Monitoring of Investigation recommendations.

D. Speers made this Freedom of Information request to Care Quality Commission

The request was successful.

From: D. Speers

4 September 2009

Dear Sir or Madam,

Following two recent very critical Investigation reports into
management issues at West London Mental Health Trust....where a
number of key recommendations were made, I am seeking further
information please.

The Investigation Reports:

1)A Healthcare Commission investigation was published by CQC, after
closure of HC's public statutory remit of complaints handler and
regulator.

2)Broadmoor Hospital (also mangaged by WLMHT....who also manage 5
other service areas in London I understand) ....and an
investigation was commissioned by Secretary of State for Health and
published by Strategic Health Authority NHS London....where the
ex-CEO of WLMHT now has another public job.

Please could I have:

* a copy of the CQC regulatory powers of enforcement of
recommendations made?

* information as to which Department at CQC is responsible for
enforcement?

* and advice as to who heads that Department?

With thanks, I appreciate your time

Yours faithfully,

D. Speers

Link to this

D. Speers left an annotation ( 4 September 2009)

How the NHS Complaint's process have handled our complaint over four years!

My NHS complaint has been through 1st stage = Trust(unresolved), 2nd stage = Healthcare Commission (HC)(unresolved as closed) and 3rd Stage PHSO....who referred it back to HC "for further work towards resolution" (and it remains unresolved as referred back to trust and CQC....hence the questions asked)

....PHSO have also now assessed the complaint under the new PHSO two-tier complaints process (we no longer have a system as second stage has gone!)and were aware of the HC's previous handling of the complaint.... the PHSO previously referred the complaint back for a HC re-review ...of a HC 'upheld' review of complaint which was closed prematurely.

But the second case manager also failed to monitor implementation of recommendations and left 'without notification' for a job within CQC.

On information provided tro HC by my family 'and others' the HC launched a full investigation into Patient Safety at WLMHT.....(just six months after awarding them an Excellent Rating....what had fundamentally changed?)

However, the Investigation was not published before the public remit(of regulator and complaints handler) closed....a closure the public were not consulted on.

The Care Quality Commission published the HC Investigation Report and after HC's closure, the Report was referred to as the CQC Investigation Report ...still online at www.cqc.org.uk .

It seems that the CQC have 'regulatory powers to enforce recommendations' (hence the questions!) and as the PHSO is not going to investigate our complaint then we have taken the complaint back to CQC. I remain concerned that the PHSO service is there to delay and frustrate the complainant until they give up through sheer exhaustion! Or carry on through sheer determination to see the services do what they say on the tin!

Link to this

From: Coxon, Pamela
Care Quality Commission

4 September 2009

Dear D Speers

Thank you for your e-mail containing an information access request in
accordance with the Freedom of Information Act 2000 which the commission
received on 4th September 2009.

We will respond to your request as soon as is possible, but in any event,
within 20 working days following the date of receipt of your request. You
can therefore expect a response by close of business 2nd
October respectively. We will write to you before the deadline for
response if we are unable to meet it.

Please note that the information you have requested may be subject to a
fee or an exemption. Should this occur, you will be notified accordingly
when we write to you next.

If you have any queries please do not hesitate to contact me.

Yours sincerely

Pamela Coxon
Business Services Senior Administrator
Secretariat - Information Governance Team
Care Quality Commission
St Nicholas Building
St Nicholas Street
Newcastle upon Tyne
NE1 1NB

Tel: 0191 233 3552
Fax: 01484 770 014
E-mail: [1][email address]

show quoted sections

Link to this

From: D. Speers

4 September 2009

Dear Coxon, Pamela,

Many thanks for your prompt response and I apprecitae you time.

Yours sincerely,

D. Speers

Link to this

From: Coxon, Pamela
Care Quality Commission

23 September 2009

Dear D Speers

Thank you for your email dated 4th September 2009 in which you made a
request for information in accordance with the Freedom of Information Act
2000.

