Prevention of Future Deaths reports · 2021
Regulation 28 report to prevent future deaths, reference 2021-0102, written 13 Apr 2021. A coroner writes one of these when an inquest reveals a risk that could cause further deaths unless something changes.
| Date of report | 13 Apr 2021 |
|---|---|
| Reference | 2021-0102 |
| Deceased | Anthony Wilkinson |
| Coroner | Abigail Combes |
| Coroner area | South Yorkshire (West District) |
| Category | Community health care · Hospital Death (Clinical Procedures and medical management) related deaths · Other related deaths |
| Source | judiciary.uk record · original PDF |
| Responses published | 3 |
Text extracted from the PDF text layer. Reproduced verbatim, including the scan's own layout.
REGULATION 28 REPORT TO PREVENT FUTURE DEATHS
THIS REPORT IS BEING SENT TO:
1. Stars Social Support Limited
2. Care Quality Commission
3. South West Yorkshire Partnership NHS Foundation Trust
1
CORONER
I am Abigail Combes, assistant coroner, for the coroner area of South Yorkshire (West
District)
2
CORONER’S LEGAL POWERS
I make this report under paragraph 7, Schedule 5, of the Coroners and Justice Act 2009
and Regulations 28 and 29 of the Coroners (Investigations) Regulations 2013.
3
INVESTIGATION and INQUEST
On 10 April 2018 I commenced an investigation into the death of Anthony Wilkinson
born on 31 December 1960. The investigation concluded at the end of the inquest on 26
March 2021. The conclusion of the inquest was Unlawful Killing. Anthony died as a
result of
1a: Foreign Body obstruction of the airway
4
CIRCUMSTANCES OF THE DEATH
Anthony Wilkinson ("Tony") was diagnosed with Fragile X syndrome. He lived relatively
independently with support for much of his adult life and was able to access the
community and undertake hobbies and interests without too much difficulty for much of
his life. His overall health started to decline in late 2017 and he began having
investigations for dementia or similar neurological decline.
The primary symptom of this which was exhibited was of unusual and more erratic
behaviours including aggression and physical and verbal confrontations. One additional
issue which arose with Tony was some swallowing difficulties. This led to Speech and
Language Therapy Assessments being undertaken in 2017 and 2018. The first regarded
Tony has having behavioural swallowing difficulties which meant that he crammed too
much food into his mouth or put food into his mouth without swallowing what was
already in his mouth.
Speech and Language Advice in 2017 was that Tony should be supervised at all times
when eating and should have a softened diet. This advice was never incorporated into
Tony's support plans or risk assessments by the care provider.
Tony was provided with a meal on 18 February 2018 which resulted in him choking and
having to be admitted to hospital. The meal that he was provided with in February 2018
was in line with the SALT advice from 2017 but resulted in a further referral to the SALT
team. When SALT visited on 5 and 6 March 2018 it was apparent that there was a
deterioration in Tony and that his swallowing difficulties were now due to a mechanical
issue with his swallow. As a result, they advised that Tony should have a fork mashable
diet and thickened fluids. Again, this was not incorporated into a support plan at Tony's
address for carers to access and utilise.
1
Staff did indicate that they were aware of the need for fork mashable diet and thickened
fluids however the communications log showed variable compliance with the specialist
diet.
The care provider advised that support plans were generated at the head office and was
then printed twice with a duplicate copy taken to the resident's home address. The care
provider also advised that they would collect the communication logs and important
issues sheets along with some other documentation from the resident's file once a
month to audit for compliance and recording standards and then archive these at Head
Office. It was apparent that the care co-ordinator in Tony's case was on annual leave
and sick leave in the two weeks prior to Tony's death and was not able to advise when
the sheets had last been collected but when the police took Tony's record from his home
address the communication logs only went back to 28 March 2018 (Tony having died on
4 April 2018)
The Police carried out an investigation into Tony's death and found that no criminal
charges would follow his death as matters could not be proven beyond reasonable
doubt. Of course, the coroner’s proceedings only require matters to be proven on the
balance of probabilities even where that relates to a finding of unlawful killing.
Following the evidence at the inquest the jury concluded that Tony had been unlawfully
killed. They were asked a series of questions which formed box 3 of the record of
inquest which required unanimous yes or no answers. They were answered as follows:-
a. Were Stars Social Support Limited responsible for the care and support
needs of Tony between 4 December 2017 and 4 April 2018? Yes
b. Was part of the role which Stars Social Support Limited had translating
specialist advice into support plans and risk assessments for Tony?
Yes
c. Following the SALT assessments of 4 December 2017 and 5/6 March
2018, did Stars Social Support Limited put in place a robust procedure
to implement the advice provided in Tony’s support plans and risk
assessments? No
d. Did the support plans for Tony which were at
adequately reflect the risks posed to Tony following the assessment by
SALT on 5/6 March 2018? No
e. Were the support plans and risk assessments at Midland Road between
5 March 2018 and 4 April 2018 adequate to enable staff to mitigate the
risks posed to Tony as a result of his swallowing difficulties? No
f. Following the SALT assessments of 4 December 2017 and 5/6 March
2018, did Stars Social Support Limited put in place adequate and robust
communications to staff caring for Tony so that they were aware of the
advice? No
g. Following the SALT assessment on 5/6 March 2018 did Stars Social
Support Limited senior managers review whether staff were
implementing the advice? No
h. Were staff aware of the expectation that they would attend head office
to review service user support plans and risk assessments as part of
their role in supporting Tony? No
i.
In view of the SALT advice, was Tony provided with appropriate food
when he visited the Manchester Airport pub with a support worker from
Stars Social Support Limited? No
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j. Was Tony provided with safe care by Stars Social Support Limited
between 5 March 2018 and 4 April 2018? No
Following Tony's death, the Care Quality Commission inspected Stars Social Support.
They attempted to do so in 2018 however the Police had seized a significant amount of
documentation and therefore they believed that they were not in a position to carry out
an inspection of the services at this time. As a result of that the inspection triggered by
Tony's death was not until 13 February 2019 and the subsequent report was released in
May 2019. This inspection found that the services 'required improvement' overall with
breaches of the Regulations. This would automatically trigger the requirement for a re
inspection within 12 months of the published report (therefore the next inspection was
required by 8 May 2020) Due to the breaches of the Regulations found, Stars Social
Support were also required to provide an action plan within 28 days of the rating to
commence improvements. CQC state they did not receive any action plan from Stars
Social Support Limited following this inspection.
CQC did not return to the Provider to inspect until August 2020 which they confirm was
due to the pandemic and not entering providers to inspect during this time. To mitigate
this CQC determined they would risk stratify the providers and those that were high risk
would receive priority monitoring and be the first inspected when they were able to
return to inspection activity. CQC did not rate Stars Social Support as one of their higher
risk providers at this time.
When CQC returned in August 2020 and reported on this inspection in October 2020
they determined that the provider was now rated as 'inadequate' overall. There were
further breaches of the Regulations at this time. Again, the provider did not provider an
action plan following this inspection.
Although the advice which Tony was given by Speech and Language Therapy was not a
feature of the inquest proceedings the SALT team have subsequently updated their
advice and guidance sheets and I will return to this feature of the proceedings below.
5
CORONER’S CONCERNS
During the course of the inquest the evidence revealed matters giving rise to concern. In
my opinion there is a risk that future deaths could occur unless action is taken. In the
circumstances it is my statutory duty to report to you.
The MATTERS OF CONCERN are as follows. –
Stars Social Support Limited
(1) Stars Social Support Limited have a culture which does not encourage
transparency or embrace the duty of candour. This was evidenced throughout
the inquest proceedings and in the lack of engagement with CQC during the
inspection regime.
(2) Stars Social Support Limited do not utilise their own website to ensure that
policy and legislative changes can be adequately and promptly shared with
service users, their families, and staff.
(3) Stars Social Support Limited do not have appropriate policies, procedures and
checks in place to ensure that updates to care plans are communicated to all
staff caring for service users or that the correct care and support plans, and risk
assessments, are in the service users home address.
(4) Stars Social Support Limited have implemented the use of WhatsApp to ensure
staff are aware of updates to service users plans and they require staff to
confirm they have read and understood the update prior to caring for an
individual. Whilst this is a positive use of technology to support staff in caring for
service users it is in itself a safeguarding issue to hold personal information
about the service user on personal mobile phones; this is especially the case
3
where there are not adequate policies in place around the use of personal
phones by staff members.
(5) The use of the WhatsApp group adds in two risks of its own, the first is that
there is an over reliance on this being the means by which service users care
plans are updated and by default this ends up being the service users care plan.
This makes it more likely rather than less likely in my view that support plans in
the service users’ home will not be updated in a timely fashion.
(6) Secondly, visiting professionals are not able to access the WhatsApp group and
therefore will not be in receipt of this updated information which may be
important for some service users.
(7) There was no evidence that fundamental matters such as standard operating
procedures for displaying SALT advice or allergy advice in a service users’
kitchen where all can see it have been implemented by the Stars Social Support
Limited.
(8) There remained a lack of understanding about the mental capacity act and how
that may affect the care delivery to service users where it meant that a carer or
senior manager had to be the decision maker for specific aspects of their care
such as nutrition or medication
(9) There is now a significant reliance on the Director updating all records and
delivering care and undertaking audits whilst she improves the culture of the
organisation. There was no adequate description of contingency plans in the
event of sickness of this individual.
(10) The Director, in evidence, did not describe consideration of a lead carer for
service users who would hold some responsibility for ensuring documentation in
the service users’ home was accurate and up to date.
(11) I did not hear or see any evidence of any policy or procedure being in place at
the Stars Social Support Limited which related to completion of risk
assessments and care plans; where they will be kept; how they should be
updated; who will look at them and where; what to do in the event that there isn't
one; how documents should be presented; how technology will be used; how
data will be safeguarded; how audits will be undertaken; how handovers will be
undertaken. This list is not exhaustive it is simply a list of some of the areas I am
particularly concerned about in this case however I have not seen evidence of
any policies produced by Stars Social Support Limited despite asking
specifically for this at the end of the inquest proceedings. I have seen only an
induction booklet.
(12) I would like to see evidence of how Stars Social Support Limited will positively
engage with Regulators and other bodies to enhance the quality of their
services.
Care Quality Commission
(13) CQC did not take adequate steps to access records held by the Police or the
provider in a timely fashion following Tony's death. This potentially created risk
to other service users as the Regulator had not inspected the service promptly
following a significant event.
(14) CQC too readily accepted the lack of an action plan from the provider and did
not use this lack of engagement from the provider to increase the risk profile for
this provider. Had they done so an earlier re inspection may have been triggered
or further regulatory action. This failure may have exposed other service users
to unnecessary risk of harm as a result of an inaccurate risk picture being
provided by the CQC.
(15) CQC did not take into consideration significant relevant factors when risk
assessing this care provider at the start of the pandemic leading to an
inappropriate risk profile being established and an exaggerated level of
confidence being placed in the provider to provide safe services to residents
without appropriate monitoring and oversight from the Regulator.
(16) The report from the August 2020 inspection was inaccurate and misleading and
may have caused service users to be added to this service where that ought not
to be the case. The report published in October 2020 refers to their being no
4
evidence of harm however there is a woeful lack of detail about the context of
this within the report. CQC should review this particular report for this provider
and also reconsider the way in which reports are written to ensure that they are
not misleading and therefore dangerous. This includes either omitting from the
report any comment about harm where there is clearly a context and evidence
of harm to service users previously, which is open and live, but which does not
form part of the inspection or very clear confirmation in the report that there has
been evidence of harm which does not form part of the specific inspection
report.
(17) Where CQC are required to decide whether evidence ought to be used for the
basis of an inspection OR for regulatory action, they ought to ensure there is a
consistent approach to this including the consideration of polices and standard
operating procedures. This should be approached on the basis of safeguarding
the majority of remaining service users from harm being the priority even where
that means prosecutions for breaches of Regulation may be compromised.
South West Yorkshire Partnership NHS Foundation Trust
(18) The advice from SALT was not an issue in this case, it was the application of
this advice which was the primary concern. I would like to commend the
approach that the Trust have taken in learning from the issues which I raised at
the conclusion of the proceedings and the openness with which the Trust have
received the concerns I had. The guidance sheets which have been produced
are still not clear enough and will lead to confusion including around the
consistency description and a list of foods which can be modified or should be
avoided. This needs to be reviewed to avoid confusion.
6
ACTION SHOULD BE TAKEN
In my opinion action should be taken to prevent future deaths and I believe your
organisation have the power to take such action. I would ask that your responses
specifically consider the following:-
Stars Social Support Limited
1. Stars Social Support Limited should reconsider its use of technology in support
service users including the use of software applications for the storing and
creation of records.
2. Stars Social Support Limited should review its use of its own website for the
updating and storing of policies.
3. Stars Social Support Limited should urgently put in place processes for the
development of training and mentoring in relation to the culture of the
organisation to encourage openness, transparency and the duty of candour
which is a fundamental part of care delivery.
4. Stars Social Support Limited should review its processes around the displaying
of critical advice around service users’ homes
5. Stars Social Support Limited should give consideration to the use of a single
member of a service user care team to act as the lead for ensuring the plans in
the service users home are up to date and maintained appropriately
6. Stars Social Support Limited should urgently ensure that it has adequate
policies and procedures in place which ensure the safety of all of its service
users. The Induction Booklet alone is not sufficient to achieve this aim.
7. Stars Social Support Limited should consider a pledge and commitment to work
collaboratively and co-operatively with the Care Quality Commission and other
statutory partners to ensure high quality and safe care can be provided to
service users.
5
Care Quality Commission
8. Care Quality Commission should urgently review the report related to this
provider from October 2020 and correct any errors or misleading statements
within it.
9. Care Quality Commission should review its processes where their regulatory
functions collide with criminal investigations to ensure that timely regulatory
oversight and action is taken notwithstanding police, HSE or indeed CQC
prosecution activity.
10. Care Quality Commission should review the presentation of its reporting to
ensure that where statements such as 'we found no evidence of harm to service
users' are placed in the context of the inspection. For example, statements
should be read as 'This service has 90 service users. We inspected 9 records
as part of our inspection, and we validated these records against the care
provided to those service users. We checked the records held by the Head
Officer and did not confirm that these were replicated in the service users home
address. Of those records we did not find any evidence which would support
breaches of Regulations relating to the delivery of safe care'. The organisational
context of an inspection is as important as the individual outcomes found on the
day of the inspection; indeed, it is the context which sets the inspection
intervals.
11. Care Quality Commission should review the way in which it treats evidence
which relates to inspection standards and breaches of Regulations (including
criminal offences) where that evidence relates to the same actions.
South West Yorkshire Partnership NHS Foundation Trust
12. The Trust is invited to consider the guidance leaflet in the context of the
statement provided to me for the hearing on 9 April 2021. This includes
separation of the columns related to foods to avoid and those which can be
manipulated; correction of the images which appear to endorse foods which
ought not to be endorsed and clarity around the consistency of the diet not to sit
alongside potentially confusing statements such as fork mashable meaning
something which can be picked up with chopsticks.
7
YOUR RESPONSE
You are under a duty to respond to this report within 56 days of the date of this report,
namely by 7 June 2021. I, the coroner, may extend the period.
Your response must contain details of action taken or proposed to be taken, setting out
the timetable for action. Otherwise, you must explain why no action is proposed.
8
COPIES and PUBLICATION
I have sent a copy of my report to the Chief Coroner and to the following Interested
Persons, Tony's family; Stars Social Support Limited;
Commission; Barnsley Metropolitan Borough Council; South West Yorkshire Partnership
NHS Foundation Trust
; Care Quality
I am also under a duty to send a copy of your response to the Chief Coroner and all
interested persons who in my opinion should receive it.
