Audit initiation

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. 

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 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.

For more information on contract requirements, please visit the Audit Initiation Process and Rules section under the PREA audit assignment system.

Auditors should refer to the PREA Auditor Handbook for more detailed information regarding their audit reporting requirements.

Access the audit initiation form

Audit and user account creation in the Online Audit System

Once the Audit Initiation Form has been submitted and the PRC has complete information, an OAS administrator will take the necessary steps to confirm that all individuals requesting access to the system are in fact authorized. This process is required to maintain the security of the system and to protect the materials stored in it.

For auditors, an OAS administrator will do the following:

  • Confirm that the auditor has an active certification.
  • Verify completion of the annual information security course.
  • Confirm completion of the auditor's reporting requirements.

For PREA Coordinators and PREA Compliance Managers who are new to the OAS, an OAS administrator will do the following:

  • Email the Supervisor Confirmation Form (SCF) to the supervisor indicated on the Audit Initiation Form.
  • Review the SCF upon submission.
  • Call the supervisor to verify the information provided on the SCF.

Please note: this process applies to new users and existing users who change roles.

Once a PREA Coordinator or a PREA Compliance Manager is confirmed, their confirmation is valid for one year. After one year, all users will need to be reconfirmed (see below).

For PREA Coordinators and PREA Compliance Managers with existing OAS accounts,  an OAS administrator will do the following: 

  • Email the user’s supervisor to confirm that the user is still in the same role.

After the verification process is complete, an OAS administrator will set up the audit and users will be granted access to the OAS. All users will receive emails from the OAS indicating that an audit has been created. Users who are new to the Online Audit System will receive a separate email from the OAS with their log-in information.

Please Note: An audit cannot begin, and access to the OAS cannot be provided, until the verification process has been completed. 

For questions about audit and user account creation in the Online Audit System, contact OAS tech support.