Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:36:p3
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 36 (pt 3/8)
Character Range: 93692–96723

and prestige of auditors by continuing to develop their own auditing skills;
    • not misrepresent their own or any other individual's qualifications, competence or experience nor undertake auditing work beyond the scope of their own qualifications knowledge and expertise;
    • not enter into any activity that may be in conflict with the best interests of the Commission or the approved quality auditor or that would prevent the performance of their duties in an objective manner.

Annex B – Audit methodology and sampling (normative)
Note: During a modified NDIS RAC audit, sampling is to be undertaken in accordance with this annex and having regard to the matters dealing with sampling set out in the Commissioner's approved "Modified NDIS audit pathway for residential aged care providers supporting NDIS participants" document as existing from time to time and published on the Commission website.

B.1 Evidence Based Auditing
When conducting audits against the NDIS Practice Standards the approved quality auditor shall consider participants' experiences of supports as an important part of the triangulation of evidence.  In the collection of evidence, the principles of sampling apply to the review of documents, interview attendee selection and observations.

B.2 High Risk Registration Classes/Groups
Sampling shall be prioritised to those registration classes/groups or service processes that are of the 'highest risk'. These are:
     (a) High Intensity Daily Personal Activities;
     (b) Specialist Positive Behaviour Support (whether Module 2 and/or 2A);
     (c) Early Intervention for Early Childhood;
     (d) Specialist Disability Accommodation; and
     (e) Specialist Support Coordination
B.3 Sample Methodology
The approved quality auditor shall take appropriate steps to ensure that the provider is made aware of and complies with the sampling methodology requirements (for example, through its contract with the provider).
In particular, the approved quality auditor shall take steps in relation to the following:
    (a) The participant sampling methodology used under this Scheme is Opt Out sampling. This means that provider will need to advise all their participants that they are automatically enrolled into the audit process (i.e. they may be contacted by the audit team for interviews and/or have their files, records or plans reviewed to ensure compliance with the standard); and
    (b) In the event that a participant does not want to participate in this audit process, the provider needs to document and respect that decision, and communicate it to the approved quality auditor. The approved quality auditor should document the number of participants that opted out of the sampling, including in the report for the relevant audit.

B.4 Sample Size
Worker files and interviews

The minimum sample requirements for worker files and interviews are determined by reference to the minimum composition requirements for worker sampling (B.5 (e)), and what is needed to ascertain whether the provider