I may also send a copy of your response to any other person who I believe may find it
useful or of interest.
6
The Chief Coroner may publish either or both in a complete or redacted or summary
form. He may send a copy of this report to any person who he believes may find it useful
or of interest.
You may make representations to me, the coroner, at the time of your response, about
the release or the publication of your response.
9
13th April 2021
Abigail Combes
HM Assistant Coroner
7
3 responses published against this report on judiciary.uk. A response is a body's written reply to the coroner's concerns; publication is at the discretion of the Chief Coroner's office, so an absent response does not mean nobody replied.
HSCA Further Information Citygate Gallowgate Newcastle upon Tyne NE1 4PA The Medico-Legal Centre Watery Street Sheffield South Yorkshire $3 7ES 1 June 2021 Care Quality Commissi Dear HM Assistant Coroner Abigail Combes Prevention of future death report following inquest into the death of Anthony Wilkinson Thank you for sending CQC a copy of the prevention of future death report issued following the death of Anthony Wilkinson. CQC has contacted the provider Stars Social Support Limited (“Stars Social Support’) to request written confirmation and evidence of the action they have taken to date following this death and any additional action they intend to take in response to the prevention of future death report. CQC has reviewed all the concerns contained in the Regulation 28 report, as well as the subsequent suggested actions contained in Section 6. We will respond to each point addressed to CQC in order, as set out in the Regulation 28 report. Section 5, Point 13 - CQC did not take steps to access records held by the Police or the provider in a timely fashion following Tony’s death. This potentially created risk to other service users as the Regulator had not inspected the service promptly following a significant event. CQC has reviewed a chronology of steps taken by the local inspection team to access records held by the Police or the provider to consider the timeliness of the actions taken. The team requested Anthony Wilkinson’s care records from the provider less than a week after being notified of his death on 5 April 2018. At this time the police were carrying out a criminal investigation following the incident and held primacy of the investigation. In line with The Work Related Deaths Protocol CQC made contact with the Police on 3 May 2018. The Police had seized original records from Stars Social Support as part of their investigation. CQC progressed 1 their parallel investigation as much as they reasonably could, however access to records was limited in the beginning of our initial enquiries due to the police seizing these, however CQC were in regular contact with the Police to ensure we adopted a cooperative and coordinated approach. CQC received copies of all records held by the Police on 29 November 2018 at the conclusion of their investigation. CQC has reviewed whether, as a result of Anthony Wilkinson’s death, Stars Social Support should have been inspected sooner than the comprehensive inspection which was completed on 29 and 30 May 2018. This inspection did not lead to a rating or a report being published as at that time, the Police had seized Stars Social Support’s computer servers as part of their investigation, which in turn, impacted on the availability of key records necessary to make a fair and complete assessment about the service against all of CQC’s key line of enquiries (KLOE’s). We have concluded from our review that the inspection of 29 and 30 May was completed promptly, based on the information and risks we were aware of at that time. The local inspection team followed internal guidance responding to specific incidents, assessed the level of risk of harm this incident posed to others at the service, in conjunction with known CQC intelligence, the service’s regulatory history, as well as taking into account any relevant stakeholder feedback or actions to mitigate potential wider risk at the service. CQC were aware Barnsley Local Authority's safeguarding team had visited Stars Social Support in April 2018 shortly after Anthony Wilkinson's death and implemented a voluntary embargo on admissions. Following receipt of the specific incident the local inspection team assessed the level of risk at the service did not necessitate urgent regulatory action or an inspection. CQC’s inspection findings on 29 and 30 May 2018, and again on 12 and 13 February 2019, confirmed that our assessment of risk was accurate as at that time no serious/urgent concerns were identified. Although the inspection on 29 and 30 May 2018 did not lead to a rating or report, the information gathered from our visit to Stars Social Support’s office and a selection of service user's homes, assured CQC that people were receiving a safe service at that time. Therefore, the overall risk level of the service could be de-escalated. Section 5, Point 14 —- CQC too readily accepted the lack of an action plan from the provider and did not use this lack of engagement from the provider to increase the risk profile for this provider. Had they done so an earlier re- inspection may have been triggered for further regulatory action. This failure may have exposed other service users to unnecessary risk of harm as a result of inaccurate picture being provided by the CQC. We understand point 14 refers to the re-inspection of Stars Social Support following the February 2019 inspection, where the local team identified two breaches of regulations. Civil enforcement action was taken; a Warning Notice was served against the breach of regulation 17; and a Requirement Notice was serviced against the breach of regulation 19. As a Warning Notice was served, we did not request an action plan in line with CQC Enforcement Policy. We did, however, request an action plan be submitted to CQC by 29 May 2019 for the breach of regulation 19. This breach concerned a failure to complete all staff recruitment checks in line with regulatory requirements and was assessed as posing no serious risk to people who used the service. CQC acknowledged at the Prevention of Future Deaths hearing that the re- inspection of Stars Social Support (completed on 27 August 2020 to 3 September 2020) fell outside of our usual timeframe of re-inspecting a service, rated requires improvement, 12 months from the last inspection publication date. However at that time, the decision not to inspect the service sooner we feel was justified and proportionate. COVID-19 resulted in CQC adapting its inspection priorities during the pandemic