Survelix CQC Compliance Resource
Staff Competency and Training Compliance Matrix
Mandatory training tracker, competency framework, supervision log, and induction checklist
About this matrix
Inadequate training compliance is found in a significant majority of Requires Improvement reports. Inspectors specifically check whether training records are current, whether expired training has been identified before inspection, and whether there is evidence that non-compliant staff were not scheduled to work with service users during the lapse period. This matrix is built from real inspection findings. Authored by Cheta Ikemsinachi Ogbuzuru.
Critical compliance note
From September 2025, Oliver McGowan Mandatory Training (Tier 1 and 2) is a statutory requirement under the Health and Care Act 2022. Evidence of completion must be available at CQC inspection. Non-compliance is a direct regulatory breach.
Complete the staff initials or reference numbers in the header row. Mark each cell as C (Complete), E (Expired), P (Pending), or N/A. Highlight any E (Expired) cells in red before inspection.
| Training Subject | Frequency | Reg. Ref | Staff 1 | Staff 2 | Staff 3 | Staff 4 | Staff 5 | Staff 6 | Staff 7 | Staff 8 | Staff 9 | Staff 10 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Safeguarding Adults (Level 2) | Annual | Reg 13 | ||||||||||
| Safeguarding Children (Level 1) | Annual | Reg 13 | ||||||||||
| Fire Safety | Annual | Reg 15 | ||||||||||
| Health and Safety | Annual | Reg 15 | ||||||||||
| Manual Handling (Theory) | Annual | Reg 12 | ||||||||||
| Manual Handling (Practical) | Annual | Reg 12 | ||||||||||
| Mental Capacity Act and DoLS | Annual | Reg 11 | ||||||||||
| Infection Prevention and Control (Level 1) | Annual | Reg 12 | ||||||||||
| Medicines Awareness | Annual | Reg 12 | ||||||||||
| Equality and Diversity | 3 Years | Reg 10 | ||||||||||
| Dementia Awareness | Annual | Reg 9 | ||||||||||
| Communication | 3 Years | Reg 9 | ||||||||||
| Privacy and Dignity | 3 Years | Reg 10 | ||||||||||
| Nutrition and Hydration | 3 Years | Reg 14 | ||||||||||
| Oliver McGowan: Autism and Learning Disability (Tier 1) | 3 Years | H&CA 2022 | ||||||||||
| Oliver McGowan: Autism and Learning Disability (Tier 2) | 3 Years | H&CA 2022 | ||||||||||
| Basic Life Support (BLS) | Annual | Reg 12 | ||||||||||
| Care Certificate (12 Standards) | Induction | SfC | ||||||||||
| Data Protection and GDPR Awareness | 3 Years | UK GDPR | ||||||||||
| Duty of Candour | Annual | Reg 20 | ||||||||||
| Compliance % | __ | __ | __ | __ | __ | __ | __ | __ | __ | __ |
Key: C = Complete and current | E = Expired | P = Pending / booked | N/A = Not applicable to this role
Supervision must be carried out at the frequency stated in the supervision policy (typically every 6-8 weeks). Inspectors examine supervision records to confirm they include two-way discussion, professional development, wellbeing, and competency review. Records that simply show a date and signature without content are not accepted as evidence of effective supervision.
| Staff Name / Ref | Role | Last Supervision Date | Next Due Date | Supervisor Name | Topics Covered | Development / Actions Agreed | Staff Signature | Supervisor Signature |
|---|---|---|---|---|---|---|---|---|
Complete this checklist for every new starter. The Care Certificate must be signed off within 12 weeks of start date. Inspectors check whether new starters worked unsupported with service users before completing induction. This is a frequent source of Requires Improvement findings.
| # | Induction Item | Completed | Date | Supervisor Sign | Staff Sign |
|---|---|---|---|---|---|
| 1 | DBS check received and verified. Enhanced DBS required for this role | ||||
| 2 | Right to work check completed and documented. Original documents verified | ||||
| 3 | References received (minimum 2, including most recent employer). References reviewed and satisfactory | ||||
| 4 | Employment contract and statement of terms signed and copy given to employee | ||||
| 5 | Mandatory training (Days 1-3): Safeguarding, Fire Safety, Manual Handling, MCA, IPC, BLS | ||||
| 6 | Health and Safety induction: fire exits, evacuation procedure, first aiders, accident reporting | ||||
| 7 | Medicines awareness training completed. Medicines administration competency assessed before unsupported administration | ||||
| 8 | Shadowing period completed (minimum 5 days). Shift buddy signed off readiness to work independently | ||||
| 9 | Care Certificate Standard 1: Understanding your role | ||||
| 10 | Care Certificate Standard 2: Your personal development | ||||
| 11 | Care Certificate Standard 3: Duty of care | ||||
| 12 | Care Certificate Standard 4: Equality and diversity | ||||
| 13 | Care Certificate Standard 5: Work in a person-centred way | ||||
| 14 | Care Certificate Standard 6: Communication | ||||
| 15 | Care Certificate Standard 7: Privacy and dignity | ||||
| 16 | Care Certificate Standard 8: Fluids and nutrition | ||||
| 17 | Care Certificate Standard 9: Awareness of mental health, dementia, and learning disability | ||||
| 18 | Care Certificate Standard 10: Safeguarding adults | ||||
| 19 | Care Certificate Standard 11: Safeguarding children | ||||
| 20 | Care Certificate Standard 12: Basic life support | ||||
| 21 | Care Certificate Standard 13: Health and safety | ||||
| 22 | Care Certificate Standard 14: Handling information | ||||
| 23 | Care Certificate Standard 15: Infection prevention and control | ||||
| 24 | Oliver McGowan Tier assigned and booked (Tier 1 or Tier 2 as applicable to role) | ||||
| 25 | First supervision completed. Development needs and probation objectives recorded |
Competency must be observed, not simply declared. The assessor must observe the staff member performing the task and confirm the standard is met. Written observation records are required for clinical and medicines competencies.
| Competency Area | Assessment Method | Assessor Qualification Required | Pass Standard | Renewal |
|---|---|---|---|---|
| Medicines Administration | Observed competency assessment x2 | Registered Nurse or trained assessor | Zero errors on observation. Able to answer 10/10 knowledge questions | Annual |
| Manual Handling: Hoist | Practical observation | Manual handling trained lead | Correct technique for specified equipment. No unsafe movements | Annual |
| Manual Handling: Transfers | Practical observation | Manual handling trained lead | Correct technique for all transfer types used in this service | Annual |
| PEG/Enteral Feeding | Observed assessment + knowledge check | Registered Nurse or specialist dietitian | Able to demonstrate full procedure safely without prompting | Annual |
| Subcutaneous Injections | Observed assessment | Registered Nurse | Correct technique and documentation. Awareness of anaphylaxis response | Annual |
| Complex Epilepsy Management | Written and observed assessment | Specialist nurse or SUDEP ACTION trained | Knows individual's seizure protocol. Correct rescue medication use | Annual |
| Tracheostomy Care | Observed assessment | Registered Nurse with tracheostomy competency | Full procedure demonstrated without prompting | Annual |
| End of Life / Syringe Driver | Training + observed assessment | Registered Nurse or palliative care specialist | Correct documentation, observation frequency, and escalation pathway | Annual |
| Catheter Care | Observed assessment | Registered Nurse | Correct IPC technique. Awareness of signs of infection and escalation | Annual |
| BLS / CPR | Annual practical assessment | BLS trained assessor | Correct compressions and ventilation. AED use demonstrated | Annual |