Audit Appeals Process

The National PREA Standards provide an opportunity for an agency to lodge an appeal with the Department of Justice (DOJ) regarding any specific audit finding that the agency believes to be incorrect. See 28 C.F.R. § 115.405(a).

Under the National PREA Standards, the only relief that an agency can receive from a favorable decision by DOJ following an appeal is that the agency may commission a re-audit by an auditor who is mutually agreed upon by the agency and DOJ. See 28 C.F.R. § 115.405(b).

Facility Audit vs. Agency Audit

The OAS allows users to complete both facility and agency audits.

Facility Audits are a comprehensive evaluation of an individual facility's compliance with the PREA Standards.

Agency Audits are an annual audit of specific PREA provisions at an agency level. Agency Audits are particularly relevant for agencies with more than one facility as they relieve the Facility Audit from auditing the same agency-level operations repeatedly during each facility audit.

Juvenile Facilities

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

Community Confinement Facilities

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

Lockups

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

Prisons and Jails

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

Fillable Pre-Audit Questionnaire

Non-fillable Pre-Audit Questionnaire

 

B) Auditor Compliance Tool

The tool the auditor will use to determine compliance with the standards.

Fillable Auditor Compliance Tool

Non-fillable Auditor Compliance Tool

 

C) Instructions for PREA Audit Tour

A guide for auditors with instructions for the facility tour they will conduct as part of each audit.

Instructions for PREA Audit Tour

 

D) Interview Protocols

There are six different interview protocols. These protocols will be used by auditors to interview staff and inmates as part of the audit. Answers from the interviews will be part of the auditor’s compliance assessment. Auditors are not limited to these questions but the questions in the protocol provide a minimum foundation for the auditor’s inquiry.

  1. Agency Head or Designee
  2. Warden or Designee
  3. PREA Compliance Manager/Coordinator
  4. Specialized Staff
  5. Random Staff
  6. Inmates

 

E) Auditor Report Template

A template of the report the auditor will provide to the agency that will be published. The auditor will draw relevant information from the Auditor Compliance Tool to complete the Auditor Report Template. A fillable version of this document can be accessed through the title link. Access a  version of the Auditor Report Template.

Fillable Auditor Report Template

Non-fillable Auditor Report Template

In addition, the PRC has released the following documents to help agencies prepare for their audit: 

 

F) Process Map

Outline thdescribes the process from pre- through post-audit.

Process Map

 

G) Checklist of Documentation

Lists all documentation that will be requested from the facility as part of an audit and will be sent by the auditor to the facility along with the Pre-Audit Questionnaire in preparation for the audit.

Checklist of Documentation

Lockups

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

Fillable Pre-Audit Questionnaire

Non-fillable Pre-Audit Questionnaire

 

B) Auditor Compliance Tool

The tool the auditor will use to determine compliance with the standards.

Fillable Auditor Compliance Tool

Non-fillable Auditor Compliance Tool

 

C) Instructions for PREA Audit Tour

A guide for auditors with instructions for the facility tour they will conduct as part of each audit.

Instructions for PREA Audit Tour

 

D) Interview Protocols

There are six different interview protocols. These protocols will be used by auditors to interview staff and inmates as part of the audit. Answers from the interviews will be part of the auditor’s compliance assessment. Auditors are not limited to these questions but the questions in the protocol provide a minimum foundation for the auditor’s inquiry.

  1. Agency Head or Designee
  2. Warden or Designee
  3. PREA Compliance Manager/Coordinator
  4. Specialized Staff
  5. Random Staff
  6. Inmates

 

E) Auditor Report Template

A template of the report the auditor will provide to the agency that will be published. The auditor will draw relevant information from the Auditor Compliance Tool to complete the Auditor Report Template. A fillable version of this document can be accessed through the title link. Access a  version of the Auditor Report Template.

Fillable Auditor Report Template

Non-fillable Auditor Report Template

In addition, the PRC has released the following documents to help agencies prepare for their audit: 

 

F) Process Map

Outline thdescribes the process from pre- through post-audit.

Process Map

 

G) Checklist of Documentation

Lists all documentation that will be requested from the facility as part of an audit and will be sent by the auditor to the facility along with the Pre-Audit Questionnaire in preparation for the audit.

Checklist of Documentation

Community Confinement Facilities

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

Fillable Pre-Audit Questionnaire

Non-fillable Pre-Audit Questionnaire

 

B) Auditor Compliance Tool

The tool the auditor will use to determine compliance with the standards.

Fillable Auditor Compliance Tool

Non-fillable Auditor Compliance Tool

 

C) Instructions for PREA Audit Tour

A guide for auditors with instructions for the facility tour they will conduct as part of each audit.

Instructions for PREA Audit Tour

 

D) Interview Protocols

There are six different interview protocols. These protocols will be used by auditors to interview staff and inmates as part of the audit. Answers from the interviews will be part of the auditor’s compliance assessment. Auditors are not limited to these questions but the questions in the protocol provide a minimum foundation for the auditor’s inquiry.

  1. Agency Head or Designee
  2. Warden or Designee
  3. PREA Compliance Manager/Coordinator
  4. Specialized Staff
  5. Random Staff
  6. Inmates

 

E) Auditor Report Template

A template of the report the auditor will provide to the agency that will be published. The auditor will draw relevant information from the Auditor Compliance Tool to complete the Auditor Report Template. A fillable version of this document can be accessed through the title link. Access a  version of the Auditor Report Template.

Fillable Auditor Report Template

Non-fillable Auditor Report Template

In addition, the PRC has released the following documents to help agencies prepare for their audit: 

 

F) Process Map

Outline thdescribes the process from pre- through post-audit.

Process Map

 

G) Checklist of Documentation

Lists all documentation that will be requested from the facility as part of an audit and will be sent by the auditor to the facility along with the Pre-Audit Questionnaire in preparation for the audit.

Checklist of Documentation

Juvenile Facilities

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

Fillable Pre-Audit Questionnaire

Non-fillable Pre-Audit Questionnaire

 

B) Auditor Compliance Tool

The tool the auditor will use to determine compliance with the standards.

Fillable Auditor Compliance Tool

Non-fillable Auditor Compliance Tool

 

C) Instructions for PREA Audit Tour

A guide for auditors with instructions for the facility tour they will conduct as part of each audit.

Instructions for PREA Audit Tour

 

D) Interview Protocols

There are six different interview protocols. These protocols will be used by auditors to interview staff and inmates as part of the audit. Answers from the interviews will be part of the auditor’s compliance assessment. Auditors are not limited to these questions but the questions in the protocol provide a minimum foundation for the auditor’s inquiry.

  1. Agency Head or Designee
  2. Warden or Designee
  3. PREA Compliance Manager/Coordinator
  4. Specialized Staff
  5. Random Staff
  6. Inmates

 

E) Auditor Report Template

A template of the report the auditor will provide to the agency that will be published. The auditor will draw relevant information from the Auditor Compliance Tool to complete the Auditor Report Template. A fillable version of this document can be accessed through the title link. Access a  version of the Auditor Report Template.

Fillable Auditor Report Template

Non-fillable Auditor Report Template

In addition, the PRC has released the following documents to help agencies prepare for their audit: 

 

F) Process Map

Outline thdescribes the process from pre- through post-audit.

Process Map

 

G) Checklist of Documentation

Lists all documentation that will be requested from the facility as part of an audit and will be sent by the auditor to the facility along with the Pre-Audit Questionnaire in preparation for the audit.

Checklist of Documentation

Prisons and Jails

A) Pre-Audit Questionnaire

A questionnaire that will be sent by the auditor to the facility prior to the audit. It should be completed by the facility’s PREA Compliance Manager, or similar person. (Before any facility audits take place in a given jurisdiction, the agency-level PREA Coordinator should complete a version of this to provide any agency-level information and any relevant agency-wide policies so that all facility auditors can reference the agency-level material without having to duplicate the work.)

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