Training, competency and mandatory training procedure checklist

Source anchors

How to use this checklist

Use this checklist to audit whether the service can show that staff are trained, competent and restricted from tasks they cannot yet do safely. It can be used monthly, after a training audit, after an incident linked to competence, before governance review, or before an inspection-readiness review.

This checklist treats training as a safety control, not as a certificate folder. It checks whether learning is assigned, completed, understood, refreshed and applied in practice.

For each row, record:

Met: evidence is current and complete.
Part met: evidence exists but has a gap or needs follow-up.
Not met: evidence is absent or the control is not working.
Not applicable: the service does not carry out this activity.

Every Part met or Not met item should create an action with an owner and due date.

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Service details

Field	Local entry
Service name
Location
Date completed
Completed by
Registered Manager
Training Lead
Clinical Lead or role lead
Period reviewed

1. Training requirements and matrix

Check	Evidence to review	Status	Action owner	Due date
Training needs analysis is current by role.	Training needs analysis, role list.
Training matrix shows required, completed, due and overdue topics.	Training matrix.
Refresher cycles are defined and tracked.	Matrix, policy, assurance calendar.
Learning disability and autism training level is matched to role.	Training matrix, role mapping.
Professional-regulator or CPD requirements are identified where relevant.	Registration record, CPD tracker.
Matrix is reviewed at the stated cadence.	Review record, governance minutes.

2. Induction and pre-start controls

Check	Evidence to review	Status	Action owner	Due date
New starters receive local induction before unsupervised work.	Induction record.
Urgent safety topics are completed before relevant duties.	Training matrix, restriction note.
Role-specific training plan is assigned.	Training plan, line-manager note.
Supervisor, buddy or assessor is named where needed.	Induction plan, rota.
Agency, bank, contractor or locum staff receive local safety induction.	Local induction record.
Induction gaps have controls, supervision and deadlines.	Exception record, action log.

3. Mandatory and role-specific training

Check	Evidence to review	Status	Action owner	Due date
Mandatory topics match the service model and people using the service.	Topic list, statement of purpose.
Safeguarding, IPC, fire, health and safety, incident and information-governance training are current where required.	Training matrix.
Clinical, medicines, equipment, moving and handling or driving topics are assigned where relevant.	Role-specific training plan.
Training evidence is retained and traceable to the person.	Certificates, attendance records.
Training provider or content quality is checked where needed.	Provider record, course outline.
Overdue training is escalated before it becomes a safety gap.	Overdue report, action log.

4. Competence and restricted tasks

Check	Evidence to review	Status	Action owner	Due date
Competency assessments are defined for tasks where certificates are not enough.	Competence framework.
Assessors are competent to sign off practice.	Assessor record, role lead sign-off.
Observed or supervised practice is recorded where required.	Observation record, supervised-practice log.
Staff know which tasks they may not perform until signed off.	Restriction note, staff interview.
Rota or duty leads know about restricted tasks.	Rota note, handover record.
Competence concerns trigger supervision, retraining or restriction.	Supervision note, action log.

5. Professional development and ongoing review

Check	Evidence to review	Status	Action owner	Due date
CPD and revalidation needs are visible where professional registration applies.	CPD tracker, appraisal record.
Training needs from incidents, complaints, safeguarding and audits are added to the matrix or action log.	Incident review, audit action.
Staff learning needs are reviewed in supervision or appraisal.	Supervision record, appraisal record.
Training records are updated when roles or duties change.	Role-change record, matrix update.
Refresher training is scheduled before expiry.	Assurance calendar, matrix.
Staff can raise learning or confidence concerns without blame.	Staff interview, supervision themes.

6. Governance and assurance

Check	Evidence to review	Status	Action owner	Due date
Training audit runs at a stated cadence.	Audit schedule, completed audit.
Governance reviews overdue training, competence checks and restrictions.	Governance minutes, dashboard.
Training-related risks are added to the risk register where needed.	Risk register, action log.
Overdue actions have owners, due dates and completion evidence.	Improvement actions.
Repeated gaps are reviewed as management or workforce themes.	Governance minutes, supervision themes.
Registered Manager signs off serious training-risk decisions.	Decision note, risk assessment.

7. Summary judgement

Question	Answer
Which training or competence gap creates the highest current risk?
Which role or task has the weakest competence evidence?
Which staff member or team has repeated overdue training?
Which restriction, refresher or action is overdue?
What would a CQC inspector see if they asked for training evidence today?

8. Action log

Action	Source check	Owner	Due date	Completion evidence

9. Completion

Sign-off	Name	Date
Completed by
Reviewed by Registered Manager

This checklist is a working tool. It does not replace live regulator guidance, professional-regulator requirements, employment law advice, safeguarding advice, occupational-health advice, clinical judgement or sector-specific training standards.