1.1. Describe the relationship between legislation, policies and procedures

This guide will help you answer 1.1. Describe the relationship between legislation, policies and procedures.

Legislation, policies, and procedures all play essential roles in creating a safe, fair, and effective environment within health and social care. They are interconnected and work together to ensure practices are compliant with the law, protect all individuals, and promote high standards of care. Understanding how these three elements relate to one another is important for anyone working in the sector.

What is Legislation?

Legislation refers to laws made by the government. These laws set out the legal duties and responsibilities for individuals and organisations. They provide the framework for how health and social care should be delivered and ensure that people’s rights are upheld.

Examples of legislation relevant to health and social care include:

• The Health and Safety at Work Act 1974 – Ensures employers provide a safe working environment for staff and service users.
• The Equality Act 2010 – Protects individuals from discrimination in the workplace and during the delivery of care.
• The Data Protection Act 2018 (incorporating the UK GDPR) – Regulates how personal, sensitive information should be handled and stored.

Legislation is non-negotiable. All organisations and workers must comply with the law or face consequences such as penalties, dismissal, or even legal action.

What Are Policies?

Policies are written documents created by organisations that explain how they plan to comply with legislation. They outline principles and expectations for staff to follow. Policies are often specific to each organisation but are based on the overarching laws that apply to all organisations in the health and social care sector.

For example:

• A policy on confidentiality would be designed to meet the requirements of the Data Protection Act 2018.
• A health and safety policy would reflect the obligations of the Health and Safety at Work Act 1974.

Policies provide a clear guide for staff on the organisation’s stance, values, and commitments. They bridge the gap between broad legal requirements and the practicalities of day-to-day working.

What are Procedures?

Procedures are the step-by-step instructions staff follow to implement the organisation’s policies. They ensure that policies are put into action consistently and correctly. Procedures describe what needs to happen, who is responsible, and how tasks should be carried out.

For instance:

• A confidentiality procedure might include how to identify authorised personnel who can access specific information or how to correctly dispose of sensitive documents.
• A health and safety procedure could detail the process of reporting a hazard, conducting a risk assessment, or using personal protective equipment (PPE).

Procedures are essential in operationalising policies and keeping everything running smoothly.

Differences and Connections

Although legislation, policies, and procedures have distinct roles, they rely on one another. Here’s how they connect:

1. Legislation leads policies.
   Organisations develop policies to ensure they comply with specific legal requirements. For instance, since the Equality Act 2010 prohibits discrimination, organisations must create an Equal Opportunities Policy.
2. Policies outline principles but need procedures to guide action.
   A policy might state that employees “must ensure confidentiality at all times,” but a corresponding procedure explains how to achieve this, such as encrypting digital files or locking filing cabinets.
3. Procedures support compliance with legislation.
   Workers following procedures properly are indirectly meeting legislative requirements. For example, providing staff with manual handling training ensures the organisation meets its requirements under health and safety laws.

Why This Relationship Matters

Having clear links between all three elements ensures legal compliance, protects individuals, and maintains professional standards. It also clarifies expectations for staff.

Clear procedures based on well-written policies grounded in legislation avoid confusion. When procedures fail to reflect policy or legislation, care workers might act inappropriately or unsafely. This could result in harm to service users and legal repercussions for the organisation.

Practical Examples of the Relationship

Understanding this relationship can seem abstract, so examples from health and social care settings can bring it to life:

Example 1: Safeguarding Adults

• Legislation: The Care Act 2014 requires safeguarding practices to prevent harm and abuse.
• Policy: An organisation drafts a Safeguarding Policy that commits to identifying, addressing, and reporting safeguarding issues.
• Procedure: The procedure explains how staff should report concerns, including contacting the Designated Safeguarding Officer (DSO) and recording incidents correctly.

Example 2: Infection Control

• Legislation: The Public Health (Control of Disease) Act 1984 ensures measures are in place to control infectious diseases.
• Policy: The organisation develops an Infection Control Policy that details how to minimise the spread of infection.
• Procedure: Clear steps are written on activities such as handwashing, decontaminating equipment, and disposing of clinical waste.

Example 3: Manual Handling

• Legislation: The Manual Handling Operations Regulations 1992 require organisations to avoid hazardous manual handling.
• Policy: An organisation produces a policy aiming to reduce manual handling risks to staff and service users.
• Procedure: Staff are trained to assess moving and handling situations, use equipment, and avoid unnecessary physical effort.

The Consequences of Disconnection

If legislation, policies, and procedures diverge or fail to connect effectively, several risks arise:

• Workers may unknowingly breach the law, as they lack clear guidance.
• Service users could experience harm, neglect, or discrimination.
• Organisations could face lawsuits, fines, or loss of their licence to operate.
• Staff may feel unsupported, unsure of their responsibilities, and prone to making mistakes.

Ultimately, poor alignment reduces the quality of care and the trust placed in health and social care providers.

Regular Reviews and Updates

Legislation can change over time. This requires organisations to update their policies and procedures to ensure they meet new legal standards. Neglecting this process can create gaps between what the law requires and what actually happens in practice.

For example, when the Data Protection Act 1998 was replaced with the Data Protection Act 2018 and UK GDPR, organisations needed to revise their data policies and associated procedures to remain compliant.

Steps for Effective Alignment

Organisations benefit from aligning legislation, policies, and procedures effectively. Some practical steps include:

• Training staff on key laws relevant to their role.
• Reviewing policies annually to align them with current legislation.
• Consulting legal or sector experts when drafting policies.
• Involving staff in the development of procedures, as they have practical insight into what works.
• Undertaking audits to ensure procedures are being followed and are still appropriate.

Final Thoughts

Legislation, policies, and procedures are interconnected tools that maintain safe and lawful care. While legislation sets the boundaries for practice, policies interpret and contextualise these laws for organisations, and procedures make them practical and actionable. By ensuring that these three elements align, organisations promote effective working, protect everyone’s rights, and maintain a compliant and professional environment. Health and social care workers should always understand the importance of each component and their role in implementing them correctly.