The Information Governance Team has now processed your request and I am
pleased to provide you with the information that the commission holds as
outlined below.

You requested:

1. A copy of the CQC regulatory powers of enforcement of recommendations
made into management issues at West London Mental Health Trust.

CQC does not have regulatory enforcement powers to require a trust to
comply with recommendations that arise from an investigation. The
Strategic Health Authority is the performance management body for an NHS
body which is not an Foundation Trust. Monitor is the performance
management body for Foundation Trusts. CQC will usually work with the
relevant performance management body to ensure that progress is made
against the recommendations. In circumstances where a trust was clearly
failing to achieve improvement then CQC could investigate the
circumstances and when publishing the report consider whether the report
raises anything on which it ought to give advice to the Secretary of
State.

2. Information as to which Department at CQC is responsible for
enforcement?

Enforcement means legal action which CQC might take against an
organisation. At present the only enforcement activity undertaken by CQC
is under the Care Standards Act 2000 in relation to private health
providers, domiciliary care agencies, medical agencies, independent
clinics, nursing agencies, unregistered providers and care homes. The NHS
is regulated in relation to healthcare associated infections where
services are provided directly by the NHS body. This is under the Health
and Social Care Act 2008 ( Registration of Regulated Activity) Regulations
2009. The HCAI Team deal with enforcement of these regulations up to the
service of a warning notice. The enforcement teams in the regions and in
Finsbury Tower (CQC Headquarters) deal with enforcement.

3. Advise as to who has that Department.

Christine Braithwaite is Head of Investigations and Enforcement for the
Commission.

If you are not satisfied with this response you may request an internal
review of the Commission's decision. Please contact:

The Information Governance Team

Care Quality Commission

Finsbury Tower

103-105 Bunhill Row

London

EC1Y 8TG

Alternatively, you may complain via email to:

[email address].

Please clearly indicate that you wish for an internal review. There is no
charge for making an appeal.

Further rights of appeal exits to the Information Commissioner's Office
([1]www.ico.gov.uk) once the internal appeals process has been exhausted.

The contact details are:

Information Commissioner's Office

Wycliffe House

Water Lane

Wilmslow

Cheshire

SK9 5AF

Telephone: 01625 545 700

If you have any queries please do not hesitate to contact me.

Yours sincerely

Pamela Coxon
Business Services Senior Administrator
Secretariat - Information Governance Team
Care Quality Commission
St Nicholas Building
St Nicholas Street
Newcastle upon Tyne
NE1 1NB

Tel: 0191 233 3552
Fax: 01484 770 014
E-mail: [2][email address]

show quoted sections

Link to this

From: D. Speers

23 September 2009

Dear Coxon, Pamela,

I am confused by this as in the case of the PHSO , who has recently
refused an investigation because, "the CQC have regulatory powers
and this was underlined by CQC who replied "The CQC has the
regulatory functions of registration, review and investigation
conferred on it by the
Health and Social Care Act 2008, functions under the Mental
HealthAct 1983 and a role monitoring deprivation of liberty
safeguards
under the Mental Capacity Act 2005.

Initially, during 2009/10 the CQC will continue to operate the
regulatory functions exercised by its predecessor organisations
under the Care Standards Act 2000"

And now you are advising: "CQC does not have regulatory enforcement
powers to require a trust to comply with recommendations that arise
from an investigation. The Strategic Health Authority is the
performance management body for an NHS body which is not an
Foundation Trust. Monitor is the performance management body for
Foundation Trusts. CQC will usually work with the relevant
performance management body to ensure that progress is made against
the recommendations. In circumstances where a trust was clearly
failing to achieve improvement then CQC could investigate the
circumstances and when publishing the report consider whether the
report raises anything on which it ought to give advice to the
Secretary of State."

Can you clarify this situation as fully as possible please.

With thanks

Yours sincerely,

D. Speers

Link to this

From: Coxon, Pamela
Care Quality Commission

2 October 2009

Dear D Speers

Your further queries below do not fall within the remit of the Freedom of Information Act 2000. Therefore, I have been passed these on to the relevant staff within the commission for a response in due course.

Yours sincerely

Pamela Coxon
Information Governance Officer
Secretariat - Information Governance Team
Care Quality Commission
St Nicholas Building
St Nicholas Street
Newcastle upon Tyne
NE1 1NB

Tel: 0191 233 3552
Fax: 01484 770 014
E-mail: [email address]

***********************************************
Statutory requests for information made pursuant to access to information legislation, such as the Data Protection Act 1998 and the Freedom of Information Act 2000, should be sent to: [Care Quality Commission request email].

show quoted sections

Link to this

From: D. Speers

2 October 2009

Dear Coxon, Pamela,
Thank you for your time.

Yours sincerely,

D. Speers

Link to this

From: Coxon, Pamela
Care Quality Commission

2 October 2009

I will be out of the office from 4:00 pm Friday, 2nd October returning on Monday, the 5th and will deal with all e-mails on my return.

Please contact Andrew Lall if your enquiry is urgent. Otherwise I will deal with your enquiry upon my return. Your message will NOT be read or forwarded in my absence.

Statutory requests for information made pursuant to access to information legislation, such as the Data Protection Act 1998 and the Freedom of Information Act 2000, should be sent to: [Care Quality Commission request email].

Thank you

Pamela Coxon
Business Services Senior Administrator
Secretariat - Information Governance Team
Care Quality Commission
St Nicholas Building
St Nicholas Street
Newcastle upon Tyne
NE1 1NB

Tel: 0191 233 3552
Fax: 01484 770 014
E-mail: [email address]

The contents of this email and any attachments are confidential to the intended recipient. They may not be disclosed to or used by or copied in any way by anyone other than the intended recipient. If this email is received in error, please notify us immediately by clicking "Reply" and delete the email. Please note that neither the Care Quality Commission nor the sender
accepts any responsibility for viruses and it is your responsibility to scan or otherwise check this email and any attachments.

Any views expressed in this message are those of the individual sender, except where the sender specifically states them to be the views of the Care Quality Commission.

Link to this

From: D. Speers

26 April 2011

Dear Coxon, Pamela,
I note that this request was only partially answered and in seeking
confirmation of how CQC fufill the MHAC part of their remit to
protect the interests of people whose rights are restricted under
the Mental Health Act. I believe, "The CQC has the
regulatory functions of registration, review and investigation
conferred on it by the Health and Social Care Act 2008, functions
under the Mental
Health Act 1983 and a role monitoring deprivation of liberty
safeguards under the Mental Capacity Act 2005.

I therefore need further FOIA clarification please:

* a copy of the CQC regulatory powers of enforcement of
recommendations made to mental health trusts ?

* information as to which Department at CQC is responsible for
enforcement?

* and advice as to who heads that Department?

With thanks, I appreciate your time
Yours sincerely,

D. Speers

Link to this

From: Coxon, Pamela (IG Team)
Care Quality Commission

26 April 2011

The Commsision will be closed Friday, 22nd April through Monday, 25th April and commencing on Tuesday, the 26th. Your message will NOT be read or forwarded in my absence.

Please forward your queries or replies to the IG Team mailbox at [Care Quality Commission request email] quoting the reference number previously provided (if applicable). If the matter is not pressing, I will deal with your enquiry upon my return.

Statutory requests for information made pursuant to access to information legislation, such as the Data Protection Act 1998 and the Freedom of Information Act 2000, should be sent to: [Care Quality Commission request email].

The contents of this email and any attachments are confidential to the intended recipient. They may not be disclosed to or used by or copied in any way by anyone other than the intended recipient. If this email is received in error, please notify us immediately by clicking "Reply" and delete the email. Please note that neither the Care Quality Commission nor the sender
accepts any responsibility for viruses and it is your responsibility to scan or otherwise check this email and any attachments.

