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Breaches & Enforcements of Health + Social Care Act 2008

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Dear Care Quality Commission,

Please supply me with the following information as is my right under the FOI Act.

Of the Regulated Activities of the Health and Social Care Act,

1. How many breaches of
a) Regulation 10
b) Regulation 12
c) Regulation 16
d) Regulation 20

A) Did the CQC uphold in:

i. 2018
ii. 2019
iii.2020

B) Of those breaches upheld, how may were fined by the CQC in

i. 2018
ii. 2019
iii. 2020

C) For:

a) Regulation 10
b) Regulation 12
c) Regulation 16
d) Regulation 20

C) what was the average fine for the Regulation Breaches in:

i. 2018
ii. 2019
iii. 2020

If this request is too wide or unclear, I would be grateful if you could contact me as I understand that under the Act, you are required to advise and assist requesters.

If any of this information is already in the public domain, please can you direct me to it, with page references and URLs if necessary.

If the release of any of this information is prohibited on the grounds of breach of confidence, I ask that you supply me with copies of the confidentiality agreement and remind you that information should not be treated as confidential if such an agreement has not been signed.

I understand that you are required to respond to my request within one calendar month after you receive this letter. I would be grateful if you could confirm in writing that you have received this request.

Yours faithfully,

liz perloff

Information Access, Care Quality Commission

Dear enquirer

 

Thank you for contacting the Information Access Team at the Care Quality
Commission (CQC).

 

Please accept this automated response as acknowledgement that we have
received your e-mail. 

 

What we do

 

We coordinate responses to requests for recorded information made in
accordance with the Freedom of Information Act 2000 (FOIA), the General
Data Protection Regulation (GDPR), Data Protection Act 2018 (DPA) and the
Environmental Information Regulations 2004 (EIR).

 

If you are making a request for information which falls under these Acts and
regulations

 

We aim to respond to you within three working days with a formal
acknowledgement of your request including a unique reference number and
deadline for our response.

 

Please be as specific as possible in describing the information you want
to request.

 

We have published information on our website explaining [1]how to ask for
official information held by CQC and [2]how to ask for information about
yourself or other people.

 

If you are seeking an update on an existing request

 

The Information Access team is experiencing a higher than usual workload
at present.

 

We are currently working through a backlog of work and will respond to
each request as soon as possible. Thank you for your patience. 

 

Information relating to medical records

 

If you want to request your medical records please contact your GP
surgery, or the organisation that provided your care. CQC does not
routinely hold patient medical records.

 

General enquiries about CQC

 

CQC is the independent regulator of health and adult social care services
in England.

 

There is information about our role published on our website,
[3]www.cqc.org.uk

 

If you have any questions about any aspect of CQC’s work, you can contact
our National Customer Service Centre (NCSC). Please e-mail
[4][email address] or call 03000 616161.

 

Statutory requests for information made under access to information
legislation such as the Data Protection Act 2018, GDPR and the Freedom of
Information Act 2000 should be sent to: [5][CQC request email]

 

How CQC handles and protects your personal data

 

Personal data is processed in accordance with the General Data Protection
Regulation (GDPR) and relevant data protection law. Information on the
processing of personal data by CQC can be found at
[6]www.cqc.org.uk/about-us/our-policies/privacy-statement

 

 

Kind regards

 

The Information Access Team 

 

 

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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
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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. Information on how the Care
Quality Commission processes personal data is available here
http://www.cqc.org.uk/about-us/our-polic...

References

Visible links
1. https://www.cqc.org.uk/about-us/our-poli...
2. https://www.cqc.org.uk/about-us/our-poli...
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4. mailto:[email address]
5. mailto:[CQC request email]
6. http://www.cqc.org.uk/about-us/our-polic...

Information Access, Care Quality Commission

Dear Ms Perloff

 

I acknowledge receipt of your correspondence dated 6 July 2021, in which
you made a request for information

 

Your request is as follows:

 

“Of the Regulated Activities of the Health and Social Care Act,

 

1. How many breaches of

a) Regulation 10

b) Regulation 12

c) Regulation 16

d) Regulation 20

 

A) Did the CQC uphold in:

 

i. 2018

ii. 2019

iii.2020

 

B) Of those breaches upheld, how may were fined by the CQC in

 

i. 2018

ii. 2019

iii. 2020

 

C) For:

 

a) Regulation 10

b) Regulation 12

c) Regulation 16

d) Regulation 20

 

C) what was the average fine for the Regulation Breaches in:

 

i. 2018

ii. 2019

iii. 2020”

 

CQC will consider your request in accordance with the Freedom of
Information Act 2000 (FOIA).

 

Our statutory deadline for response is 3 August 2021, but we will in any
event endeavour to respond as soon as possible.

 

We will write to you if we are unable to meet this deadline.

 

Please be aware that there may be a delay in providing a response to your
request for information. The Information Access team are experiencing a
higher than usual workload at present due to the pandemic situation. We
are currently working through a backlog of work and will respond to each
request as soon as possible. We thank you for your patience.

 

The information you have requested may be subject to an exemption from the
right to know. Should this occur, we will explain the reasons why when we
respond.

 

Regards

 

On behalf of:

Information Access Team

Regulatory Customer & Corporate Operations 

 

Care Quality Commission

Citygate

Gallowgate

Newcastle upon Tyne

NE1 4PA

 

The Care Quality Commission is the independent regulator of health and
adult social care services in England. [1]www.cqc.org.uk. For general
enquiries, call the National Customer Service Centre (NCSC) on 03000
616161 or email [2][email address]

 

Personal data is processed in accordance with the General Data Protection
Regulation (GDPR) and relevant data protection law. Information on the
processing of personal data by CQC can be found at
[3]www.cqc.org.uk/about-us/our-policies/privacy-statement

 

Statutory requests for information made under access to information
legislation such as the Data Protection Act 2018, GDPR and the Freedom of
Information Act 2000 should be sent to: [4][CQC 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. Information on how the Care
Quality Commission processes personal data is available here
http://www.cqc.org.uk/about-us/our-polic...

References

Visible links
1. http://www.cqc.org.uk/
2. mailto:[email address]
3. http://www.cqc.org.uk/about-us/our-polic...
4. mailto:[CQC request email]

Information Access, Care Quality Commission

Dear Ms Perloff

 

Our Ref: CQC IAT 2122 0296

We acknowledge receipt of your correspondence addressed to the information
access team dated 6 July 2021 in which you made the following request for
information:

“Of the Regulated Activities of the Health and Social Care Act,

 

1. How many breaches of

a) Regulation 10

b) Regulation 12

c) Regulation 16

d) Regulation 20

 

A) Did the CQC uphold in:

 

i. 2018

ii. 2019

iii.2020

 

B) Of those breaches upheld, how may were fined by the CQC in

 

i. 2018

ii. 2019

iii. 2020

 

C) For:

 

a) Regulation 10

b) Regulation 12

c) Regulation 16

d) Regulation 20

 

C) what was the average fine for the Regulation Breaches in:

 

i. 2018

ii. 2019

iii. 2020”

CQC requires clarification of the following parts of your request before
we can proceed with your request.

Please can you clarify which specific regulation(s) you are requesting the
data for? The regulation numbers requested can have different names under
different regulations:

 

·       HSCA RA Regulations 2014

·       HSCA RA Regulations 2010

·       CQC Registration Regulations 2009

 

Example, Regulation 20 is 'Duty of candour' (under HSCA RA Regulations
2014) and this same regulation is 'Records' (under HSCA RA Regulations
2010). The same applies to the other regulations.

Requests can often be unclear or ambiguous with different potential
interpretations and where a public authority is not clear as to what is
being asked for, it can, in accordance with section 1(3) of the Freedom of
Information Act 2000 (FOIA), ask the applicant to clarify their request.

CQC will not proceed with responding to any part of your request until we
have received the clarification requested above. Once this is received, we
will notify you of the new due date for response.

If we do not receive a reply by 23 August 2021, we will assume that you do
not wish to continue with your request at this point in time. This does
not prejudice your right to make any requests for information in the
future.

Kind Regards

 

Yaasmeen

 

Yaasmeen Muhammed

Confidentiality, Privacy and Security Advisor

Governance & Legal Services – Information Access Team

Care Quality Commission

The Care Quality Commission is the independent regulator of all health and
adult social care in England. [1]www.cqc.org.uk. For general enquiries,
call the National Customer Service Centre (NCSC) on 03000 616161 or email
[2][email address].

Personal data is processed in accordance with the General Data Protection
Regulation (GDPR) and relevant data protection law. Information on the
processing of personal data by CQC can be found at:
[3]http://www.cqc.org.uk/about-us/our-polic...

Statutory requests for information made under access to information
legislation such as the GDPR and the Freedom of Information Act 2000
should be sent to: [4][CQC 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. Information on how the Care
Quality Commission processes personal data is available here
http://www.cqc.org.uk/about-us/our-polic...

References

Visible links
1. http://www.cqc.org.uk/
2. mailto:[email address]
3. http://www.cqc.org.uk/about-us/our-polic...
4. mailto:[CQC request email]

Dear Information Access,

i would have thought it was obvious that it would be the latest version of the Health and Social Care Act (REGULATED ACTIVITIES) 2014!

Yours sincerely,

liz perloff

Information Access, Care Quality Commission

Dear Ms Perloff

We acknowledge receipt of your email dated Friday 30 July 2021.

We will progress this request based on the Health and Social Care Act (Regulated Activities) 2014. Further to your email, our statutory deadline to respond has been updated to Friday 27th August, in line with the Freedom of Information Act. If there is a delay for any reason we will let you know.

Kind Regards

Information Access Team
Governance & Legal Services - Information Access Team
Care Quality Commission

The Care Quality Commission is the independent regulator of all health and adult social care in England. www.cqc.org.uk. For general enquiries, call the National Customer Service Centre (NCSC) on 03000 616161 or email [email address].

Personal data is processed in accordance with the General Data Protection Regulation (GDPR) and relevant data protection law. Information on the processing of personal data by CQC can be found at: http://www.cqc.org.uk/about-us/our-polic...

Statutory requests for information made under access to information legislation such as the GDPR and the Freedom of Information Act 2000 should be sent to: [CQC request email]

show quoted sections

Information Access, Care Quality Commission

Dear Ms Perloff

 

Our Ref: CQC IAT 2122 0296

I write to provide an update with regards to your request for information
made in accordance with the Freedom of Information Act (FOIA).

Our response to your request was due on Friday 27^th August 2021.

Please accept our sincere apologies on behalf of CQC for the delay in
responding to your request. We have been making every effort to respond to
you within the statutory deadline, however, on this occasion, we have not
been able to provide a response by the above date. We appreciate your
patience in this matter.

Due to the ongoing pandemic situation we are receiving a higher than usual
volume of requests whilst experiencing lower staff compliment, which
unfortunately is causing a delay to us responding to your request.

We take our responsibilities under FOIA very seriously and respond to over
90% of requests within the statutory deadline of 20 working days. We are
very sorry that we were unable to do so on this occasion.

 

A response will be provided to you as soon as possible.

 

With thanks and kind regards

 

Information Access Team

Governance and Legal Services

Customer & Corporate Services Directorate

Care Quality Commission

 

Email: [1][CQC request email]

 

show quoted sections

Information Access, Care Quality Commission

Dear Ms Perloff

 

I write to provide an update with regards to your request for information
made in accordance with the Freedom of Information Act 2000 (FOIA). Our
response was due on 27 August 2021.

 

Unfortunately, we are not currently able to respond to your request.

 

We take our responsibilities under FOIA very seriously and respond to over
90% of requests within the statutory deadline of 20 working days. We are
sorry that we were unable to do so on this occasion.

Please accept our sincere apologies on behalf of CQC for the delay in
responding to your request. We appreciate your patience in this matter.

Please be assured that we are making every effort to respond to your
request as soon as possible.

 

Yours sincerely

 

On behalf of:

Information Access team

 

For information about CQC, including contact details, information about
how we use and protect personal data, and how to request information from
us, go to [1]https://www.cqc.org.uk/contact-us

 

 

 

-------------- 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. Information on how the Care
Quality Commission processes personal data is available here
http://www.cqc.org.uk/about-us/our-polic...

References

Visible links
1. https://www.cqc.org.uk/contact-us

Information Access, Care Quality Commission

Dear Ms Perloff

 

I write in response to your correspondence of 6 July 2021 in which you
asked for information regarding regulatory action taken by CQC in 2018,
2019 and 2020 under HSCA 2008 Regulations 2014.

 

The statutory deadline for responding to an FOIA request is 20 working
days from the date when CQC received the request therefore you should have
received a response no later than close of business 27 August 2021.

 

The Information Access team is currently experiencing a higher than usual
workload coupled with a lower than usual staff complement. This has
created a backlog of work that we are working hard to clear, and therefore
regrettably our response to your request has been delayed.

 

We take our responsibilities under FOIA very seriously and in normal
circumstances respond to over 90% of requests within the statutory
deadline of 20 working days. We are sorry that we were unable to do so on
this occasion.

 

Please accept our sincere apologies on behalf of CQC for the delay in
responding to your request. Thank you for your patience in this matter.

 

The Information Access team has now coordinated a response to your
request.

 

CQC has considered your request in accordance with the Freedom of
Information Act 2000 (FOIA).

 

Our first obligation under the legislation is to confirm whether we do or
do not hold the requested information.

 

In accordance with section 1(1) of FOIA we are able to confirm that CQC
does hold recorded information in relation to this matter.

 

I will respond to each question in turn:

 

Of the Regulated Activities of the Health and Social Care Act,

 

1. How many breaches of

a) Regulation 10

b) Regulation 12

c) Regulation 16

d) Regulation 20

 

A) Did the CQC uphold in:

 

i. 2018

ii. 2019

iii.2020

 

2018

a) Regulation 10      -         368

b) Regulation 12      -         3065

c) Regulation 16      -         209

d) Regulation 20      -         34

 

2019

 

a) Regulation 10      -         307

b) Regulation 12      -         3025

c) Regulation 16      -         161

d) Regulation 20      -         48

 

2020

 

a) Regulation 10      -         105

b) Regulation 12      -         1479

c) Regulation 16      -         56

d) Regulation 20      -         20

 

B) Of those breaches upheld, how may were fined by the CQC in

 

i. 2018

ii. 2019

iii. 2020

 

2018   -         15 Fixed penalty notices

2019   -         19 Fixed penalty notices

2020   -         1 Fixed penalty notice

 

C) For:

 

a) Regulation 10

b) Regulation 12

c) Regulation 16

d) Regulation 20

 

C) what was the average fine for the Regulation Breaches in:

 

i. 2018

ii. 2019

iii. 2020

 

Average fine (fixed penalty notice):

2018

 

a) Regulation 10      -         £2000.00

b) Regulation 12      -         £1835.00

c) Regulation 16      -         £0.00

d) Regulation 20      -         £450.00

          

2019

          

a) Regulation 10      -         £0.00

b) Regulation 12      -         £2357.00

c) Regulation 16      -         £0.00

d) Regulation 20      -         £0.00

          

2020

 

a) Regulation 10      -         £0.00

b) Regulation 12      -         £4000.00

c) Regulation 16      -         £0.00

d) Regulation 20      -         £0.00

 

Please note that a fine (a fixed penalty notice) for a breach of
regulation is only one course of action available to CQC. More information
regarding the action we can take if we find a registered provider or
manager is in breach of the regulations can be found at the following
pages of our website:

[1]https://www.cqc.org.uk/guidance-provider...

[2]https://www.cqc.org.uk/guidance-provider...

CQC was established under the Health and Social Care Act 2008 and have a
range of functions and powers under that Act. These include the powers of
entry and inspection and a range of enforcement powers – including the
powers to issue fines for certain offences and to vary or cancel
registration to stop care services from being able to lawfully operate.

Section 86 of the Act allows that “where the commission [CQC] is satisfied
a person has committed a fixed penalty offence, the Commission may give
the person a penalty notice in respect of the offence”. The person (the
registered provider or manager of the service) may choose to pay the
penalty. If they do so, they may not be convicted of the offence to which
the penalty notice relates. A fixed penalty notice is therefore a part of
our enforcement powers in relation to the prosecution of offences. We use
these powers to discharge our main objective (under section 3 of the Act)
to protect and promote health, safety and welfare of people who use health
and social care services.

In relation to the figures provided for 2020, please note that on [3]16
March 2020, CQC announced a pause on routine inspections and that during
the COVID-19 pandemic, the CQC’s primary objective would be to support
providers to keep people safe during a period of unprecedented pressure on
the health and care system. Throughout this period, CQC has taken a
risk-based approach to focus the use of our inspection powers on cases
when there is clear evidence of harm, such as allegations of abuse.

Advice and assistance

Under section 16 of the Freedom of Information Act 2000 (and in accordance
with the section 45 code of practice) we have a duty to provide you with
reasonable advice and assistance.

If you need any independent advice about individual’s rights under
information legislation you can contact the Information Commissioner’s
Office (ICO).

The ICO is the UK’s independent authority set up to uphold information
rights in the public interest, promoting openness by public bodies and
data privacy for individuals.

The contact details for the ICO are detailed below.

There is useful information on the ICO website explaining the rights of
individuals:

[4]www.ico.org.uk/your-data-matters

CQC Complaints and Internal Review procedure

If you are not satisfied with our handling of your request, then you may
request an internal review.

Please clearly indicate that you wish for a review to be conducted and
state the reason(s) for requesting the review.

Please note that it is usual practice to accept a request for an internal
review within 40 working days from the date of this response. The FOIA
code of practice advises that public authorities are not obliged to accept
internal reviews after this date.

Please be aware that the review process will focus upon our handling of
your request and whether CQC have complied with the requirements of the
Freedom of Information Act 2000. The internal review process should not be
used to raise concerns about the provision of care or the internal
processes of other CQC functions.

If you are unhappy with other aspects of the CQC's actions, or of the
actions of registered providers, please see our website for information on
how to raise a concern or complaint:

[5]www.cqc.org.uk/contact-us

To request a review please contact:

Information Access

Care Quality Commission

Citygate

Gallowgate

Newcastle upon Tyne

NE1 4PA

E-mail: [6][CQC request email]

 

Further rights of appeal exist to the Information Commissioner’s Office
under section 50 of the Freedom of Information Act 2000 once the internal
appeals process has been exhausted.

The contact details are:

Information Commissioner's Office

Wycliffe House

Water Lane

Wilmslow

SK9 5AF

Telephone: 0303 123 1113

Website: [7]www.ico.org.uk

CQC will always endeavour to provide high quality responses to requests
for information and seek to be as helpful as possible. We would therefore
appreciate if you can take some time to complete our online feedback form
by visiting the following link:

[8]https://surveys.cqc.org.uk/InformationAc...

Any information you provide will be held securely and only used for the
purposes of improving the Information Rights service that CQC provides.

Yours sincerely

Emma Smith (pronouns: she/her)

Information Access Officer

Contact phone number: 03000 616161
 
For information about CQC, including contact details, information about
how we use and protect personal data, and how to request information from
us, go to [9]https://www.cqc.org.uk/contact-us

 

 

 

 

-------------- 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. Information on how the Care
Quality Commission processes personal data is available here
http://www.cqc.org.uk/about-us/our-polic...

References

Visible links
1. https://www.cqc.org.uk/guidance-provider...
2. https://www.cqc.org.uk/guidance-provider...
3. https://www.cqc.org.uk/news/releases/cqc...
4. http://www.ico.org.uk/your-data-matters
5. http://www.cqc.org.uk/contact-us
6. mailto:[CQC request email]
7. http://www.ico.org.uk/
8. https://surveys.cqc.org.uk/informationac...
https://surveys.cqc.org.uk/InformationAc...
9. https://www.cqc.org.uk/contact-us

We don't know whether the most recent response to this request contains information or not – if you are liz perloff please sign in and let everyone know.