Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:36:p5
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 36 (pt 5/8)
Character Range: 99063–101902

3 registration groups, and one of them (community nursing care) is listed in Annex D.  A total of 12 participants receive a mix of services and supports from the provider (including community nursing care), but 8 receive only community nursing care.

‑ The Annex D participants for Provider Y is 8.

When step 3 is applied (total participants – Annex D participants), the sample population number for Provider Y is 32.

Because the sample population number is greater than 5, approved quality auditor X must apply Step 5 to determine the minimum sample size.

‑ The square root of the sample population number is 5.65, which is rounded up to 6.

The minimum sample size for provider Y is 6.  This means that approved quality auditor X must consider 6 participant files and 6 participant interviews.

Where an approved quality auditor finds non‑conformity within the minimum sample sizes the sample size shall be increased by the number of non‑conformities to verify whether the case is a system or process failure or a one‑off anomaly.

B.5 Sample Composition – files and interviews

    (a) Where a provider is registered for a high risk registration class or group (see B.2), the sample must include participant files and participant interviews from all applicable highest risk registration groups. Where the random sample does not include these participants, the sample should be reselected until participants from the highest risk registration groups are included.
    (b) The sample should include participant files and interviews from every site included within the sample (in line with multi‑site sampling requirements – see B.6)). Sites where supports or services belonging to a high risk registration group are delivered to participants should be included within the sample. If some high risk registration groups are excluded from the sample, due to the sample size, those sites that were not included should be sampled in the next or subsequent audit.
    (c) Approved quality auditors shall not allow the provider to pre‑select samples.  This requirement applies to samples of workers and participants as well as participant files.
    (d) Approved quality auditors shall work with the provider to ensure that there is diversity within the sample across the audit cycle and subsequent audit cycles ‑ this is to reduce the risk that the same participants or files are included within the audit sample for mid‑term audits or recertification audits.
    (e) The workers sampled shall include workers in governance, management and service delivery roles, from all shifts (where applicable).

          Note: This requirement may be achieved by interviewing workers working on a day or afternoon shift who also work night shifts as part of rotating duties or relief duties.
B.6 Sample Size and Composition – attendance at site
Where