Del Mundo v Secretary of State [2005] EWCST 557(PVA) (March 13 2006)
CARE STANDARDS TRIBUNAL DECISION
Nelson Del Mundo (Appellant)
-v-
Secretary of State for Health (Respondent)
(2005) 557.PVA
(2005) 558 PC
Before:
Miss H Clarke, (Nominated Chairman)
Mr M Flynn
Mrs C Wiggin
Heard on February 22nd and 23rd 2006 at Lewtrenchard Manor, Lewdown, Okehampton EX20 4PN
For the Appellant : Miss C Mashembo of Counsel instructed by Coodes, solicitors
For the Respondent : Mr A Sharland of Counsel instructed by Treasury Solicitor
DECISION
A Direction was made by the President of the Care Standards Tribunal, His Honour Judge David Pearl, (The President) on 21st November 2005 restricting the reporting of the name of the resident at the centre of this case and directing that reference to him will be by the initial 'R' so as to protect his private life.
The Appellant gave evidence but called no witnesses.
(i) Two Polaroid photographs showing R's groin area taken on May 22nd 2004.
(ii) A police video of an interview with R on May 28th 2004 ( the Police Video)
(iii) A copy of the training record of the Appellant whilst employed at Kernow House
(iv) A copy of the certificate dated April 21st 2004 awarded to the Appellant for completion of a multi media based customer care course at Kernow House.
"If on an appeal or determination under this Section the Tribunal is not satisfied of either of the following, namely:-
(a) That the individual was guilty of misconduct (whether or not in the course of his duty) which harmed or placed at risk of harm a vulnerable adult; and
(b) that the individual is unsuitable to work with vulnerable adults,
the Tribunal shall allow the Appeal or determine the issue in the individual's favour and (in either case) direct his removal from the list; otherwise it shall dismiss the Appeal or direct the individual's inclusion in the list."
The written statements, correspondence and other documents filed by both parties with the Care Standards Tribunal prior to the hearing have been collated into one paginated bundle (the Tribunal Bundle).
The Appellant is originally from the Philippines and arrived in the UK on April 19th 2004 having obtained a job with Westminster Care Homes, the then owners of Kernow House, through an agency in the Philippines. The Appellant immediately started work at Kernow House as a senior carer.
The Appellant in his witness statement and in his evidence to the Tribunal confirmed that he had a BSc in nursing which he obtained in 1993 and that he had worked as a nurse attendant for a period of over five years in a home for the elderly in Singapore.
The day after arriving in the UK the Appellant had a two day multi media based customer care course and then began working at Kernow House. The Appellant received the theory part and a limited part of the practical aspects of his moving and handling training from Mr Ken Williams ( Mr Williams ) on April 26th 2004 .During this initial period the Appellant was on duty during the day and on May 4th 2004 he received further training from Mr Pooley immediately prior to commencing night duty.
In the early hours of May 22nd 2004 the Appellant was involved in an incident relating to the movement of the resident known as R who had fallen in his en suite toilet and was unable to move himself back into his wheelchair because of the nature of his disabilities.
There was no report of any fall logged in the accident book at Kernow House or any record of the fall in R's notes.
The Appellant initially denied that R had fallen but subsequently admitted that R had fallen and that he and another carer Reynita Arenas ( Ms Arenas) had manoeuvred R by holding his underpants, which he now accepted was not an appropriate way to move R.
On his return to Kernow House R was examined by Mr Wing, Ms P Smith and Ms Thorpe and Polaroid photographs were taken of R's groin area.
R was interviewed by the police on May 28th 2004 and a police video of the interview ( the police video was played to the Tribunal).The Appellant was interviewed on June 4th 2004 ( the first police interview ) and again on July 29th 2004 ( the second police interview ) and subsequently the Appellant accepted a Caution by the Cornwall police on July 29 th 2004 for assaulting R contrary to S39 of the Criminal Justice Act 1988.
Westminster Health Care in a letter dated September 3rd 2004 informed the Respondent of what had taken place and as a result of the information and further investigation the Appellant was subsequently placed on the POVA and POCA lists.
Ms Aller in her evidence to the Tribunal claimed that when R came to visit her on May 22nd she had helped him to the toilet and had noticed that his testicles were swollen. When asked by the Tribunal Ms Aller stated that there was no redness around R's groin area. Ms Aller said that R was distressed but on cross examination by Counsel and questioning by the Tribunal she accepted that the distress was because R had recognised that he was becoming more vulnerable because of the progression of his illness .
