Legal and Professional Framework

Candour in the UK has both professional and legal foundations. Knowing which applies helps teams act quickly and keep records that stand up later. ^[1][2]

Professional duty (UK-wide)

All registrants owe a professional duty of candour under GOC Standards: be open and honest with patients when things go wrong, say sorry, and explain what will be done to put matters right. ^[1]

Statutory duty (England) and NHS expectations

In England, many optical providers regulated by the CQC also carry a statutory duty of candour (Regulated Activities Regulations 2014, Regulation 20). This means timely notification, a written account, and a recorded apology when moderate or greater harm was caused - or could have been. For example, if a delayed referral resulted in avoidable worsening of vision, the statutory duty would be triggered. NHS contracts typically embed similar expectations. ^[2][4][3]

Scotland, Wales and Northern Ireland emphasise professional candour and organisational openness through national NHS policies and guidance. Contracted or accredited services are generally expected to apply the same principles: prompt notification, apology, explanation, and learning. ^[5][6][7]

Putting the duty into practice

• Core elements: prompt verbal notification; a sincere apology; a factual explanation of what is known; proportionate investigation; written follow-up; documented learning with owners and dates. ^[2][1][3]
• Practical documents: candour policy; simple decision flowchart; letter templates; incident and risk registers; investigation notes; learning log tied to governance. ^[2][4]

Apology and liability

Saying sorry is the right thing to do and is not, by itself, an admission of legal liability. ^[3][2]

Plain language such as "I am sorry this happened," paired with concrete actions, is usually clearer and more humane than legalistic wording. ^[3]

Thresholds, timescales and people

Patients - or, where appropriate, their representatives - should be informed as soon as practicable. Where capacity is lacking or the patient is a child, the relevant legal framework for decision-makers guides the process. Recording who was informed, when, and who will provide updates by what date supports transparency. ^[2][9]

Candour spans clinical care, dispensing, administrative issues, and data incidents. When third-party vendors contribute to harm, the provider remains responsible for informing patients and coordinating fixes. For example, if a glazing lab error led to incorrect lenses being dispensed, the practice would still explain the situation to the patient and arrange the remedy. Contracts that make candour expectations explicit can help partners collaborate. ^[2][4][8]

Proportionality

A proportionate approach helps in practice. Minor service issues may merit an explanation without a formal candour letter - for example, a short delay in appointment booking caused by a rota change. Triage tools can align the level of response to significant harm, moderate harm, and near misses, with the rationale for each decision recorded. ^[2][4]

References (numbered in text) Why we include references

1. What is the professional duty of candour? — General Optical Council Find (opens in a new tab)
2. Regulation 20: Duty of candour — Care Quality Commission Find (opens in a new tab)
3. Saying Sorry — NHS Resolution Find (opens in a new tab)
4. NHS Standard Contract — NHS England Find (opens in a new tab)
5. Organisational Duty of Candour: non-statutory guidance (revised March 2025) — Scottish Government Find (opens in a new tab)
6. The NHS Duty of Candour — Welsh Government (GOV.WALES) Find (opens in a new tab)
7. Consultation on ‘Being Open’ Framework and Duty of Candour launched — Department of Health Northern Ireland Find (opens in a new tab)
8. Information governance and data protection — NHS England Find (opens in a new tab)
9. Being open and honest with patients in your care (candour/‘being open’) — General Medical Council Find (opens in a new tab)