PFD report

Francis James Lea · Prevention of Future Deaths report

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Issued 15 Dec 2016•Leicester City and South Leicestershire

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.

View original report
Concerns
3

Raised in this report

Recipients
3

Named on the report

Responses found
3

Of 3 recipients

Stated actions
13

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

Select any concern, action or position to view the source wording.

Report evidence summary

Concerns raised3

  1. Failure to involve next of kin in significant decisions for a patient with declining cognitive function
  2. Failure to record the rationale and patient consent for a change of GP
    Part of recurring concern: Failure to reliably document the rationale for consequential decisionsPart of recurring concern: Incomplete, inaccurate or unavailable clinical and care records
  3. Failure to record consideration and outcome of the patient's capacity
    Part of recurring concern: Unreliable assessment and recording of patients’ mental capacity
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

    Contact care homes to recommend policies and documentation standards for staff signing on behalf of residents who can consent but cannot physically sign.

    Stated by NHS Leicester, Leicestershire and Rutland Integrated Care BoardStated plannedThe respondent said that this action was planned when they made their response on 12 February 2017.
  2. Action

    Issue standard practice application forms to membership practices, including a section for signing on behalf of another person.

    Stated by NHS Leicester, Leicestershire and Rutland Integrated Care BoardStated completedThe respondent said that this action was complete when they made their response on 12 February 2017.
  3. Action

    Require robust project plans covering stakeholder, family and next-of-kin engagement, responsibilities, and communication of planned changes to care-home and GP-practice staff.

    Stated by NHS Leicester, Leicestershire and Rutland Integrated Care BoardStated plannedThe respondent said that this action was planned when they made their response on 12 February 2017.

Respondent positions A position is what a recipient says about a concern when it does not describe a specific action.6

  1. Position

    Patients with capacity are not required to have next of kin informed about a change of GP practice.

    Stated by NHS Leicester, Leicestershire and Rutland Integrated Care BoardDisputes 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 involve next of kin in significant decisions for a patient with declining cognitive function

Wider context from the report

“(1) For a patient in a care situation, with declining cognitive function (as set out in his home care plan) it would seem appropriate to consider involving the next of kin in any significant decision such as change of GP. This would have enabled the family (who always ensured they accompanied Mr Lea for any medical care) to pass on the updated information, and this outcome would have been avoided. ”

Is this part of a recurring concern?

No recurring-concern membership is currently published.

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

Failure to record the rationale and patient consent for a change of GP

Wider context from the report

“(2) There appeared to be no notes on the patient's medical record regarding the rationale for this change, or any consent from the patient that he was in agreement that it should take place. There was also no record of whether any consideration of his capacity had been undertaken, and if so what the outcome of that decision was. ”

Is this part of a recurring concern?

Yes — Failure to reliably document the rationale for consequential decisions; Incomplete, inaccurate or unavailable clinical and care 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

Failure to record consideration and outcome of the patient's capacity

Wider context from the report

“(2) There appeared to be no notes on the patient's medical record regarding the rationale for this change, or any consent from the patient that he was in agreement that it should take place. There was also no record of whether any consideration of his capacity had been undertaken, and if so what the outcome of that decision was. ”

Is this part of a recurring concern?

Yes — Unreliable assessment and recording of patients’ mental 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

Contact care homes to recommend policies and documentation standards for staff signing on behalf of residents who can consent but cannot physically sign.

Verbatim wording from the response

“During the course of the investigation it was established that the care home manager had signed the form on behalf of Mr Lea although this was not made clear to the Practice. Therefore we will be contacting all care homes to recommend:”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 2 · response
Published 12 February 2017

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 standard practice application forms to membership practices, including a section for signing on behalf of another person.

Verbatim wording from the response

“Since the time of this incident, we have issued standard practice application forms to all of our membership practices. This includes a section for signing on behalf of somebody else.”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 2 · response
Published 12 February 2017

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

Require robust project plans covering stakeholder, family and next-of-kin engagement, responsibilities, and communication of planned changes to care-home and GP-practice staff.

Verbatim wording from the response

“During the course of our investigation, we have been informed by the care home manager that Mr Lea did have the capacity to make the decision to change GP practice. If a person has capacity, there is no requirement to inform the next of kin. However, we recognise that engaging with residents and their families is best practice when making changes such as this. Therefore there are a number of actions that will be put in place to ensure families are aware of future changes with which the CCG is involved:”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 2 · response
Published 12 February 2017

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

Require providers to document discussions and information received from residents, record potential changes in care plans and clinical systems, and update records promptly.

Verbatim wording from the response

“Residents/patients are assumed to have capacity unless proved otherwise. As part of this project residents were given the choice as to whether to move practice. In future projects of this type, ELR CCG makes the following recommendations:”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 2 · response
Published 12 February 2017

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

Create a written, party-approved policy for future locality projects defining GP registration changes and responsibility for informing next of kin.

Verbatim wording from the response

“With regard to a safe and effective transfer of care, it has been agreed that to avoid any similar accidents, for any future locality projects there will be a written policy which needs to have been signed off by all parties as to the clear process of facilitating any change of GP registration and who will be informing the next of kin where appropriate.”

Source location

2016-0447-Response-by-Northfield-Medical-Centre
Page 2 · response
Published 12 February 2017

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

Require care homes to confirm patients’ awareness, consent and appropriate next-of-kin notification when capable residents change GP practice.

Verbatim wording from the response

“In order to avoid such a situation arising again, we will as a practice be liaising with the care homes to request that:”

Source location

2016-0447-Response-by-Northfield-Medical-Centre
Page 2 · response
Published 12 February 2017

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

Require care homes to confirm next-of-kin notification and consent when residents lacking capacity change GP practice, with capacity concerns escalated.

Verbatim wording from the response

“In order to avoid such a situation arising again, we will as a practice be liaising with the care homes to request that:”

Source location

2016-0447-Response-by-Northfield-Medical-Centre
Page 2 · response
Published 12 February 2017

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

Patients with capacity are not required to have next of kin informed about a change of GP practice.

Verbatim wording from the response

“During the course of our investigation, we have been informed by the care home manager that Mr Lea did have the capacity to make the decision to change GP practice. If a person has capacity, there is no requirement to inform the next of kin. However, we recognise that engaging with residents and their families is best practice when making changes such as this. Therefore there are a number of actions that will be put in place to ensure families are aware of future changes with which the CCG is involved:”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 2 · response
Published 12 February 2017

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

Capacity assessments are not routinely undertaken unless there is a medical need.

Verbatim wording from the response

“As highlighted the care home was facilitating change of GP and patients were offered the choice of declining to change their registered GP. As mentioned earlier it is not common practice to hold capacity assessment unless there is a medical need.”

Source location

2016-0447-Response-by-Hazelmere-Medical-Centre
Page 1 · response
Published 12 February 2017

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

There is usually no need to record the rationale for changing a patient's registered GP in the medical record.

Verbatim wording from the response

“There is usually no need for documenting on patients medical records regarding rationale for change of GP.”

Source location

2016-0447-Response-by-Hazelmere-Medical-Centre
Page 1 · response
Published 12 February 2017

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

The medical records showed no cognitive decline requiring a formal capacity assessment, so capacity was assumed for the GP change process.

Verbatim wording from the response

“The medical records of the patient do not reflect any evidence of declining cognitive function requiring the need for a formal capacity assessment. The communication with the care homes in this project of swapping care home patients between practices was explicit in stating that the change of registered GP was an active informed decision to be communicated to the patient, or if the care home felt there was a lack of capacity for this to be discussed with next of kin. As part of this project letters were written to the care home patients which was sent to Mr Lea as well detailing the above. Hence it was assumed that Mr Lea had capacity to engage in this process.”

Source location

2016-0447-Response-by-Hazelmere-Medical-Centre
Page 1 · response
Published 12 February 2017

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

Care homes are responsible for confirming patient awareness, consent and, where appropriate, next-of-kin notification when facilitating GP practice changes.

Verbatim wording from the response

“• Where a patient, with capacity, who is resident in a care home, changes GP practice and this change is facilitated by the care home, arrangements are put in place for the care home to provide written confirmation that the patient is aware of the change, the patient gives consent to the change and that where appropriate the patient’s next of kin have been informed.”

Source location

2016-0447-Response-by-Northfield-Medical-Centre
Page 2 · response
Published 12 February 2017

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

The GP practice cannot directly inform next of kin because of patient confidentiality and practical difficulties identifying relevant family members.

Verbatim wording from the response

“Mr Lea agreed to change GP practice and there was no suggestion that he did not have the capacity to make the decision to change GP. In such circumstances, the GP practice is not in a position to inform the next of kin due to the duty of confidentiality owed to the patient and practical difficulties of identifying relevant members of the family or next of kin.”

Source location

2016-0447-Response-by-Northfield-Medical-Centre
Page 1 · response
Published 12 February 2017

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.6

  1. 1

    Require transfer projects to use dated, documented communications, agreed forwarding arrangements for changed practice lists, and care-home systems tracking information shared with GP practices.

    Stated by NHS Leicester, Leicestershire and Rutland Integrated Care BoardStated plannedThe respondent said that this action was planned when they made their response on 12 February 2017.
  2. 2

    Conduct a multi-agency serious incident investigation involving the GP practices, care home, University Hospitals Leicester NHS Trust and the CCG.

    Stated by NHS Leicester, Leicestershire and Rutland Integrated Care BoardStated in progressThe respondent said that this action was in progress when they made their response on 12 February 2017.
  3. 3

    Share the issues raised with contract teams so they can seek provider assurance about implementing lessons learned.

    Stated by NHS Leicester, Leicestershire and Rutland Integrated Care BoardStated plannedThe respondent said that this action was planned when they made their response on 12 February 2017.
  4. 4

    Forward communications to the receiving practice for six weeks after a patient changes registered GP.

    Stated by Hazelmere Medical CentreStated plannedThe respondent said that this action was planned when they made their response on 12 February 2017.
  5. 5

    Require representatives signing registration forms for patients to print their names and relationships to those patients.

    Stated by Northfield Medical CentreStated plannedThe respondent said that this action was planned when they made their response on 12 February 2017.
  6. 6

    Include enhanced advertising, including posters, in future projects changing GP provision to inform families, next of kin and staff.

    Stated by Northfield Medical CentreStated plannedThe respondent said that this action was planned when they made their response on 12 February 2017.

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

Require transfer projects to use dated, documented communications, agreed forwarding arrangements for changed practice lists, and care-home systems tracking information shared with GP practices.

Verbatim wording from the response

“Given this was a joint decision between the GP surgeries and the care home, it would seem that each surgery should share responsibility for a safe and effective transfer of care and therefore this report is being sent to each surgery for further consideration and the CCG.”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 3 · response
Published 12 February 2017

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

Conduct a multi-agency serious incident investigation involving the GP practices, care home, University Hospitals Leicester NHS Trust and the CCG.

Verbatim wording from the response

“In addition to the actions already identified, a serious incident investigation has been opened into this case to ensure the widest possible learning. This is a ‘multi-agency’ investigation, including the two GP practices, the care home, University Hospitals Leicester NHS Trust (UHL) and ELR CCG.”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 3 · response
Published 12 February 2017

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

Share the issues raised with contract teams so they can seek provider assurance about implementing lessons learned.

Verbatim wording from the response

“We also intend to share the issues raised in your letter with our contracts teams who monitor the CCG’s contracts with care homes and GP practices. This enables our contracting team to seek assurance from provider organisations, in respect of how they implement lessons learnt from an incident with an aim to improving patient care.”

Source location

2016-0447-Response-by-East-Leicestershire-and-Rutland-Clinical-Commissioning-Group
Page 3 · response
Published 12 February 2017

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

Forward communications to the receiving practice for six weeks after a patient changes registered GP.

Verbatim wording from the response

“As a result of the meeting between the practices and the CCG it has been agreed that to avoid any future similar incidents any communication received by the donor practice, in addition to the usual practice of the communication being sent back to the sender, will in addition be forwarded to the receiving practice for up to a period of six weeks from the change of registered GP.”

Source location

2016-0447-Response-by-Hazelmere-Medical-Centre
Page 2 · response
Published 12 February 2017

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

Require representatives signing registration forms for patients to print their names and relationships to those patients.

Verbatim wording from the response

“In order to avoid such a situation arising again, we will as a practice be liaising with the care homes to request that:”

Source location

2016-0447-Response-by-Northfield-Medical-Centre
Page 2 · response
Published 12 February 2017

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

Include enhanced advertising, including posters, in future projects changing GP provision to inform families, next of kin and staff.

Verbatim wording from the response

“In addition it has been agreed that any future projects such as that undertaken to rationalise GP provision to care homes, as referred to above, should include better advertisement, including in the form of posters, so that families, next of kin and staff are fully aware of proposed changes.”

Source location

2016-0447-Response-by-Northfield-Medical-Centre
Page 2 · response
Published 12 February 2017

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