Core components of the audit instrument

The audit instrument is built around three core components for each set of PREA Standards: the Pre-Audit Questionnaire, Auditor Compliance Tool, and Audit Report Template.

Pre-Audit Questionnaire

The Pre-Audit Questionnaire, a tool used to gather information during the pre-onsite phase of the audit, identifies the minimum information and supporting documents that the agency and facility should provide to the auditor before the onsite phase of the audit begins. Submission of the Pre-Audit Questionnaire and the auditor’s initial analysis of agency and facility documentation are critical components of the audit process. These steps lay the foundation for the audit and form the basis for the auditor’s understanding of the facility’s operations, terminology, structure, population, and other important information. Agencies and facilities should remember that the PREA Standards place the burden to demonstrate compliance with the Standards on the agency (§115.401(e)). 

The Pre-Audit Questionnaire is a snapshot of information gathered at one point in time. It is entirely normal and expected that information may change between the time the facility submits the Pre-Audit Questionnaire and any other point in time during the audit process. Agency and facility personnel and auditors are encouraged to treat information submitted in the Pre-Audit Questionnaire accordingly, and to recognize changes in some details as an ordinary part of the audit process. For example, a facility’s population may change from when the facility uploads to the Pre-Audit Questionnaire and when the onsite phase of the audit begins. The auditor should be attentive to such differences and determine whether such changes have implications for compliance with the Standards. 

Pre-Audit Questionnaire in the Online Audit System

Once an audit has been created in the Online Audit System (OAS), the PREA Coordinator(s) and PREA Compliance Manager(s) can begin entering information and uploading documentation into the Pre-Audit Questionnaire. After a Pre-Audit Questionnaire is submitted, all information and documentation provided by the agency and facility is automatically populated into the “pre-audit” section of the Auditor Compliance Tool. Additionally, some of the agency and facility information is automatically populated into the Audit Report Template, which reduces the auditor’s burden when preparing the interim and final audit reports.

PDF versions of the Pre-Audit Questionnaire

Access fillable and non-fillable versions of the Pre-Audit Questionnaire:

Auditor Compliance Tool

The Auditor Compliance Tool guides auditors in making compliance determinations for each provision of every PREA Standard, including identification of key sources of evidence that auditors should gather to assess compliance. The Auditor Compliance Tool walks the auditor step-by-step through evidence collection, application of evidence to each provision of each Standard, and review and analysis of the detailed requirements for compliance.

Auditor Compliance Tool in the Online Audit System

The Auditor Compliance Tool in the Online Audit System (OAS) is the auditor’s “home base.” In the OAS, every Standard in the Auditor Compliance Tool includes the following sections:

  • Pre-audit
  • Audit
  • Provision findings
  • Overall compliance determination
  • Overall compliance determination narrative  

The Auditor Compliance Tool also includes the audit findings section (i.e., audit narrative, facility characteristics, and summary of audit findings) and the post-audit reporting information questions. Auditors who use the OAS to conduct an audit must complete the post-audit reporting information directly in the OAS before they can complete the audit. Auditors who complete an audit in the OAS do not need to submit a separate Post-Audit Reporting Form.  

PDF versions of the Auditor Compliance Tool

Access fillable and non-fillable versions of the Auditor Compliance Tool:

Audit Report Template

Auditors are required to use the most up-to-date Audit Report Template to produce interim and final audit reports. The Audit Report Template standardizes audit reports, addresses the reporting requirements in the PREA Standards, and prompts auditors to address each of the PREA Standards, including each provision and element in each Standard. The Audit Report Template in the Online Audit System (OAS) is always the most up-to-date version, which further reduces the burden on auditors in the conduct and reporting of their audits.

Audit Report Template in the Online Audit System

In the OAS, when an auditor submits their Auditor Compliance Tool, the audit report (whether an interim or final) is automatically generated from information provided by the agency and facility (i.e., agency profile and facility information) and the auditor (i.e., overall compliance determinations and narratives, audit findings, and provision findings). Auditors can access the system-generated reports (i.e., interim or final report) at any time to print, download, or review as necessary. 

Note: It is important to know that the OAS does not send a copy of the audit report to the agency or facility. It is the auditor’s responsibility to send the interim and/or final report to the agency and facility. 

PDF and Word versions of the Audit Report Template

Access Microsoft Word and non-fillable PDF versions of the Audit Report Template: