must therefore be aware that payment of consultant fees will be made gross (upon invoice). The successful applicant will be responsible for making their own arrangements for payment of tax and National Insurance.

Although the GOC will endeavour to offer work to all pool members during the membership period, acceptance into the pool is not in itself a guarantee of

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work being offered.

Key contactsFor more information about the selection process, please email Paula Thompson (pthompson@optical.org) and we will aim respond to your query within 48 hours.

3. About the GOC

BackgroundWe are governed by a Council (our Board of Trustees) which sets strategic direction. The Council is composed of six lay members (including the Chair) and six registrant members (optometrists and dispensing opticians). At least one member of the Council must live or work wholly or mainly in each of England, Northern Ireland, Scotland and Wales.

Our primary legislation is the Opticians Act 1989 (as amended) and we also have a series of related rules that describe how we must carry out our statutory functions.

Our legislation can be found on our website at:http://www.optical.org/en/about_us/legislation/index.cfm

Our Primary FunctionsOur overarching objective is the protection of the public. We achieve this through our four primary functions:

1) Setting standards for optical education and training, performance and conduct;

2) Approving qualifications leading to registration;3) Maintaining a register of individuals who are qualified and fit to

practise, train or carry on business as optometrists and dispensing opticians; and

4) Investigating and acting where registrants’ fitness to practise, train or carry on business is impaired.

Our MissionIn line with our statutory function, our mission is to protect and promote the health and safety of members of the public.

Our ValuesWe are responsible, forward thinking and principled:

ResponsibleWe inspire confidence because:

We make clear, well-reasoned, evidenced based decisions. We account for our actions and are open to scrutiny. We apply our resources in a targeted and proportionate manner.

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Forward thinkingWe make a difference because:

We pursue defined goals and measure our results. We are progressive, innovative and agile in our ways of working. We achieve and deliver more by working collaboratively. We are a learning organisation committed to continuous improvement.

PrincipledWe build trust because:

We gain respect through our credibility, integrity and high standards. We listen openly, act responsively and communicate honestly. We behave consistently and fairly to everyone. We foster a positive and productive culture.

Overseeing our workOur work is overseen by the Professional Standards Authority (PSA). The PSA oversees the nine UK healthcare regulators and works with them to improve the way professionals are regulated. For more information about the PSA, visit www.professionalstandards.org.uk.

4. Role and responsibilities of an Expert witness

The Fitness to Practise (FTP) directorate manages approximately 400 initial contacts per annum, with approximately 300 of these proceeding to full investigation and approximately 25% of those cases reaching a full Fitness to Practise Committee hearing.

The Case Progression department is responsible for supporting and taking forward the work of Case Examiners and the Investigation Committee, who consider all allegations of impaired fitness to practise relating to persons or bodies corporate registered with the Council. The Fitness to Practise department undertakes the investigation of such allegations, including collating patient records, taking witness statements, obtaining expert clinical advice, preparing case papers and obtaining the representations of the registrant whose fitness to practise is in question.

In respect of cases which have been referred by Case Examiners or the Investigation Committee to the Fitness to Practise Committee, the department is responsible for managing the further preparation of those cases and their presentation before the Fitness to Practise Committee. This is done in liaison with the GOC Legal Team and/or external lawyers.

The responsibilities and core role functions for the expert witness are as follows:

1) In accordance with the GOC’s letter of instruction in an individual case, the expert witness will provide expert analysis of the clinical allegations in a formal report to the Council.

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2) The expert witness will prepare all reports in accordance with GOC instructions (including the agreed timeframes issued by the GOC) and within the report will provide an assessment of the clinical treatment provided, the standards applied in determining the expected level of care and an overall opinion of the treatment provided by the registrant(s). The report must include all relevant information to enable the Case Examiners and/or the Fitness to Practice Committee (FTPC) to make informed decisions.

3) The GOC will aim to provide the expert witness with all the information and documents they require as soon as reasonably possible after they have accepted an instruction.

4) The expert witness report will be disclosed to the registrant and their representative(s) and to either GOC Case Examiners and/or the FTPC, depending on which stage of the FTP process their expertise has been requested.

5) The findings of the expert witness may be relied upon by the GOC in presenting its case to the Case Examiners and/or the FTPC and the expert witness is likely to be required to give evidence before the FTPC if the case is referred for a full hearing.

Fixed Fees The GOC will pay a fee of £150 per hour (plus VAT if you are VAT

registered). This fee is capped at a maximum of £1,500 per initial (substantive) report (+ VAT).

Any supplemental reports required will be paid at a fixed fee of £100 per hour, capped at a maximum of £300 (plus VAT)

Should you be required to attend a FTPC hearing to give evidence then the GOC will pay up to a maximum of £325 (up to 4 hours) and £650 (4 hours and over) for your attendance and will reimburse your reasonable travel, accommodation and subsistence costs in accordance with the GOC Expenses Policy.

Should you be required to attend a case conference the GOC will pay up to a maximum of £325 (up to 4 hours) and £650 (4 hours and over) for your attendance and will reimburse your reasonable travel, accommodation and subsistence costs in accordance with the GOC Expenses Policy.

In exceptional cases, the GOC will consider payment over and above the fixed fee rate but this must be agreed by the GOC Head of Case Progression in advance of starting work.

Fees will be reviewed annually from April 2019.

The appointee is eligible to reimbursement of expenses, at rates set centrally, for travel and subsistence costs incurred necessarily on GOC business.

Timescales

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Successful applicants will be expected to produce written reports generally within four weeks of instruction and on occasion, to a shorter timescale. The timescale will be set out within the instruction letter on a case-by-case basis.

5. Person Specification

Applicants will be required to provide in their application form examples of how their experience matches the essential and desirable criteria outlined below. Applicants who provide evidence that also support the desirable criteria may be even better positioned to demonstrate that they meet the challenges of the position. For applicants who have a similar level of skills, knowledge and experience evidenced against the essential criteria, an assessment against the desirable criteria will be made in order to rank applications.

Essential competenciesThe successful applicant will be able to demonstrate the following:

Production and presentation of complex information and decisions in understandable formats appropriate for a range of audiences

Ability to analyse and interpret complex information and evidence in an impartial way, with excellent attention to detail

Ability to think logically, weighing evidence and information and reaching thoughtful, fair and unbiased evidence-based conclusions

Simplifies complex situations and/or information

Effective Communication and Problem-Solving Skills

Excellent written communication skills with the ability to draft high-quality, fully-reasoned, formal reports

An ability to articulate – both orally and in writing – clear, well-founded reasons for any conclusions reached and to apply the correct standard to both reasoning and conclusions

Ability to work independently, without close supervision, and prioritise work appropriately

Ability to manage competing priorities, identifying and progressing high risk matters appropriately

Ability to work autonomously and independently

Demonstrates positive behaviours

Takes responsibility for, and learns from, own performance Commitment to own continuing professional education and training Undertakes their work in a fair, balance and unbiased manner Demonstrates commitment to equality, diversity and inclusion – dealing

with people and issues honestly, fairly and with respectEssential Skills/Experience

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On the GOC register of fully-qualified optometrists/dispensing opticians with no adverse fitness to practise history or any other adverse findings that could affect your ability to undertake the role

You command the respect and confidence of your professional peers [References will generally not be accepted. You must be able to evidence this through, for example, professional experience, roles held, published works]

Ability to assimilate and communicate large amounts of information and to apply relevant and confident consideration to the ‘reasonable body of opinion’ test

Experience of attending a broad range of patients At least 5 post-qualification years’ experience in a substantive clinical post

(e.g. regular practice as an optometrist/dispensing optician in a primary care setting, optometric clinical adviser role, or other clinical setting).

Thorough knowledge of GOC legislation, rules and regulations relating to optics

A broad and extensive knowledge and understanding of national and regional policies and current issues relating to optics

To currently be holding a patient-facing role (at least 1 day a week) Excellent written English skills with the ability to research and draft formal

clinical reports of a very high standard Excellent oral communication skills with the ability to explain complex

matters clearly and succinctly at a hearing Experienced in the use of IT applications, specifically experience of

Microsoft Office programmes (Excel, Word and Outlook).

Desirable skills/experience

Experience of assessing the clinical performance of others Published (peer-reviewed) Medico-legal work Previous experience of FTP procedures (for example, acting as an expert

witness) To have provided training and/or teaching in an educational environment

(optics related) Registered with a Contact Lens specialty Independent Prescriber (optometrists only)

Essential qualities

Reflective Measured Fair Able to concede conclusions if successfully challenged and be ready to

modify opinions in light of fresh evidence or counter arguments Comfortable and confident in a formal environment (e.g. a FTPC hearing) ObjectiveInterview stage

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The competencies and qualities required to fulfil the role will be tested at interview and through assessment exercises. Applicants who are shortlisted for interview will need to show that they have the essential competencies required to be effective in the role.

6. Joining the Pool

Entry to the Pool of Expert Witnesses will be for a period of three years. A similar exercise to ‘refresh’ the Pool will be undertaken in 2020. There will be no barrier to applying to re-join the Pool.

Upon joining the Pool, successful applicants will be issued with a letter setting out the GOC’s requirements in terms of, but not limited to:

Conduct; Performance; Confidentiality; Conflicts of Interests; and Data protection;

Although there will be no formal performance management relationship between the GOC and the Expert Witness, the GOC will reserve the right to remove a successful applicant from the Pool at its discretion, and upon written notice to the Expert Witness of its reasons for their removal.

Training and DevelopmentAppropriate training and induction will be provided. Upon appointment you will be expected to attend a one-day training event in respect of the role (see above regarding expenses payable for this event). Further details of training in this regard will be issued on appointment. Joining the pool is conditional upon the completion of this induction training.

The Expert Witness may be required to observe a FTPC hearing as part of their induction training.

Conflicts of InterestBusiness or personal interests that might be relevant to our work, and which could lead to a real or perceived conflict of interest were you to be accepted into the Pool, should be declared at the application stage.

You should also declare if you have any close personal relationships with GOC Council or committee members, hearing panel members or employees (including Case Examiners). Any actual, potential or perceived conflicts of interest will be fully explored by the selection panel at shortlisting and interview stage. Applicants will be given an opportunity to explain how they would manage or eliminate the conflict.

It is possible that certain conflicts will not be manageable, or might be dealt with as a condition of appointment (for example, an applicant needing to terminate their conflicting activity in order to take up the role).

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If you wish to discuss an actual or potential interest before submitting yourapplication please email Paula Thompson (pthompson@optical.org).

7. How to apply

Application forms can be downloaded from our website. To be considered, anapplication must be received by the GOC by 14:00 on Monday 18 September 2017. The application form is the main source of evidence that the selection panel will rely upon to make an assessment of suitability.

Please refer to section eight of this pack and the guidance notes when completing your application form.

Please indicate how you meet the selection competencies detailed in the person specification. It is important that you use examples which are based upon real situations, clarify the task you had to achieve, outline the action you took and identify the result of your action(s). If necessary, you may use the same evidence or example against more than one competency.

You should also submit an up to date CV (no more than seven sides of A4). The CV should outline your employment history, any relevant voluntary work, public service or other experience; together with any relevant professional, academic or vocational qualifications and publications. Your CV will be used to assist the assessment of your expertise. Please note that CVs alone will not be accepted.

Please return the application form and a copy of your CV by email to pthompson@optical.org. It is advised that you submit your application in Microsoft Word or PDF format to ensure that we can open your application safely.

Once you have submitted your application form, you will receive a confirmation email of receipt within two working days.If you require braille, large print, audio or cd versions of this information pack and the application form, contact pthompson@optical.org.

When submitting your application you will also be asked to submit a monitoring form for equal opportunities. Please note any monitoring forms you submit will be separated from your application. For further information on why we collect this information and how we process it please refer to page 12.To ensure fairness to all applicants, any additional information you have provided (for example, cover letters, appraisals, examples of work, monitoring forms etc.) will be removed from your application; all assessments are made on the application form only (with CV if submitted).

If you have any questions please email them to Paula Thompson atpthompson@optical.org and we will aim to respond to you within 48 hours.

Should you wish to contact us by mail or by telephone, our contact details are:

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Address: 10 Old Bailey, London, EC4M 7NGTel: 020 7580 3898

Once we receive your application we will process your application as quickly as possible and will keep you informed at key stages. Please read the information below carefully, which outlines important information and our process once we receive your application:

1. We will acknowledge receipt of your application (by email if provided) and check it for completeness and eligibility. Please note if we are unable to open or print your application, you will be contacted immediately. If we do not receive your application within the specified time, it will be assumed you are no longer interested in the role.

2. The Selection Panel will rely only on the information you provide on yourapplication form and CV only to assess whether you have the experiencerequired as set out in the person specification. These competencies areidentified in section five of this pack.

3. Where 50 or more applications are received, applications will be “pre-assessed” before being forwarded to the shortlisting panel for consideration. In this event, you should be aware that your application might not be considered in full by all the members of the selection panel. We regret that no feedback will be provided.

4. During the week of 18 September 2017 we aim to inform all applicants who have been shortlisted for interview. Please note it is up to the Selection Panel to decide whether they wish to give feedback to applicants not invited to interview. You will be informed by email if you have not been invited to interview.

5. Interviews will take place in late-October 2017 and, if necessary, in early November at the GOC’s offices (10 Old Bailey, London, EC4M 7NG).

6. Please note that where an applicant is unable to attend an interview on thedate(s) offered, the selection panel may consider offering an alternative date,but at their discretion and in light of interviews already undertaken.

7. If invited to interview, the selection panel will question you about yourexperience and expertise and ask specific questions to establish whether youmeet the specified competencies. For more information refer to section five ofthis pack.

8. The assessment process will include a clinical test element.

9. If, in the view of the selection panel, you are able to demonstrate that your skills and experience most closely match the competencies required for this position, you will be invited to join the Pool of Expert Witnesses, conditional upon completion of induction training.

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10. All applicants who have been interviewed will be notified in writing of theoutcome once the final decision has been made.

11. References for the successful applicant will be taken following notification of interview outcome. Acceptance into the Pool will be subject to receipt of two satisfactory references.

12. On initial acceptance, the successful applicant will receive further information about training and induction.

Access RequirementsWe have a duty to promote equality of opportunity. One of the ways we are doing this is through identifying barriers to opportunity facing those with disabilities and making reasonable adjustments to address them. If you would like to discuss your requirements for reasonable adjustments in more detail please contact Paula Thompson at pthompson@optical.org or 0207 580 3898.

More information on reasonable adjustments can be found at:https://www.equalityhumanrights.com/en/multipage-guide/employment-workplaceadjustments

Diversity and Equality of OpportunityWe strive to be as diverse as the public we protect and welcome applications from everyone, regardless of age, disability, gender reassignment, race, religion or belief, ethnicity, sex, sexual orientation, marriage and civil partnership, pregnancy and maternity. We are committed to equality of opportunity for all and appointments will be made solely on merit. We believe that for any organisation to be successful, it needs to work with the most talented and diverse people available. We positively encourage applications from people from all sections of the community, from all backgrounds and with a broad range of experience. We undertake that your application will be dealt with fairly and that all decisions we make about it will be based on merit and your ability to meet the person specification. To ensure all applicants are treated fairly, we monitor diversity at all stages of the appointments process, as well as political activity. The application process includes a monitoring form for completion and submission with the application form. Providing this information is optional, but we would be grateful for your co-operation.

Information provided will be treated in the strictest confidence under the DataProtection Act 1998 and used for monitoring purposes only. It will not be seen by anyone directly involved in the selection process, and will not be treated as part of your application. No information will be published or used in any way which allows any individuals to be identified.

Data ProtectionOur data protection policy is published on our website. We are required to retain information about the people who apply for public appointments, and make this available for audit purposes, if requested to do so. Our data protection policy in relation to the information we collect in respect of public

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appointments is set out below.

Initial contact details, including your name and address will be held for a minimum of three years.

If you submit an application form, the form and any supporting documentation will be retained for a minimum of two years.

Information held electronically, including your contact details and the monitoring information provided will be held for a minimum of two years.

We may be required to release information, including personal data, on request under the Freedom of information Act 2000. However, we will not permit any unwarranted breach of confidentiality nor will we act in contravention of our obligations under the Data Protection Act 1998. By signing the application form you consent to the information being used in this way.

http://www.optical.org/en/about_us/data-and-information/data-protection.cfm

Dealing with Your ConcernsWe aim to process all applications as quickly and as fairly as possible. If you have a complaint about this process, please write to:

Head of ComplianceGeneral Optical Council10 Old BaileyLondonEC4M 7NG

You may also contact us by telephone and email:Tel: 020 7580 3898Email: corporatecomplaints@optical.org

Our Complaints Protocol can be found at:https://www.optical.org/en/Investigating_complaints/index.cfm

In the first instance, you should raise your concern/complaint informally within 72 hours of the action you are complaining about.