to ensure risk and people’s safety were the highest priority. A decision was taken by the CQC that during the pandemic, CQC would take on a more supportive role, as well as not adding to the overall risk and pressures COVID-19 presented to the rest of the health and social care sector. As at May 2020, there needed to be an “extreme” level of risk for CQC to cross the threshold for inspection. This ensured during the pandemic, that CQC continued to carry out their regulatory function when there was extreme risk at a service. This was determined on a case by case basis. CQC'’s inspection priorities remained under continuous review in line with national priorities, but our monitoring of Stars Social Support as well as their failure to provide a completed action plan in relation to the breach of regulation 19, was not assessed as an ‘extreme’ risk in all of the circumstances. CQC monitored all ASC care providers throughout the pandemic and has implemented several systems to support remote monitoring of services. A decision was taken not to inspect the service at this time and the team considered the providers failure to submit an action plan when reaching this determination. Section 5, Point 15 — CQC did not take into consideration relevant factors when risk assessing this care provider at the start of the pandemic leading to an inappropriate risk profile being established and an exaggerated level of confidence being placed in the provider to provide safe services to residents without appropriate monitoring and oversight from the Regulator. Following receipt of the Regulation 28 report, CQC has reviewed assessments and monitoring decisions made about the service. At the beginning of the pandemic CQC monitoring consisted of reviews to intelligence we held about a service, reviewing received statutory notifications or provider requested information in surveys. We also reviewed information or concerns received from stakeholders or the general public. As mentioned in our response under Point 14, our monitoring of Stars Social Support did not suggest urgent or emergent risk, which would necessitate a different regulatory approach, such as inspecting sooner, or enhanced monitoring. CQC’s approach to monitoring services at the beginning of the pandemic in lieu of changes to routine inspections was reviewed in December 2020 and CQC implemented a monitoring system to improve the approach that had been taken up until that date. This system analyses intelligence we hold about services and generates a prioritisation score to support operational colleagues to prioritise services most at risk. This system is used in conjunction with more ‘traditional’ monitoring activities described in the first paragraph of Point 15. This system continues to inform our regulatory approach to Stars Social Support. In relation to observations that CQC had an exaggerated level of confidence in the provider to provide safe services to residents without appropriate monitoring or oversight. CQC did monitor the service during the pandemic. After the 12 and 13 February 2019 inspection, a management review meeting took place to assess the seriousness of the breaches identified, risks to people, as well as the provider's capabilities to improve the service. This management review meeting concluded that it was appropriate and proportionate to give the Stars Social Support the opportunity to address concerns identified at inspection. The assessment was evidence based, robust and balanced. Assessing a care provider's capability to improve or operate a service safely is a key factor in all CQC’s decision-making where a breach of regulation is identified. Where appropriate, if the provider can improve the service on their own and the risks to people who use services are not immediate, we will generally work with them to improve standards rather than taking enforcement action. We will intervene if there is evidence that people may be exposed to the risk of harm, there is serious risk to a person’s life, health or wellbeing, or providers are repeatedly or seriously failing to comply with their legal obligations. Section 5, Point 16 — The report from the August 2020 inspection was inaccurate and misleading and may have caused service users to be added to his service where that ought not to be the case. The report published in October 2020 refers to their being no evidence of harm however there is a woeful lack of detail about the context of this within the report. CQC should review this particular report for this provider and also reconsider the way in which reports are written to ensure that they are no misleading and therefore dangerous. This includes either omitting from the report any comment about harm where there is clearly a context and evidence of harm to service users previously, which is open and live, but which does not form part of the inspection or very clear confirmation in the report that there has been evidence of harm which not form part of the specific inspection report. Stars Social Support has been under voluntary admissions embargo since April 2018 and remains under embargo. Therefore, there is no risk this report may have caused service users to be placed at the service. We have reviewed all Stars Social Support inspection reports since April 2018 to present and found the information contained in CQC reports is accurate and adheres to CQC guidance available at the time the reports were written. In January 2019 after a period of consultation, the style of CQC reports were reviewed to become shorter, clearer and easier to understand. The comment in the report that there was no evidence of harm refers to the period of time since we last inspected the service (in February 2019) to the inspection date (referenced in the August 2020 report), and in that period we found no evidence of harm. It is recognised that it doesn’t detail the service’s entire history and does not detail that a service user had died. However, as the criminal investigation was ongoing at that time, this inspection did not examine the circumstances of this incident. Had the report examined the circumstances of the incident it may have prejudiced future proceedings or caused unfair reputational harm towards the care provider. The February 2019 inspection report referenced the specific incident and stated in the summary section, ‘The inspection was prompted in part by notification of an incident following which a person using the service died. This incident is subject to a criminal investigation and as a result this inspection did not examine the circumstances of the incident.’ At that time CQC guidance in relation to report writing, did not require CQC inspection reports to reference the specific incident in future reports, only in the report where the incident prompted the inspection. This remains CQC’s guidance on reporting on specific incidents. This regulation 28 report will be referred to the CQC policy team to consider whether the guidance needs to be reviewed. Section 5, Point 17 - Where CQC are required to decide whether evidence ought to be used for the basis of an inspection or regulatory action, they ought to ensure there is a consistent approach to this including consideration of policies and standard operating procedures. This should be approached on the basis of safeguarding the majority of remaining service users from harm being the priority even where that means prosecutions for breaches of regulations may be compromised. CQC’'s main objective in performing its functions is to protect and promote the health, safety and welfare of people who use health and social care services. When CQC are made aware of concerns at a service, the priority will be to ensure that current service users are safe, and then consideration will be given to whether a prosecutable offence has occurred. The inspection report details the current findings at a service, specifically whether a provider is meeting the regulatory requirements required to be a registered provider. Civil enforcement, (for example removing a location or cancelling a provider's registration) will be taken if there is evidence that people may be exposed to the risk of harm or there is serious risk to a person’s life, health or wellbeing. Criminal enforcement action will be considered in relation to the specific incident, namely whether there was a registered person failure to provide safe care and treatment which resulted in avoidable harm to a service user or a service user being exposed to a significant risk of such harm occurring. In the matter of Anthony Wilkinson and Stars Social Support, there was no observed difficulties deciding whether evidence ought to be used for the basis of an inspection or regulatory action. CQC methodology is clear that these processes should be conducted separately. There had been no observed delays inspecting Stars Social Support after the specific incident, to ensure people who used the service were safeguarded from unsafe care through CQC’s regulatory model. Whilst evidence from the specific incident was not directly used to inform inspection judgements, it was still used to help us plan inspections in a manner that focussed on known risks or potential areas of concern, to robustly assure ourselves that similar incidents, would not be repeated. Section 6, Point 8 — Care Quality Commission should urgently review the report related to this provider from October 2020 and correct any errors or misleading statements within it. CQC has reviewed the report (publication date 29 October 2020) in respect of the inspection completed on 27 August 2020 and 3 September 2020. The report was accurate at the time of publication and followed the house reporting style. Although it did not detail the specific incident in relation to Anthony Wilkinson, it had been referenced in the previous inspection report. It would not be appropriate to make changes to the October 2020 report retrospectively because it remains CQC’'s guidance to not report on specific incidents, unless the specific incident prompted the inspection, which in this inspection it did not. This regulation 28 report has been referred to CQC’s policy team to consider the guidance in relation to report writing. Section 6, Point 9 — Care Quality Commission should review its processes where their regulatory functions collide with criminal investigations to ensure that timely regulatory oversight and action is taken notwithstanding, HSE or indeed CQC prosecution activity. When CQC are made aware of incident such as the circumstances of the death of Anthony Wilkinson, the CQC applies Specific Incidents Guidance. The initial assessment is framed around two questions and will generate two separate workstreams, and those workstreams can run concurrently. The first question (Q1) in Specific Incidents Guidance for inspectors generally serves the first purpose of CQC Enforcement Policy to protect service users from harm and the risk of harm, and to ensure they receive health and social care services of an appropriate standard. The actions generated will be the priority. The workstream could be to carry out an inspection where appropriate to consider ongoing risk in answer to Question 1. In the matter of Stars Social Support, the assessment of Q1 precipitated an action to inspect the service in May 2018, shortly after Anthony Wilkinson’s death. Provider assurances and Stakeholder actions taken or planned at that time fed into CQC’s assessment of Q1. The second question (Q2) in Specific Incidents Guidance for inspectors determines whether to progress to formal criminal investigation of the historic specific incident of avoidable harm under Reg 22(2), Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. The second active work stream may, in answering Question 2, be to carry out a formal criminal investigation to investigate historical non-compliance relevant to that historic specific incident. In the matter of Anthony Wilkinson, a criminal investigation was completed, and the outcome was no further action. Section 6, Point 10 — Care Quality Commission should review the presentation of its report to ensure that where statements such as ‘we found no evidence of harm to service users’ are placed in the context of the inspection. For example, statements should be read as ‘This service has 90 service users. We inspected 9 records as part of our inspection, and we validated these records against the care provided to those service users. We checked the records held by the Head Office and did not confirm that these were replicated in the service users home address. Of those records we did not find any evidence which would support breaches of Regulations relating to the delivery of safe care’. The organisational context of an inspection is as important as the individual outcomes found on the day of inspection; indeed, it is the context which sets the inspection intervals. We have addressed some of your comments in our earlier response (Section 5, Point 16). As stated in our earlier response we have reviewed the report in question, and we are satisfied that the content is accurate and complies with CQC's house style. Historically CQC did have lengthier reports, which similarly conveyed the level of detail as explained in your example. However, following a lengthy review/ consultation