Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:36:p7
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 36 (pt 7/8)
Character Range: 104095–107342

it would be appropriate to include any others.

B.7 Random Sampling
In every audit, approved quality auditors shall select participant files through random sampling in addition to stratified sampling. Auditors are expected to select participants and workers for interview as randomly as possible with the aim of getting a representative sample across age, gender, diversity etc.

B.8 Incidental Sampling
In incidental sampling an approved quality auditor selects the sample based on the collection of evidence while following audit trails. Approved quality auditors shall not use incidental sampling as the principal form of evidence collection, but to supplement other information collected throughout the audit process.

B.9 Interviewing
Approved quality auditors shall use interviews to gather new audit evidence and to corroborate audit evidence.  Where possible, interviews should be conducted face to face; however, this should be guided by participant/interviewee preference.

Interviewing of workers, participants and family, friends, carers/nominees, independent advocates (where applicable) shall not take place solely in groups.  Interviewing of workers shall include workers directly providing services ‑ it shall not be isolated to the board, senior management or staff employed in a team leader or management capacity.

Interviews with individuals should seek their views on whether the support provider is meeting their expectations and where appropriate assisting them to attain their goals.

Approved quality auditors shall use interviewing to corroborate information such as how processes are implemented and their effectiveness.  The approved quality auditor shall ensure that when undertaking interviews auditors:
        a) Obtain consent from interviewee(s) prior to conducting the interview (including through the use of supported decision making);
        b) Conduct interviews in an appropriate environment that provides for adequate privacy;
        c) Reduce barriers to effective communication (for example, do not use jargon, and take into account communication requirements or specific cultural requirements);
          i. Where an interpreter is required to assist in an interview, that interpreter should have appropriate, recognized qualifications.
        d) Introduce themselves to the interviewee(s) before beginning the interview;
        e) Explain the purpose of the interview to the interviewee(s);
        f) Explain that the interview is confidential and documented in such a manner to maintain anonymity;
        g) Seek permission to take notes;
        h) Start the interview using a standard set of questions;
        i) Use a balance of open and closed questions;
        j) Validate understanding by summarising information or reflecting back to the interviewee; and
        k) End the interview by allowing the interviewee to ask any questions or make comments that may not have been covered within the interview.
B.10 Family, Friend, Carer or Nominee
During certification and recertification audits, auditors shall gather information from a sample of family, friends and carers/nominee through either an interview or a survey conducted by the approved quality auditor. The approved quality auditor