8. Application Guidance

Preparation for completing your application formBefore starting to write your application form, please read the information pack carefully, paying particular attention to the competencies, skills and experience required (these are split into essential and desirable in section five of this pack).

Please also consider the other information provided in the information pack, so you can take this into account when writing your competency statements.We recommend that you allow ample time to complete the application form. If you do not, you risk not doing your application justice. Please also take the opportunity to save your work regularly.

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Please do not assume the selection panel will rate your application highly because of your CV. Do make sure that you give plenty of evidence in your application form.

It is strongly recommended that you think about any interests which may conflict with the role (see section six of the pack) and the time commitment, before deciding to apply.

How to complete competency based answersThe Chartered Institute of Personnel and Development defines ‘competency’ as “the personal attributes or inputs of an individual. They can be defined as behaviours (and technical attributes where appropriate) that individuals must have, or must acquire, to perform effectively at work”.

Providing your competency statements is important because the selection panel will use them to assess your suitability for the role. It is not sufficient to say that you have the relevant experience - you should aim to show evidence of making a success of that experience by describing how you acted in particular scenarios, and what effect those actions had. This is because your answers are used as an indicator of what you are like “in action”.

For each competency, think about and consider providing examples which: can be used to demonstrate how you meet the competency; allow you to explain in some detail your individual involvement and role

in the matter; had a positive impact (less successful examples are just as acceptable

but you may wish to reflect in your answer the lessons learned); clearly identify the impact of your actions; and allow you to highlight other key skills or knowledge mentioned in this

pack (if possible).

In preparing your competency statements, you should provide examples that are truthful and correct in terms of spelling and grammar.

Examples can come from a variety of scenarios - for example (but not limited to), employment, voluntary work, education, leisure activities, learning situations or professional posts. Describe what you did, not what others did because the answer is about you and your involvement in the situation. Therefore, you should include more “I” did this and less “we/the team” did that. Although you should describe how your actions affected other relevant people where this reinforces the evidence for the effectiveness of your actions.

You may wish to consider adopting the STAR(R) approach (Situation, Task, Action, Results (Reflection)) to structure your answer. Furthermore, it will help you break down the “300 word limit” into four/five manageable chunks. The majority of your 300 words should be on the Action and Results (and Reflection when appropriate). There are a lot of helpful websites that explain how to answer “STARR questions”.

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Stronger examples fully demonstrate: you hold the competency; the impacts of your actions on key stakeholders, groups of people or the organisation as a whole; supports key organisation objectives and priorities; and includes evidence of quantifiable and/or qualifiable improvements.

Weaker examples only partly demonstrate you hold the competency being asked for; has little or no direct link to anything on a strategic or organisational level; and contains little evidentiary support for positive outcomes and impact.

What to do if you do not have an exampleSeek advice from those who have observed you in a professional, academic,voluntary or other vocational capacity as there could be examples which you have forgotten about.

If you are unable to provide an example, it is best to either: describe your closest matching example; or explain that you do not have direct experience but then go on to explain your understanding of the competency and relate this to your overall experience as best as possible.

We strongly recommend that you do not leave an answer box blank. By leaving it blank you indicate that you do not (or cannot) meet this criteria. With the approach described above, there is a chance you would be awarded a higher rating for that answer than not saying anything at all.

Reviewing your applicationPart of the skill that is required to completing this type of application form is being able to express yourself clearly and succinctly, while covering all necessary points. You may need to edit your answer because you have used too many words. Be prepared to do an initial draft and review it before producing your final version.

When reviewing your application, consider whether you:

have included everything that you needed to; have included anything irrelevant or repetitive; are able to re-write your statement to adhere to the 300-word limit,

without losing any necessary information; or whether you could use bullet points to summarise.

have reviewed your answers and taken time to thoroughly proofread it. Have checked for all errors - especially typing and spelling.

We recommend someone else who you trust (for example, a friend or family member) reviewing your application too so they can give some feedback on the content, grammar and spelling.

Thank you for taking the time to read the above and completing your application for entry to the GOC Pool of Expert Witnesses.

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