Any views expressed in this message are those of the individual sender, except where the sender specifically states them to be the views of the Care Quality Commission.

Link to this

From: Coxon, Pamela (IG Team)
Care Quality Commission

26 April 2011

Dear D Speers

I acknowledge receipt of your e-mail dated 26th April 2011 containing an
information access request in accordance with the Freedom of Information
Act 2000 (FOIA), which the Commission received today.

You requested:

With regard to CQC's Mental Health remit to protect the interest of people
who rights are restricted under the Mental Health Act: 1) A copy of the
CQC regulatory powers of enforcement of recommendations made to mental
health trusts? 2) Which Department at CQC is responsible for
enforcement? 3) Who heads that Department?

We will respond to your request as soon as is possible, but in any event,
within 20 working days following the date of receipt of your request as
outlined by the Act. You can therefore expect a response by close of
business 26th May respectively. We will write to you before the deadline
for response if we are unable to meet it.

Please note that the information you have requested may be subject to an
exemption. Should this occur, you will be notified accordingly when we
write to you next.

If you have any queries please do not hesitate to contact me.

Yours sincerely

Pamela Coxon
Information Access Officer
Legal Services & Information Rights
Care Quality Commission
Citygate, Floor 7
Gallowgate
Newcastle upon Tyne
NE1 4PA

Tel: 0191 233 3552
Fax: 01484 770 014
E-mail: [1][email address]

show quoted sections

Link to this

From: D. Speers

26 April 2011

Dear Pamela Coxon,(IG Team),

With thanks for your prompt response, I appreciate your time.

Yours sincerely,

D. Speers

Link to this

From: Information Access
Care Quality Commission

10 May 2011

Dear D Speers

Thank you for your e-mail dated 26th April 2011 in which you made a
request for information in accordance with the Freedom of Information Act
2000 (FOIA), which the Commission received that day.

You requested:

With regard to CQC's Mental Health remit to protect the interest of people
who rights are restricted under the Mental Health Act:

1) A copy of the CQC regulatory powers of enforcement of recommendations
made to mental health trusts?

2) Which Department at CQC is responsible for enforcement?

3) Who heads that Department?

The Information Access Team has now processed your request and I can now
advise you that the enforcement powers for MH providers are in effect the
same as for any other registered provider. However, as well as the
regulatory activity under the H & SCA CQC does monitor the MHA and Anthony
Deery is the Head of Mental Health and National Inspections - Operations.
The lead for enforcement would be the compliance manger for the provider
concerned.

The enforcement policy can be accessed on CQC's website here
[1]http://www.cqc.org.uk/guidanceforprofess....

If you are not satisfied with this response you may request an internal
review of the Commission's decision. Please contact:

Legal Services & Information Rights

Care Quality Commission

Citygate

Gallowgate

Newcastle upon Tyne

NE1 4PA

Alternatively, you may request an internal review via email to:

[email address].

Please clearly indicate that you wish for an internal review.

Further rights of appeal exist to the Information Commissioner's Office
([2]www.ico.gov.uk) once the internal appeals process has been exhausted.

The contact details are:

Information Commissioner's Office

Wycliffe House

Water Lane

Wilmslow

Cheshire

SK9 5AF

Telephone: 01625 545 745

If you have any queries please do not hesitate to contact me.

Yours sincerely

Pamela Coxon
Information Access Officer
Legal Services & Information Rights
Care Quality Commission
Citygate, Floor 7
Gallowgate
Newcastle upon Tyne
NE1 4PA

Tel: 0191 233 3552
Fax: 01484 770 014
E-mail: [3][email address]

show quoted sections

Link to this

From: D. Speers

11 May 2011

Dear Information Access,

Thank you.

Yours sincerely,

D. Speers

Link to this

Things to do with this request

Anyone:
Care Quality Commission only: