1.1 Summarise regulation, policies and codes of practice in relation to professional development

This guide will help you answer 1.1 Summarise regulation, policies and codes of practice in relation to professional development.

Understanding regulation, policies and codes of practice shapes your approach to professional development in health and social care. These frameworks set standards for safe, ethical and high-quality care. They even decide how you learn and improve at work. You are expected to meet these rules every day, both for your own benefit and for the people you support.

Regulation

Regulation involves laws or rules created by government bodies to set out minimum requirements for health and social care workers and organisations. These laws help protect people using services and guide workers to act in safe, respectful and effective ways.

Regulatory Bodies

Health and social care is overseen by several regulators. The most widely known bodies include:

• Care Quality Commission (CQC): Regulates care providers in England. Checks if services are safe, effective, caring, responsive and well-led.
• Nursing and Midwifery Council (NMC): Registers nurses and midwives. Sets standards for training, conduct and performance.
• Health and Care Professions Council (HCPC): Covers a range of professional roles, such as social workers, paramedics and occupational therapists.
• General Medical Council (GMC): Sets standards for doctors.

These bodies inspect services, register qualified workers, set codes of practice, and investigate concerns. They issue guidance on continuing professional development (CPD).

Legal Requirements Overseeing Professional Development

Several pieces of legislation affect professional development, such as:

• The Health and Social Care Act 2008: Sets general duties for quality, training, and suitability of staff.
• Data Protection Act 2018: Protects people’s information and shapes training and professional behaviour around confidentiality.
• Equality Act 2010: Requires fair treatment and training on discrimination and inclusion.
• Safeguarding Vulnerable Groups Act 2006: Places emphasis on training related to protecting adults and children.

Registration requirements for regulated professions often include evidence of ongoing learning. This shows that workers update their skills and knowledge throughout their careers.

Policies

Policies are written statements of intention shared by organisations or government. They state what needs to be done and how staff are expected to behave.

Organisational Training and Development Policies

Most workplaces have their own policies about professional development. These recognise training as a way to improve safety and service quality. Professional development activities in policies might involve:

• Mandatory training, like health and safety or safeguarding
• Support for the Care Certificate (for new care workers)
• Study leave or time off for certain courses
• Encouragement for apprenticeships and recognised qualifications, such as Diplomas

These policies are often shaped by government requirements, industry best practice, and local needs. They support staff to keep up-to-date with new techniques, legislation and care approaches.

Appraisal and Supervision

Organisations use policies on appraisal and supervision to support worker development. Supervision means regular meetings with your manager to talk about your progress, discuss problems and set goals. Appraisals focus on performance over the year and look at future learning needs.

Key points found in many supervision and appraisal policies are:

• Regular formal meetings (often every 4–6 weeks)
• Open discussion of strengths and areas for improvement
• Setting clear, realistic, time-bound development goals
• Identifying training needs and opportunities

Adhering to these policies supports a culture of learning and safety.

Professional Development Plans

Many organisations require workers to have individual development plans (sometimes called personal development plans – PDPs). These set out what you need to learn, why, and how you will do it. PDPs may be monitored during supervision. They keep your training on track.

Elements in a development plan policy might include:

• Skills assessment
• Setting objectives based on job role and wider standards
• Choosing methods of learning (for example, shadowing, e-learning or workshops)
• Dates for review and completion

Codes of Practice

Codes of practice are formal guidelines set by professional, sector, or regulatory organisations. They show how workers should behave and how to meet the minimum standards of care.

Sector-Wide Codes

Two key sets of codes shape all health and social care work:

• The Code of Conduct for Healthcare Support Workers and Adult Social Care Workers in England
• The NMC Code (for nurses and midwives)

The Code of Conduct for Healthcare Support Workers

This code outlines the way all support workers must behave. It includes requirements to:

• Treat people with respect and dignity
• Put individuals at the centre of their care
• Communicate with openness and honesty
• Maintain and improve knowledge and skills

This means all support workers must keep their skills up-to-date. Failing to meet this code could mean action by the regulator or employer.

NMC Code

For nurses and midwives, the NMC Code sets out key standards of behaviour. The code stresses that registrants “keep your knowledge and skills up to date” and “take part in appropriate learning and practice activities that maintain and develop your competence and performance”.

You must keep a record of this learning and reflect on how it shapes your practice. This learning can involve formal courses, self-directed reading, or practical learning with colleagues. Failure to meet these standards can affect your registration.

Social Work England Professional Standards

Social workers must follow standards set by Social Work England. Standard 4, “Maintain my continuing professional development,” means that social workers have to:

• Keep their knowledge and skills current
• Reflect on learning
• Meet the requirements for registration renewal, including evidence of CPD

This system protects people receiving care.

Skills for Care Guidance

Skills for Care supports the social care sector to improve quality by helping organisations manage training and staff development. Their guidance includes:

• Advice on the Care Certificate
• Best approaches to induction and learning
• Information on funding for qualifications

Many organisations use these materials to make sure workers follow best practice.

How Regulation, Policies and Codes Shape Day-To-Day Professional Development

Professional development means improving your knowledge, skills and competence. Regulation, policies and codes all work together to make professional development a routine part of every role.

Regulatory Requirements for Professional Development

Regulators, such as the NMC and HCPC, formally require proof of ongoing learning as a condition for staying on their register. You may need to prove you have completed set hours of CPD, attended relevant training, or updated your skills to meet new standards.

This might include:

• Learning from supervision and feedback
• Attendance at in-service or external training
• Reflecting on practice and recording it
• Demonstrating learning applied in work situations

Being part of a regulated profession often means you must show evidence of CPD when re-registering every year or every three years.

Organisational Requirements

Workplaces often require completion of annual refresher courses, like first aid, manual handling, fire safety or infection control. Workers may need to follow ‘competency frameworks’ set out by their employer. These frameworks list what you need to be able to do at each level of your career.

Organisations also provide in-house and external training, mentor schemes, apprenticeships and support for qualifications. Completion of training is often monitored and linked to pay, promotion, or contract renewal.

Codes of Practice as Everyday Guidance

Codes of practice shape how you act in professional situations. When you face dilemmas or uncertainty, the code will guide your choices about learning or seeking help.

For example, if a new procedure is introduced, the code expects you to find out how to do it properly before trying it. If you see unsafe practice, you have a responsibility to speak up and learn from it. This protects both people using services and your colleagues.

PDPs and Reflective Practice

A major part of professional development is reflection—thinking about what went well, what could be improved, and how you can do it better next time. Supervision sessions and PDPs build reflection into your working life.

You may be asked to:

• Record learning events and reflect on how they have changed your practice
• Set goals for new learning
• Discuss barriers to development (such as time, confidence, or resources)
• Access training that meets individual needs, like communication or IT skills

Employers expect you to complete PDPs. You may be assessed on your engagement with PDPs and reflection as part of performance management.

Professional Development in Health and Social Care

Professional development is not just a tick-box exercise. It builds your confidence, skills, and ability to respond to change at work. It enables you to:

• Meet legal and professional requirements
• Protect people you support by following best practice
• Deal with new and complex care situations
• Build your career and move into new roles
• Satisfy the expectations of regulators and inspectors

Regular training improves recruitment, retention and morale. Services perform better when staff are well-trained and motivated.

Balancing Statutory, Organisational, and Personal Learning Needs

You must balance many demands for learning. Some learning is statutory, which means it is required by law or regulation—like safeguarding or medication training. Other training is set by your employer, for instance, learning about organisational policies or IT systems.

Personal development allows you to identify your own interests—such as specialising in dementia care or leadership. Good managers will encourage a mix of statutory, organisational and personal learning to make development meaningful for you.

Supporting Professional Development in Practice

Workplaces should provide access to suitable learning resources. Support has several forms:

• Protected time during the working day for training or study
• Access to e-learning platforms and reading material
• Shadowing experienced colleagues
• One-to-one or group supervision
• Feedback from managers and people using the service
• Clear and realistic development plans, agreed and reviewed with your supervisor

Workers play an active part—asking questions, reflecting, seeking opportunities and recording progress.

Barriers to Professional Development

Challenges often arise, including:

• Lack of time due to work pressures
• Limited access to courses or funding
• Gaps in information about what is required
• Staff attitudes, such as reluctance to reflect or change
• Inconsistent management support

Good policies recognise these and offer practical support, like flexible working, online options, or mentoring schemes.

The Impact of Non-Compliance

Failing to comply with regulations, policies and codes of practice in professional development risks:

• Poor service user outcomes and safety incidents
• HR action (disciplinary or capability procedures)
• Loss of registration and ability to practice
• Damage to personal or organisational reputation
• Legal penalties for employers or individuals

Workers are expected to ask for help if unsure about training needs or how to meet them.

Final Thoughts

Regulation, policies and codes of practice exist to set clear rules and guidance on professional development in health and social care.

Workers have a responsibility to keep up-to-date and make the most of all opportunities. This benefits both their career and the people they support. Approaching professional development with commitment and openness builds a positive culture for everyone.

If you need further help in your workplace, speak to your supervisor or training lead. They will help you understand expectations and identify ways to grow and improve in line with regulation, policies and codes of practice.