PFD report

Adam James Withers · Prevention of Future Deaths report

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Issued 15 Feb 2016•Surrey

Report record

Published report and response evidence

This page connects the concerns raised in this report with statements found in recipients’ published responses. A link shows a clear evidence connection; it does not assign responsibility.

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Concerns
4

Raised in this report

Recipients
3

Named on the report

Responses found
4

Of 3 recipients

Stated actions
14

Described in responses

Source document

Full report text

This is the full text from the original published report.

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Concerns and recipient responses

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Report evidence summary

Concerns raised4

  1. Failure to identify retrospective patient-record entries
    Part of recurring concern: Unreliable traceability of retrospective amendments to safety records
  2. Lack of clear guidance on preserving original records after a patient’s death
    Part of recurring concern: Failure to retain safety-critical source records and evidence
  3. Insufficient recording of psychiatric patient observations and interactions
    Part of recurring concern: Incomplete, inaccurate or unavailable clinical and care recordsPart of recurring concern: Unreliable recording of required observations in care and custody
Responses linked to these concerns

Each statement is shown once, even when linked to more than one concern.

Actions described in response An action is something a recipient says it has done, is doing, or plans to do in response to a concern raised.7

  1. Action

    Share revised National Quality Board staffing guidance with providers.

    Stated by Care Quality Commission and NHS EnglandStated plannedThe respondent said that this action was planned when they made their response on 15 February 2016.
  2. Action

    Introduce and use a care-hours-per-patient-day metric to assess trusts’ management of staffing resources.

    Stated by Care Quality Commission and NHS EnglandStated plannedThe respondent said that this action was planned when they made their response on 15 February 2016.
  3. Action

    Add clear guidance on retaining original paper records after a potentially reportable death to the revised NHS Records Management Code before publication.

    Stated by Department of Health and Social CareStated plannedThe respondent said that this action was planned when they made their response on 15 February 2016.

Respondent positions A position is what a recipient says about a concern when it does not describe a specific action.2

  1. Position

    Minimum staffing numbers or ratios would not guarantee safety because evidence is lacking and they would ignore local circumstances, skill mix and case mix.

    Stated by Department of Health and Social CareDisputes the concernThe respondent disagreed with part of the concern or the basis for it.

Source evidence

How this individual concern was interpreted

PFD Monitor created a concise, searchable interpretation from the report wording shown below. Response links show a clear evidence connection; they do not assign responsibility.

PFD Monitor interpretation

Failure to identify retrospective patient-record entries

Wider context from the report

“It was clear from the evidence that any note made in a patient’s record should be made contemporaneously or, if made later, should be timed, dated and labelled as retrospective. This is necessary to ensure that all notes are accurate and reliable. The evidence at the inquest revealed that at least one member of nursing staff made entries on Adam Withers’ manuscript observation record after he had died, without marking the entries as retrospective. When giving evidence, the member of staff in question did not appear to understand that he ought not to have done so. If permitted to continue, this practice could result in current and future patients’ notes containing inaccurate and unreliable, and potentially misleading, information and this could have an adverse impact on their assessment, treatment and care and upon the protection of their lives. ”

Is this part of a recurring concern?

Yes — Unreliable traceability of retrospective amendments to safety records.

Open source report

Source evidence

How this individual concern was interpreted

PFD Monitor created a concise, searchable interpretation from the report wording shown below. Response links show a clear evidence connection; they do not assign responsibility.

PFD Monitor interpretation

Lack of clear guidance on preserving original records after a patient’s death

Wider context from the report

“At the inquest an issue arose as to when the manuscript observation record for Adam Withers for the 9th May 2014 was completed and I asked to see the original document. I was provided with a witness statement from the Trust’s Medical Records Manager indicating that, after Adam Withers’ death, the original record had been scanned in to his electronic records and then destroyed. The Trust considers that this is permitted by the NHS Code of Practice on Record Management. It is not clear to me whether that is a correct analysis of the Code or not. No clear guidance appears to exist. Whilst I understand that paper records may now routinely be scanned in to a patient’s electronic record and then destroyed, my concern relates to that taking place after a patient has died and it is apparent that the death must be reported to the police and/or coroner. The destruction of any original document which is still in existence at the time of death could undermine the efficacy of the police investigation and/or the coroner’s investigation. In turn, this could adversely affect the coroner’s ability to establish the facts of how the deceased person came by his death and to report concerns for the prevention of future deaths. ”

Is this part of a recurring concern?

Yes — Failure to retain safety-critical source records and evidence.

Open source report

Source evidence

How this individual concern was interpreted

PFD Monitor created a concise, searchable interpretation from the report wording shown below. Response links show a clear evidence connection; they do not assign responsibility.

