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: