Minimum FTE Commitment Compliance Check

Inspection template to verify that a client program's dedicated certified headcount meets the contracted minimum FTE commitment at all times, with supporting roster, schedule, and exception evidence.

Inspection Scope and Contract Requirement

• Client program and inspection period are identified
  Record the client program name, site or team, and the date range being reviewed.
• Contracted minimum FTE commitment is documented
  Enter the contracted minimum dedicated certified headcount required for the program.
• Source document for staffing commitment is attached or referenced
  Reference the contract, statement of work, amendment, or client-approved staffing baseline used for this check.

Dedicated Certified Headcount Verification

• Current dedicated certified headcount meets or exceeds the contracted minimum
  Enter the current verified headcount assigned to the program.
• All counted staff are dedicated to the client program
  Confirm the headcount counted for compliance is dedicated to the client program and not shared against another commitment.
• All counted staff hold the required certification or qualification
  Confirm each counted team member meets the program's required certification, licensing, or qualification criteria.
• Headcount calculation method is documented
  Describe how FTE was calculated, including rounding rules, inclusion/exclusion criteria, and whether part-time staff were prorated.

Roster, Schedule, and Attendance Evidence

• Approved roster matches the verified headcount
  Confirm the roster or staffing list aligns with the headcount used for compliance.
• Schedule coverage supports the minimum FTE for the full review period
  Confirm published schedules show the contracted minimum was planned across all required operating hours.
• Attendance or timekeeping records support actual coverage
  Confirm attendance, timekeeping, or workforce management records support the actual staffed hours for the period reviewed.
• Any absences, attrition, or leave events affecting coverage are documented
  Record any leave, resignation, no-show, or other staffing event that reduced coverage below the planned level, if applicable.

Exceptions and Coverage Gaps

• No coverage gap below the contracted minimum occurred during the review period
  Confirm there were no periods where the dedicated certified headcount fell below the contracted minimum.
• Any temporary shortfall was approved by the client or contract owner
  If a shortfall occurred, confirm there is documented approval, waiver, or amendment covering the exception.
• Duration and impact of each exception are recorded
  Document the date, start and end time, number of FTE short, and operational impact for each exception.
• Root cause for any staffing deficiency is identified
  Describe the cause of any deficiency, such as attrition, training delay, leave coverage, or scheduling error.

Corrective Actions and Sign-Off

• Corrective action plan is documented for any deficiency
  Record the corrective action, owner, and due date for restoring and maintaining the contracted minimum FTE commitment.
• Preventive controls are in place to monitor ongoing compliance
  Select the controls used to prevent future staffing shortfalls.
• Inspector sign-off completed
  Inspector confirms the findings are accurate and complete.