The Audit Initiation Form must be used to initiate all audits. This form collects basic information about scheduled audits, including: the expected dates for the onsite portion of the audit; the facility to be audited and its parent agency; the address and location of the audited facility; rated capacity and average daily population; involvement of support staff; contract and compensation details; information about agency- and facility-users; etc.
The Audit Initiation Form may be submitted by the lead auditor or by the audited agency or facility. If the audited agency or facility submits an Audit Initiation Form for an audit and identifies the lead auditor, the lead auditor does not need to submit a duplicate Audit Initiation Form for that audit. Instead, the auditor will receive a link with instructions for confirming the audit, which must be completed at least 30 days prior to the first day of the auditor’s onsite visit to the facility. If the auditor does not receive an audit confirmation link at least 30 days prior to the first day of the onsite portion of the audit (meaning the audit has not yet been initiated by the agency and/or facility), then the auditor must complete and submit an Audit Initiation Form to initiate the audit.
All auditors must complete and submit, or confirm, the Audit Initiation Form for each audit they conduct as lead auditor at least 30 days prior to the first day of the auditor’s onsite visit to the facility. If an auditor fails to submit or confirm the Audit Initiation Form at least 30 days prior to the first day of the onsite portion of the audit, he or she will be prompted to provide an explanation for the late submission. Auditors who consistently fail to submit or confirm the Audit Initiation Form by the deadline may be subject to disciplinary action by the PREA Management Office.
Please note, as part of the audit assignment system, auditors are required to submit a copy of the audit contract with the audited agency and confirm that they are party to the contract or agreement with the audited facility and/or agency to be audited. Audit contracts will be reviewed during the approval process of the Audit Initiation Form to determine whether the minimum conditions, outlined below, are met. If an auditor is unable to meet one or more of the conditions and/or fails to fully and accurately complete or confirm the Audit Initiation Form, the auditor will not be approved to proceed with the audit. All auditing agreements must, at a minimum:
- Be signed by all relevant parties, including the audited agency, lead auditor, and third-party entity (e.g., the auditor’s current employer, an accreditation body, or a consulting firm), if applicable.
- Include the following information:
- The name of the lead auditor.
- The facility(ies) to be audited by the auditor.
- Anticipated dates for the onsite phase of the audit(s).
- With the exception of audits conducted as part of a circular auditing arrangement (i.e., audit consortium), fees, expenses, and other forms of compensation paid to the auditor for completing the agreed upon audit(s).
For more information on the audit assignment system, click here.
Auditors must also confirm the following conditions for each audit for which they are the lead auditor:
- The auditor does not have any conflict of interest (as defined in the PREA Standards and this Handbook).
- The auditor agrees to abide by the requirements of the Auditor Certification Agreement.
- The auditor is a party to the contract or agreement with the facility and/or agency to be audited.
Auditors should refer to the PREA Auditor Handbook for more detailed information regarding their audit reporting requirements.
After submitting, or confirming, the Audit Initiation Form, the OAS technical support team will begin the process of validating users and creating the audit in the Online Audit System. For more information on the audit and user account creation process in the Online Audit System, review the information under the Audit and User Account Creation in the Online Audit System section below.