To be certified as a PREA auditor, auditor candidates must meet minimum experience requirements; submit a complete and accurate application; and successfully complete all training requirements, including:
Many elements of the audit assignment system, such as training and oversight of auditors, are ongoing. With regard to the final two elements of the audit assignment system—the audit initiation rules and public availability of information about each audit—the PREA Management Office will implement these elements in June of 2022, according to the timeline below.
| Audit Assignment System Element | Timeline |
|---|---|
| PREA Auditor Training and Certification Program | Ongoing |
| Public, Searchable Database of DOJ-Certified PREA Auditors | Ongoing |
| PREA Audit Oversight Program | Ongoing |
| Audit Initiation Process and Rules |
Submission of Audit Initiation Form: Ongoing Auditors are already required to submit an Audit Initiation Form for each audit in which they are lead auditor. The audit assignment system will require some updates to the content of the form, which will take effect in June 2022, including the requirement for auditors to upload a copy of the audit contract with the audited agency. Audit Initiation Form Approval: June 2022 The PREA Management Office will begin approving auditors to conduct audits in June 2022. |
| Publicly Available Audit Information | June 2022 |
The PREA Management Office may amend the audit assignment system in the future based on changes to existing capacity, statutory obligations, and available resources. Any changes to the audit assignment system will be communicated in a timely fashion to all stakeholders.
Many elements of the audit assignment system, such as training and oversight of auditors, are ongoing. With regard to the final two elements of the audit assignment system—the audit initiation rules and public availability of information about each audit—the PREA Management Office will implement these elements in June of 2022, according to the timeline below.
Once the Audit Initiation Form is approved, information about the audit will be posted to the PREA Resource Center website so that corrections practitioners, advocates, families of incarcerated individuals, and other members of the public can view a list of upcoming audits. The website will include details about each audit, including the assigned auditor, facility and agency information, scheduled onsite audit dates, and a copy of the final PREA audit report once completed. A link will be provided so that interested stakeholders can contact the auditor directly to provide information about relevant conditions at the facility.
The website will also include a link to the Auditor Feedback Form so that stakeholders can submit information regarding an assigned auditor to the PREA Management Office. In the event that the PREA Management Office receives credible allegations that an auditor violated his or her auditor certification requirements in the course of an audit, the PREA Management Office may take appropriate disciplinary action against the auditor, up to and including suspension or decertification, as described in the PREA Auditor Handbook. In cases where disciplinary action is taken against an auditor, depending on when the complaint is received and the timing of the audit, the PREA Management Office may notify the agency/facility so that it may identify a different auditor to conduct the audit, if warranted.
Once the Audit Initiation Form is approved, information about the audit will be posted to the PREA Resource Center website so that corrections practitioners, advocates, families of incarcerated individuals, and other members of the public can view a list of upcoming audits. The website will include details about each audit, including the assigned auditor, facility and agency information, scheduled onsite audit dates, and a copy of the final PREA audit report once completed.
PREA audits are to be conducted at the request of any federal, state, local, or private confinement facility, or any agency that oversees such a facility. A facility or agency may contact an auditor directly by using the searchable database described above, or seek the services of an auditor through procurement announcements, advertisements, or other means. Auditors can also solicit work from agencies and facilities.
All DOJ-certified PREA auditors are required to comply with the conditions of the Auditor Certification Agreement when procuring and conducting an audit. Specifically, the PREA Standards and PREA Auditor Handbook establish minimum guidelines for conducting high quality, reliable, objective, and comprehensive audits. These guidelines prohibit personal and financial conflicts of interest, require auditors to adhere to an auditor code of conduct, impose conditions on audit contracts and compensation (e.g., transparency, compliance with the PREA Standards and DOJ auditor certification requirements, restrictions on gifts); and establish a detailed PREA audit methodology that auditors are to follow.
Once an agency or facility has identified and contracted with a PREA auditor, either directly or in coordination with a third party entity (e.g., the auditor’s current employer or a consulting firm), the following steps must be taken to initiate the audit and receive approval from the PREA Management Office.
Submission of an Audit Initiation Form. The Audit Initiation Form is used to initiate all audits. This form collects basic information from a PREA auditor about scheduled audits, including the expected dates for the onsite portion of the audit, the location of the audit, the facility and/or agency to be audited, and the auditing arrangement and compensation structure. All auditors must complete and submit, or confirm, the Audit Initiation Form for each audit they conduct as lead auditor.
The auditor must submit or confirm the Audit Initiation Form at least 30 days prior to the first day of the auditor’s onsite visit to the facility.
As part of the Audit Initiation Form submission to the PREA Resource Center, auditors will be required to submit a copy of the audit contract with the audited agency and sign a confirmation attesting to the following conditions for the relevant audit:
Audit Initiation Form Approval. If all the above conditions are met and the auditor fully and accurately completes or confirms the Audit Initiation Form 30 days prior to the first day of the auditor’s onsite visit to the facility, the auditor will be approved to proceed with the audit and will receive an email notification of such. Auditors are not to proceed with an audit unless an approval email has been issued by the PREA Management Office granting the auditor permission to conduct the audit. This approval applies only to the auditor who is named in the Audit Initiation Form as lead auditor. If the lead auditor approved to conduct the audit is unable to complete the audit, another auditor may not proceed as lead auditor without first submitting or confirming an Audit Initiation Form.
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. If an auditor conducts an audit without first receiving approval, he or she will be subject to disciplinary action by the PREA Management Office, up to and including suspension or decertification. Such disciplinary action against the auditor will not impact the validity of a completed audit for which the auditor failed to obtain prior approval.
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.
PREA audits are to be conducted at the request of any federal, state, local, or private confinement facility, or any agency that oversees such a facility. A facility or agency may contact an auditor directly by using the searchable database described above, or seek the services of an auditor through procurement announcements, advertisements, or other means. Auditors can also solicit work from agencies and facilities.
The PREA Management Office operates under a statutory obligation to evaluate all PREA auditors for compliance with the Auditor Certification Agreement, the PREA Auditor Handbook, the DOJ Audit Instrument, and to take remedial or disciplinary action where necessary. See 34 U.S.C. § 30307(e)(8)(A)(iii). To fulfill its obligation to evaluate an auditor’s performance, the PREA Management Office, through the PREA Audit Oversight Program, monitors and reviews the work of DOJ-certified PREA auditors, with the goal of ensuring the high quality and integrity of PREA audits.
Auditors who fail to follow their certification requirements are subject to remedial or disciplinary action, up to and including suspension or decertification. Full details regarding the PREA Audit Oversight Program are provided in the PREA Auditor Handbook.
The PREA Management Office operates under a statutory obligation to evaluate all PREA auditors for compliance with the Auditor Certification Agreement, the PREA Auditor Handbook, the DOJ Audit Instrument, and to take remedial or disciplinary action where necessary. See 34 U.S.C. § 30307(e)(8)(A)(iii). To fulfill its obligation to evaluate an auditor’s performance, the PREA Management Office, through the PREA Audit Oversight Program, monitors and reviews the work of DOJ-certified PREA auditors, with the goal of ensuring the high quality and integrity of PREA audits.
Once certified by DOJ, the names of PREA auditors, including their certification date and certification type, are made publicly available on a searchable database located on the PREA Resource Center website. Agencies and facilities seeking an auditor, as well as DOJ-certified PREA auditors seeking audit support staff, are able to search the database for auditors.