period with commissioners/providers/and the general public, about what information we should include in CQC reports, it highlighted a need to change our house style. The results of this review showed some reports were inconsistent in content from service to service, were difficult to understand, and did not effectively support people or commissioners to make an informed choice about care services. Another common theme was that many people who accessed our reports on our website did not read the inspection reports beyond the first page. The shorter report guidance was implemented in January 2019 to address comments from our main audience, commissioners and the general public. In the guidance it directs inspectors to write ‘judgment statements’ instead of providing detail about context to support this statement, which is not always necessary or appropriate. The shorter report format includes important contextual information about the service in the summary and background sections. For example, it includes details like when we last inspected, records we looked at, the number of people we spoke to, previous ratings and (publishable) enforcement actions. This Regulation 28 report has been referred to CQC’s policy team to review this further. Section 6, Point 11 — Care Quality Commission should review the way in which it treats evidence which relates to inspection standards and breaches of Regulations (including criminal offences) where that evidence relates to the same actions. Evidence gathered during the course of an inspection will feed into inspection reports and where relevant civil enforcement action. The information may lead CQC to carry out a criminal investigation, but the evidence gathered during a criminal investigation will not be detailed in an inspection report. A report must provide an accurate reflection of what is happening at a service, but that does not require the report to detail the criminal investigation. As your comment concerns CQC policy around how we treat evidence, the relevant team in the Commission will review this further. Thank you for your assistance bringing certain concerns and actions to CQC’s attention. CQC will continue to monitor, inspect and regulate Stars Social Support in a manner which places service user safety at the forefront of what we do. Yours sincerely \\ael Head of Inspection
INHS) South West Yorkshire Partnership NHS Foundation Trust 8.6.2021 Director of Nursing & Quality & Deputy CEO Trust Headquarters Fieldhead Wakefield WF1 3SP Regulation 28 Report Response — Anthony Wilkinson — Inquest Concluded 26 March 2021 Dear Ma’am, In response to the Regulation 28 the Trust wish to respond with the following information. 1. The guidance sheets which have been produced are still not clear enough and will lead to confusion including around the consistency description and a list of foods which can be modified or should be avoided. As you will be aware ne Speech and Language Therapist Lead for Learning Disability Services gave evidence in respect of the Level 6 food consistency advice sheets provided by the Learning Disability Soeech and Language Therapy (SALT) Service. As part of both her written and oral evidence, HE agreed that these advice sheets could, subject to review via the appropriate governance procedures, be updated to address the concerns you raised during the course of the inquest proceedings. On 18! May 2021, | with other Learning Disability Speech and Language Therapists, met and reviewed the services level 6 food consistency advice sheets in their Dysphagia Speech and Language Therapy Learning Disability meeting. As a result of this review, the advice sheets were amended in response to your concerns as follows: 1. Removal of the picture anomalies, such as the removal of the image depicting cut up melon, which was in-fact a food to be ‘avoided’. 2. Amendment of statements and wording to remove potential ambiguity. For example: e Old wording: With all of us in mind. UNIVERSITY OF LEEDS Associated teaching trust status oc 2008 = To protect the environment and save money this letter is printed on recycled and unbleached paper. NHS South West Yorkshire Partnership NHS Foundation Trust o “These foods can be especially hard to chew or swallow so need to be avoided or specially prepared so that they meet the consistency description.” e New wording: o “These foods are considered high risk for people with chewing and swallowing difficulties. o Forsafety, AVOID these food textures that pose a choking risk for people on a soft and bite sized consistency o Some foods can be modified to meet the consistency recommendation. o Any food that cannot be suitably modified MUST BE AVOIDED.” 3. Amendment of the ‘high risk’ food information list to contain two distinct columns: e Column 1: ‘Food types and examples of food to AVOID’; contains food types and examples of foods that must be avoided, e Column 2: ‘Modified Options’; this is left blank in order to enable a personalised and person-centred approach to identify foods that can be modified for the service user. | have enclosed a copy of the Learning Disability SALT Services updated level 6 food consistency advice sheet to this letter. | can confirm this sheet was implemented within the service on 2™ June 2021. The Trust remains committed to learning from incidents and we will continue to apply a quality improvement approach to ensure required changes are embedded within our clinical services. | do hope the above information is of assistance and answers the concerns raised within your Regulation 28 report following the sad death of Anthony Wilkinson. Yours faithfully, 4, / f I 4 Director of Nursing & Quality / Deputy CEO South West Yorkshire Partnership NHS Foundation Trust Speech and NHS} South West la ng uage thera py Yorkshire Partnership NHS Foundation Trust Swallowing advice: Soft and Bite Sized Why do I need soft and bite sized food? e You have some difficulty chewing and swallowing food. e You are not able to ‘bite off’ pieces of food safely but are able to chew bite-sized pieces down into little pieces that are safe to swallow. e You are at risk of choking | | Vv Food is soft, tender and moist throughout. Y_ Chewing is required before swallowing. Easy to chew sid | Food can be eaten with a fork or spoon. | 3w | Food can be mashed or broken down easily by pressing with a fork or spoon. Easy to break up with a fork | er —<— | Sometimes needs a sauce Y Thick sauces may be required. Bite-sized for adults | 1.5cm ae / Bite sized | 3% No separate liquid. | 9 No hard pieces of food. No high risk food. | Food should be bite sized and no bigger than 1.5cm x 1.5cm (about the size of a thumb nail). With alll of us in mind. Based on IDDSI Framework reviewed May 2021. For further information please contact speech and language therapy. v Pressure from a spoon/fork held on its Y Food does not return to its original side can be used to ‘cut’ or break the shape when the spoon/fork is food into small pieces. removed. When a piece 1.5cm x 1.5cm is pressed with a fork gently, it squashes. This YouTube link demonstrates the fork pressure test: https:/Awww.voutube.com/ watch?v=1wfODug5BmQ Examples of soft and bite sized prepared meals. Based on IDDSI Framework reviewed May 2021. For further information please contact speech and language therapy. Meat and Poultry Y Cooked tender meat no bigger than 1.5cm x 1.5cm. v Remove all skin, bones and gristle. v If texture cannot be served soft and tender, serve minced and ina thick cohesive sauce. v Casserole/curry liquid should be thick (as per Speech and Language therapist's recommendations around fluid). Fish Y_ Remove skin and bones. Y Cooked, soft fish, broken into pieces no larger than 1.5cm x 1.5cm. % Avoid hard/crispy batter. Vegetables, Potatoes Y Steamed or boiled vegetables with a final cooked size of 1.5cm x 1.5cm. Y Vegetables should be well cooked until soft. % = Avoid stir fried vegetables. % Avoid stringy vegetables e.g. runner beans, asparagus, kale. Fruit Y Drain excess juice. Remove pips, fibrous parts and skin. v Pieces should be soft and no bigger than 1.5cm x 1.5cm. | ¥_ Please refer to high risk food list Cereal Y_ Should be smooth and fully softened. v_ Add enough milk to avoid a sticky consistency. v_ Drain excess fluid before serving. % Avoid cereals that contain dried fruit and nuts/flaked nuts. | 4 Rice gt ® v_ Needs a thick sauce to moisten and hold the rice together. ¥_ Drain or thicken any excess fluid before serving. % Not sticky or glutinous. % Does not separate into individual grains when cooked and served. Bread 3% No sandwiches or bread product of any kind, including pizza, wraps, pitta, crumpets etc, 3% No bread unless assessed as suitable by a speech and language therapist. Based on IDDSI Framework reviewed May 2021. For further information please contact speech and language therapy. HIGH RISK FOODS These foods are considered high risk for people with chewing and swallowing difficulties. For safety, AVOID these food textures that pose a choking risk for people on a soft and bite sized consistency. Some foods can be modified to meet the consistency recommendation. e Any food that can not be suitably modified MUST BE AVOIDED. Food types and examples of food to AVOID fas Dry foods > 4 Crackers, cake, bread... Modified options Crumbly Foods > 4 Biscuits, pie crust, crumbly dry cakes... Hard foods % Boiled sweets, nuts... Tough or chewy foods x Steak, bacon, harder vegetables, sweets, cheese... Crispy or crunchy foods x Crisps, flaky pastry, raw carrot/ apple, popcorn... Stringy or fibrous foods % Pineapple, celery, green beans, rhubarb... Based on IDDSI Framework reviewed May 2021. For further information please contact speech and language therapy. Pips, seeds, pith/inside skins, outer shells % Peas, grapes, fruit skins or husks like sweetcorn... Round or long shaped foods % Sausages, grapes, sweets. Hard chunks, like pieces of apple... Juicy food where the juice separates off in the mouth % Melon... Floppy foods % Lettuce, thinly sliced cucumber, spinach... Sticky foods 3% Some cheese, marshmallows, over cooked porridge... Mixing solid food with liquid % Hard cereal, fruit salad with juice and soups with food pieces... If you have any concerns regarding your diet or you need to follow a special diet due to a medical condition, please speak to your GP who may refer you to a dietitian. Based on IDDSI Framework reviewed May 2021. For further information please contact speech and language therapy. Meal suggestions Breakfast e Ready Brek e Weetabix (ensure it is well soaked in milk but with no excess fluid) e = Thick yoghurt e Stewed fruit or banana and yoghurt e Scrambled egg/ soft boiled egg/ poached egg Smoked haddock with plenty of butter. Main meals Pasta with cheese or tomato sauce, for example macaroni, ravioli or Bolognese e Well-cooked vegetable/ mince curry with plenty of sauce e Shepherd's pie/ cottage pie e Poached fish in lots of sauce e¢ Well cooked broccoli or cauliflower with cheese sauce e = Chilli and rice with a thick smooth sauce e Thick soups (add potato to thicken to correct consistency) e¢ Corned beef hash e Fish pie (mashed potato on top) — remove all bones and no sweetcorn or peas e Stew/casserole: all types of cooked meat and poultry (chicken, turkey, beef, corned beef, lamb, liver, pork) which have been slow cooked and are very tender and served with thick gravy or a savoury sauce. Vegetables _ e Mashed potatoes (add cheese, butter, cream, gravy, cream cheese or soft cheese) e Soft boiled potatoes (without the skin) e Jacket potatoes (without the skin) e Well-cooked / soft vegetable, for example carrots, swede, butternut squash, broccoli, parsnips, cauliflower ¢ Broccoli or cauliflower cheese e¢ Soft avocado. Fruit / desserts Stewed fruit (no skins) Soft, ripe fruits, for example banana, peach, mango, berries (no skins) Cake and custard Créme caramel Blancmange Angel delight Mousse Custard Thick and creamy yoghurts, fromage frais Ice cream and jelly (not suitable for people who need thickened fluids). Snacks Smooth paté that is not sticky or dry Tinned spaghetti Egg mayonnaise Tinned tuna or salmon (mash with salad cream, mayonnaise or cheese sauce) Hummus Avocado. These are examples of meals but not exclusive options for this diet. Based on IDDSI Framework reviewed May 2021. For further information please contact speech and language therapy.
RESPONSE OF STARS SOCIAL SUPPORT LIMITED
A decision has been taken by the Registered Manager and Director of Stars Social
Support Limited for the organisation to cease to continue. The Registered Manager
and Director at Stars Social Support Limited has contacted the Local Authority and
the Care Quality Commission to notify them that Stars Social Support Limited will
cease to continue.
The Registered Manager and Director at Stars Social Support Limited is now liaising
with the Local Authority and the Care Quality Commission to ensure provisions are
put in place for the transfer of the existing service users.
In view of the above decision, a detailed response in relation to the corrective actions
indicated in the above report is not be provided.
ee
Registered Manager and Director of Stars Social Support Limited
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Date of Response BIN
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