PFD Monitor interpretation

Insufficient recording of psychiatric patient observations and interactions

Wider context from the report

“It was apparent from the evidence that periodic observations of psychiatric patients are conducted not only to check that each is present, but also in order to observe and assess their current state of mind and presentation, by means of a meaningful interaction, if possible. The importance of nursing staff (Registered Nurses and Health Care Assistants) making a sufficient written record of these observations was acknowledged. Regular notes of a patient’s condition are important for the purposes of diagnosis and they provide the information which is needed for a reliable assessment of the patient’s progress and current level of risk of harm or death. It was accepted in evidence that this is especially so in relation to any patient whose condition fluctuates. It was clear from the evidence that the nursing staff involved in Adam Withers’ care failed to record sufficiently his presentation and their interactions with him. For example, on the day of his death Adam Withers was subject to four observations per hour but no entries were made on his RIO notes or elsewhere about his state of mind or presentation at these observation points and no record was made about the conversation a nurse conducted with him that afternoon. Some of the nursing staff who gave evidence appeared to have little understanding of the need to make such written records and/or their importance. If permitted to continue, the insufficient recording of observations and events could have an adverse impact on the assessment, treatment and care of current and future patients and upon the protection of their lives. ”

Is this part of a recurring concern?

Yes — Incomplete, inaccurate or unavailable clinical and care records; Unreliable recording of required observations in care and custody.

Open source report

Source evidence

How this individual concern was interpreted

PFD Monitor created a concise, searchable interpretation from the report wording shown below. Response links show a clear evidence connection; they do not assign responsibility.

PFD Monitor interpretation

Lack of prescribed safe nursing staffing levels for acute psychiatric wards

Wider context from the report

“At the inquest the number of nursing staff (Registered Nurses and Health Care Assistants) on duty on Elgar Ward was considered. It was apparent from the evidence that the nursing staff levels could result in patients on the ward being insufficiently supervised at meal times and staff stated in evidence that they did not always have time to read patients’ notes as they should. Further, Elgar Ward is an acute psychiatric ward with both detained and voluntary patients. It is foreseeable that reactive and unplanned interventions will be required at times and that the level of observation needed by each patient will fluctuate. The staffing levels on Elgar Ward were deemed sufficient for only a fixed number of patients to be subject to increased observation levels, and only one patient to be under constant observation, at any one time. I was informed that if more patients required increased or constant observation, additional staff would be needed but may not be readily available. I have been told by the Trust that no nationally prescribed safe staffing levels are in place for an acute psychiatric ward (whether based on patient to staff ratios or otherwise) and that the Trust considers its staffing levels to be in accordance with such guidelines as do exist. The Mental Health Taskforce’s recently published report entitled “The Five Year Forward View For Mental Health” does not appear to address this issue. It does seem that the absence of prescribed safe nursing staff levels for acute psychiatric wards could leave such wards unable to provide, throughout each shift, the level of patient supervision, observation and intervention needed. This could adversely affect the staff’s ability to protect their patients’ lives. ”

Is this part of a recurring concern?

Yes — Insufficient qualified healthcare staffing capacity.

Open source report

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Share revised National Quality Board staffing guidance with providers.

Verbatim wording from the response

“So, we will jointly design the approach the CQC will use to assess trusts’ use of resources. We are also looking at how the CQC can use the financial data NHS Improvement holds and use the expertise of NHS Improvement staff in reaching its judgements on use of resources. Similarly, as NHS Improvement develops its view of the role of quality in the new, single, provider regulatory framework, we will do this jointly with the CQC and NHS England. We will also be sharing revised National Quality Board staffing guidance and a new metric looking at care hours per patient day that we will both use in looking at how trusts manage staffing resources.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Introduce and use a care-hours-per-patient-day metric to assess trusts’ management of staffing resources.

Verbatim wording from the response

“So, we will jointly design the approach the CQC will use to assess trusts’ use of resources. We are also looking at how the CQC can use the financial data NHS Improvement holds and use the expertise of NHS Improvement staff in reaching its judgements on use of resources. Similarly, as NHS Improvement develops its view of the role of quality in the new, single, provider regulatory framework, we will do this jointly with the CQC and NHS England. We will also be sharing revised National Quality Board staffing guidance and a new metric looking at care hours per patient day that we will both use in looking at how trusts manage staffing resources.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Add clear guidance on retaining original paper records after a potentially reportable death to the revised NHS Records Management Code before publication.

Verbatim wording from the response

“The NHS Records Management Code of Practice is currently under review and a revised Code is due to be published when the review is complete. Clear guidance on the point you raise will be added to the revised Code before publication.”

Source location

2016-0059-Response-by-Department-of-Health
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Review the Records Management Policy and establish standards for factual, accurate, evidence-based and timely record keeping.

Verbatim wording from the response

“We have since reviewed our Records Management Policy which has a section outlining the ‘Standards for Record Keeping’. Under these standards there is clear expectation that:”

Source location

Adam-WITHERS-Response
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Use electronic patient records in Acute Services to provide an auditable record-entry time trail.

Verbatim wording from the response

“In an emergency where staff are unable to record the times we would expect them to highlight that the record/entry is retrospective, but should still follow a chronological format of proceedings. Our use of the electronic patient record system in our Acute Services now removes any doubt about record entry time as every entry now leaves a clear audit trail which can be reviewed as required. Quality is further maintained when we share learning from our record keeping audits which we undertake as part of our clinical audit program.”

Source location

Adam-WITHERS-Response
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Revise the Observation Policy to require comprehensive risk assessments and documented observation decisions, risks and triggers.

Verbatim wording from the response

“We have also revised our Observation Policy to include much clearer guidance on how, when and where people should record all clinical interventions. This includes a review of the assessment section of this policy, which clearly states that all people that use our inpatient services will have a comprehensive Risk Assessment. This will include”

Source location

Adam-WITHERS-Response
Page 1 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Implement purposeful engagement in adult inpatient services and require timely recording of staff interactions in clinical records.

Verbatim wording from the response

“We acknowledge that our record keeping practice did not meet our desired and expected quality levels in this instance and we have learnt from these identified deficiencies. We have already instigated work to further improve the quality of our engagement with people using our adult inpatient services, by ensuring that all interactions are meaningful, using a process of purposeful engagement (a modified form of intentional rounding). The purposeful engagement process assists our staff in ensuring continuous assessment of individuals so timely interventions can be undertaken when necessary. As part of this process we expect all staff in these services to record interactions in the person’s clinical records in a timely way.”

Source location

Adam-WITHERS-Response
Page 1 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent position was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Minimum staffing numbers or ratios would not guarantee safety because evidence is lacking and they would ignore local circumstances, skill mix and case mix.

Verbatim wording from the response

“We do not agree that a minimum staffing level for services would be a “guarantee for safety”: the evidence base is lacking and minimum staffing numbers and ratios would not take account of local circumstances, skill mix or case mix. Following publication of the revised guidance by NQB, further outputs will be developed by the national programme for individual settings including mental health and learning disability settings.”

Source location

2016-0059-Response-by-Department-of-Health
Page 3 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent position was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Responsibility for determining staffing numbers and skill mix rests with individual Trust boards, taking account of local circumstances.

Verbatim wording from the response

“Responsibility for staffing rests (as it has always done) with Trust boards. Trusts’ staffing arrangements should enable the right numbers and skill mix of staff at the right time to deliver quality care and patient safety while doing so efficiently, taking into account local factors such as acuity, case mix and how to respond to fluctuations in workload.”

Source location

2016-0059-Response-by-Department-of-Health
Page 2 · response
Published 15 February 2016

Open published response

Other statements in published responses

These actions and other statements could not be clearly connected to one concern in this report.

Recipient-stated actions An action is something a recipient says it has done, is doing, or plans to do in response to a concern raised.7

  1. 1

    Develop NHS Improvement’s quality-related role in the new provider regulatory framework jointly with the CQC and NHS England.

    Stated by Care Quality Commission and NHS EnglandStated in progressThe respondent said that this action was in progress when they made their response on 15 February 2016.
  2. 2

    Involve providers through consultations on the CQC’s future strategy and a new NHS Improvement provider regulatory framework.

    Stated by Care Quality Commission and NHS EnglandStated plannedThe respondent said that this action was planned when they made their response on 15 February 2016.
  3. 3

    Jointly design the CQC approach for assessing trusts’ use of resources.

    Stated by Care Quality Commission and NHS EnglandStated plannedThe respondent said that this action was planned when they made their response on 15 February 2016.
  4. 4

    Assess how the CQC can use NHS Improvement financial data and staff expertise in use-of-resources judgements.

    Stated by Care Quality Commission and NHS EnglandStated in progressThe respondent said that this action was in progress when they made their response on 15 February 2016.
  5. 5

    Work jointly with financially challenged organisations to support turnaround while maintaining quality.

    Stated by Care Quality Commission and NHS EnglandStated in progressThe respondent said that this action was in progress when they made their response on 15 February 2016.
  6. 6

    Issue a Trust-wide Clinical Risk Alert clarifying observation expectations.

    Stated by Surrey and Borders Partnership NHS Foundation TrustStated completedThe respondent said that this action was complete when they made their response on 15 February 2016.
  7. 7

    Add the Regulation 28 issues and resulting actions to the corporate action plan and share them with commissioners.

    Stated by Surrey and Borders Partnership NHS Foundation TrustStated completedThe respondent said that this action was complete when they made their response on 15 February 2016.

Recipient positions A position is what a recipient says about a concern when they do not describe a specific action.1

  1. 1

    Financial recovery does not necessarily require compromising quality, including in trusts facing major financial challenges.

    Stated by Care Quality Commission and NHS EnglandDisputes the concernThe respondent disagreed with part of the concern or the basis for it.

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Develop NHS Improvement’s quality-related role in the new provider regulatory framework jointly with the CQC and NHS England.

Verbatim wording from the response

“So, we will jointly design the approach the CQC will use to assess trusts’ use of resources. We are also looking at how the CQC can use the financial data NHS Improvement holds and use the expertise of NHS Improvement staff in reaching its judgements on use of resources. Similarly, as NHS Improvement develops its view of the role of quality in the new, single, provider regulatory framework, we will do this jointly with the CQC and NHS England. We will also be sharing revised National Quality Board staffing guidance and a new metric looking at care hours per patient day that we will both use in looking at how trusts manage staffing resources.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Involve providers through consultations on the CQC’s future strategy and a new NHS Improvement provider regulatory framework.

Verbatim wording from the response

“We will involve you in how we make those changes – for example through the consultations that we will shortly be launching on the CQC’s future strategy and a single new NHS Improvement regulatory framework for providers.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Jointly design the CQC approach for assessing trusts’ use of resources.

Verbatim wording from the response

“So, we will jointly design the approach the CQC will use to assess trusts’ use of resources. We are also looking at how the CQC can use the financial data NHS Improvement holds and use the expertise of NHS Improvement staff in reaching its judgements on use of resources. Similarly, as NHS Improvement develops its view of the role of quality in the new, single, provider regulatory framework, we will do this jointly with the CQC and NHS England. We will also be sharing revised National Quality Board staffing guidance and a new metric looking at care hours per patient day that we will both use in looking at how trusts manage staffing resources.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Assess how the CQC can use NHS Improvement financial data and staff expertise in use-of-resources judgements.

Verbatim wording from the response

“So, we will jointly design the approach the CQC will use to assess trusts’ use of resources. We are also looking at how the CQC can use the financial data NHS Improvement holds and use the expertise of NHS Improvement staff in reaching its judgements on use of resources. Similarly, as NHS Improvement develops its view of the role of quality in the new, single, provider regulatory framework, we will do this jointly with the CQC and NHS England. We will also be sharing revised National Quality Board staffing guidance and a new metric looking at care hours per patient day that we will both use in looking at how trusts manage staffing resources.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Work jointly with financially challenged organisations to support turnaround while maintaining quality.

Verbatim wording from the response

“One of NHS Improvement’s early priorities will be to work with organisations with large deficits to help them return to surplus. There is an incorrect assumption that this can only be done at the expense of quality. So we will, again, be working together closely so that we can all be sure that, even in the trusts facing some of the biggest financial challenges, it is possible to balance finance and quality.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Issue a Trust-wide Clinical Risk Alert clarifying observation expectations.

Verbatim wording from the response

“To ensure wider understanding of the observation expectations, we have issued a Trust-wide Clinical Risk Alert clearly outlining our expectations in this regard.”

Source location

Adam-WITHERS-Response
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent action was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Add the Regulation 28 issues and resulting actions to the corporate action plan and share them with commissioners.

Verbatim wording from the response

“We have added the issues identified in the Regulation 28 report and our resulting actions to our corporate action plan, which we share with commissioners to ensure we continue to embed learning from issues raised. We would like to offer our sincere condolences again to the Withers family for their loss. We hope that the steps we have taken as outlined above assure you and Adam’s family that we have learnt and”

Source location

Adam-WITHERS-Response
Page 2 · response
Published 15 February 2016

Open published response

Source evidence

How this respondent position was interpreted

PFD Monitor created a concise, searchable interpretation from the published response wording shown below.

PFD Monitor interpretation

Financial recovery does not necessarily require compromising quality, including in trusts facing major financial challenges.

Verbatim wording from the response

“One of NHS Improvement’s early priorities will be to work with organisations with large deficits to help them return to surplus. There is an incorrect assumption that this can only be done at the expense of quality. So we will, again, be working together closely so that we can all be sure that, even in the trusts facing some of the biggest financial challenges, it is possible to balance finance and quality.”

Source location

2016-0059-Response-by-Care-Quality-Commission
Page 2 · response
Published 15 February 2016

Open published response
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Information checked against the published report and official responses · Data reviewed 7 Sep 2026 · About data quality and limitations

Official responses located
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Data last updated 7 September 2026