Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:36:p4
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 36 (pt 4/8)
Character Range: 96455–99306

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 is meeting the applicable NDIS Practice Standards in accordance with proportionality.

Participant files and interviews

There are no minimum sampling requirements for registration class(es)/group(s) listed in Annex D including for participant files, participant interviews and multisite sampling. Review of some participant files and participant interviews is expected to occur as a matter of course, however, when the assessment is being conducted using the certification method.

Note: Participant files and participant interviews are a key source of evidence for conformity assessment.

With respect to any registration class (or group), which is not listed in Annex D, approved quality auditors shall determine the minimum sample size in relation to participant files and interviews for all a provider according to the following method:

    (a) Step 1 – Identify the total number of participants receiving supports or services from the provider at that time (total participants);
    (b) Step 2 – Identify the number of participants receiving only supports or services falling into a category listed in Annex D at that time (Annex D participants);
    (c) Step 3 – Subtract the number of Annex D participants from the total participants.  The result is the sample population number;
    (d) Step 4 – if:
      (i) the sample population number is 5 or less, then the sample population number is the minimum sample size for that provider;

          Note: Care should be taken to ensure the anonymity of participants where there is a small sample size.
      (ii) the sample population number is greater than 5, then the minimum sample size is determined using Step 5;
    (e) Step 5 – if
      (iii) the audit is for a certification or recertification, then take the square root of the sample population number and round up to the nearest integer.  The result is the minimum sample size for the provider;
      (iv) the audit is a mid‑term audit, then take the square root of the sample population number, multiply by 0.6, then round up to the nearest integer.

Example 1:

Approved quality auditor X is engaged by Provider Y to conduct a recertification audit.  At that time the provider delivers a range of NDIS supports and services to 40 participants.

‑ The total participants for Provider Y is 40.

Provider Y is registered for 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