Ms Aller in her witness statement claimed that R had stated to her that "he had been dragged across the floor and picked up by his underpants that morning by a big chap who had held him down."
Under cross examination as to whether or not R had actually claimed that he had been dragged across the floor (as this was not mentioned in the transcript of the police interview with R),Ms Aller said that she couldn't remember what R had said to the police although she had been present at the time.Ms Aller was also specifically asked whether R had told her that two other people were present during the incident when he fell and she, after some deliberation, said that she thought he had not told her this.
Miss Thorpe claimed that on that occasion R had been moved by sitting him on two slide sheets and that the Appellant had seen this procedure.
Mr Wing told the Tribunal that the care plans for each of the residents were available for all carers to read, the carers did make entries in the evaluation and progress report for each of the residents and that if a resident fell this should be recorded in the resident's report and then countersigned by the registered general nurse ( the RGN) on duty .
Mr Pooley was asked why the training records had not been countersigned by the Appellant and why there were no entries relating to the observations which would normally be completed. He admitted that the omissions were unusual but that all the training records had been locked in Mr Williams' office on May 4th 2004. He admitted that he had not bothered to follow up what training had been done and he made it clear that as far as he was concerned the records were kept centrally by Mr Williams and were not his responsibility.
The Appellant when describing what had happened when R had fallen stated that he had been called on May 22nd by the RGN on duty that night, Sheila Catulong ( Ms Catulong) and that he, his co –worker Ms Arenas , and Ms Catulong had found R sitting on the foot pedal of his wheelchair in his en-suite toilet. The Appellant said there was no possibility of his moving R with a hoist because of the restricted space, he also said that nobody had told him that they should use slide sheets. He said he found himself in "a situation".
The Appellant firmly denied that he had dragged R across the floor but admitted that he had used R's underpants to manoeuvre R back into the wheelchair. The Appellant during the hearing stated that he and Ms Arenas had been on either side of R and had each taken hold of R's underpants. In response to a question from the Tribunal the Appellant said that he and Ms Arenas had each used one hand on R's underpants.
During his oral evidence the Appellant confirmed that he had worked as a nurse attendant in a nursing home in Singapore for a period of approximately six years and that he had been trained on how to deal with patients who had fallen.
The Tribunal specifically asked whether in any other care setting patients had been moved using clothing, the Appellant stated no but that he had used handling belts in the past. The Appellant also disclosed that he was not a registered nurse as he had failed the Board exams in the Philippines and said he was too upset to re-sit them.
Counsel for the Respondent submitted that misconduct had been established by the inappropriate manoeuvring of R and the repeated lying by the Appellant. Counsel submitted that the misconduct was caused by the actual physical harm and although there were discrepancies about the type of injuries that had been sustained, R's account that it had hurt should be accepted.
Counsel for the Respondent suggested that the misconduct was also established by the consistent lying and the other incident that had been alleged, namely that the Appellant had pushed R back down onto the bed by placing his hands on his shoulders.
Counsel for the Respondent submitted that the issue of whether the Appellant had had sufficient training prior to going on to night duty was a "red herring" as the Appellant was not an inexperienced person. The Appellant had accepted an appointment as a senior carer. It was submitted that the Appellant had a four year BSc in nursing and had worked for six years in Singapore during which time he had received training in moving and handling. Any limitations in the training did not constitute extenuating circumstances as it was submitted that common sense dictated that it was not appropriate to move a 20 stone man by his underpants.
The Respondent's claim that the Appellant had not admitted his guilt and had sought to minimise the level of misconduct and shift the blame to R rather than accept responsibility and his lack of insight made him unsuitable to work with either vulnerable adults or children.
It was submitted that the Appellant should have had at least six hours manual handling training and that although his performance did fall below what was appropriate this was due to the lack of supervised training.
It was submitted that there was no evidence to confirm that the Appellant had dragged R at any stage nor was there any clear substantiated evidence to confirm the claim that the Appellant had restrained or pushed R back on to the bed .
Counsel for the Appellant submitted that the physical evidence of harm was mixed with Ms Thorpe suggesting there had been grazing while Mr Wing went much further in describing damage to R's groin but that there was no medical evidence from a GP or anyone else to verify the position.
All the parties at the hearing accepted that to move someone weighing approximately 20 stone by their underpants was wrong. As well as the potential risk of physical harm to both handler and the person being moved there is also the question of respect and human dignity for the resident.
The Appellant submitted that his failure to move R in an appropriate manner was due to the inadequate training that he had received in the care home. It was also submitted that the Appellant was naïve and that he had been willing to follow more experienced staff on duty on May 22nd 2005.
Proper staff training in moving and handling techniques is an important part of the safety programme of any care home and these omissions and the poor training records have serious implications for the standards of care, and the safety of both the staff and the residents of Kernow House.
The Appellant also spent six years working as a nurse attendant in a home for the elderly in Singapore. The Appellant because of his previous experience and employment history was appointed as a senior care worker at Kernow House. The Appellant confirmed to the Tribunal that he had previous experience of handling people with hoists and had been trained in the use of handling belts. The Tribunal specifically asked whether he had ever been taught to move patients using clothing and he replied "no".
The Appellant initially went on day duty at the care home and Ms Thorpe stated that the Appellant had been present when after R had fallen he had been moved from a fallen position using slide sheets. The Appellant initially said that he could not remember the incident and then denied being present when anyone had fallen during the day shift.
The Tribunal found Ms Thorpe's account of the incident on day duty plausible.
The Appellant in his evidence to the Tribunal maintained that Ms Catulong and Ms Arenas had both been present when the Appellant and Ms Arenas moved R. The Appellant continued to appear reticent about revealing further information about any conversation between the three colleagues as they attended to R. In his witness statement ( Tribunal Bundle p161 para 7) the Appellant claimed that although M Catulong was present " I was not given any guidance or told that I was using the incorrect procedure ."
During the hearing the Appellant suggested that he had spoken to Ms Catulong before he moved R but he did not recount any verbal exchanges between the parties.
The Appellant claimed that both he and Ms Arenas working together moved R by his underpants. The Tribunal does not accept as credible that no discussion took place between the Appellant and Ms Arenas about how they both intended to move R. They would have had to liaise with each other to ensure they both moved him at the same time.
The Tribunal accepts that the Appellant may have been reluctant during the original investigations to expose his work colleague to criticism, however he no longer works at the care home therefore the lack of a detailed explanation of precisely what was said and what happened on May 22 nd 2004 does undermine the credibility of his account .
The Tribunal cannot condone in any way the Appellant's repeated lying but it does accept that the Appellant was in a foreign country; he was scared of losing his job and his immigration status and was possibly intimidated by the police becoming involved in the investigations.
A medical examination by a G.P. on May 26 th 2004 indicated that there were no lasting physical signs of injury. The question of the redness and soreness to the groin area was further complicated by a pre-existing tendency for the groin to suffer from excoriation. The Tribunal finds that the evidence of physical damage to R's groin area was inconclusive and that if any damage did occur it was limited.
However, the Appellant had at least six years previous experience of moving and handling elderly people in a residential care setting in Singapore involving elderly people and he should not have needed training to highlight the risk of moving a 20 stone man by his underpants.
Furthermore, the Appellant appears to have been unaware of the indignity and discomfort which was caused to R.
The Tribunal does not accept that the Appellant, an experienced care worker should have required guidance from an RGN to be aware that he was moving R in a totally unacceptable manner. The Appellant's need to rely on or blame others for his own poor decision despite his previous experience leads the Tribunal to be concerned whether faced with a different challenging situation the Appellant would be capable of making the right decision or would instead rely on others whatever the consequences
" The Appellant in his witness statement ( Tribunal bundle page page161 para6) states that " I never received any complaint from the patient concerned and I do not believe that I ever caused him any distress other wise there would have been a previous complaint". The Tribunal does not accept that the absence of any previous formal complaints about the way the Appellant moved R indicates that R had previously suffered no distress. R had indicated directly to the Appellant that it caused him pain ( Tribunal bundle page 95 " It cut me in two I told him it hurt") when he was moved by his underpants .
Even later in the Appellant's witness statement dated January 15th 2006 ( Tribunal bundle page 161 para 6) the Appellant states that any injury caused to R's groin might have been caused by R himself if he had struck the wheelchair as he fell .The Tribunal did not find this explanation plausible ; it also demonstrates that the Appellant was still willing to try to shift the blame or responsibility to R .
The Tribunal was also surprised that Mr K Williams and the Manager of the home did not provide any evidence. The exact manner in which R was manoeuvred is still unclear and the Tribunal cannot be certain about the extent and manner to which Ms Catulong or Ms Arenas were involved in the movement of R .
Miss H Clarke (Nominated Chairman)
Mr M Flynn
Mrs C Wiggin
Dated March 13th 2006