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.)

Compliance

The PREA Standards establish an audit process that is designed to assess compliance not only through written policies and procedures but also whether such policies and procedures are reflected in the knowledge and day-to-day practices of staff at all levels. Therefore, an agency must be compliant not only in policy but must also demonstrate institutionalization of the Standards in its day-to-day practices. An agency or facility which is unable to demonstrate compliance in practice, or which provides substantially conflicting information or evidence regarding compliance, has failed to meet its burden under §115.401(e).

When considering whether or not a facility is in compliance with a particular Standard, auditors must consider all relevant evidence, including the auditor’s observations of routine practices in the facility, what the auditor learned in the course of interviewing staff and inmates, and information contained in documentation that the auditor reviewed.

It is important to note, if a facility is out of compliance with any provision of a Standard, the facility is out of compliance with the entire Standard.

Exceeds, meets, and does not meet

Exceeds – the facility substantially exceeds the requirements of the Standards. Where an auditor determines that a facility exceeds the requirements of a Standard, the auditor must clearly and specifically explain how the facility meets and then substantially exceeds the requirements of the Standard, and the evidence must justify and support the finding (see, for example, the PREA Auditor Handbook at p. 66). It is not sufficient for the auditor to describe the facility as meeting the requirement of the Standards and then select “Exceeds Standard” for the Overall Determination.

Meets – complies in all material ways with the Standard for the relevant review period.

Does not meet – requires corrective action to meet the Standard.

PREA Coordinator

Per the PREA Standards, an agency shall employ or designate an upper-level, agency-wide PREA Coordinator with sufficient time and authority to develop, implement, and oversee agency efforts to comply with the PREA Standards in all its facilities.

Note: The same person cannot be listed as the PREA Coordinator and the PREA Compliance Manager as these are two distinct roles.

PREA Compliance Manager

Per the PREA Standards, where an agency operates more than one facility, each facility shall designate a PREA Compliance Manager with sufficient time and authority to coordinate the facility’s efforts to comply with the PREA Standards.

Note: The same person cannot be listed as the PREA Coordinator and the PREA Compliance Manager as these are two distinct roles.

Supervisor

The Audit Initiation Form requires the supervisor(s) name(s) for the PREA Coordinator and/or the PREA Compliance Manager. Supervisors should be the direct supervisor of the user requesting access. Unless the supervisor is one of the defined user access category (e.g., the PREA Coordinator is the PREA Compliance Manager’s direct supervisor), supervisors will not receive access to the Online Audit System (OAS).  

Note: Audit initiation will not begin, and access to the OAS will not be provided, until the verification process has been completed for all users requesting access.

Supervisor

The Audit Initiation Form requires the supervisor(s) name(s) for the PREA Coordinator and/or the PREA Compliance Manager. Supervisors should be the direct supervisor of the user requesting access. Unless the supervisor is one of the defined user access category (e.g., the PREA Coordinator is the PREA Compliance Manager’s direct supervisor), supervisors will not receive access to the Online Audit System (OAS).  

Requestor

The requestor is the person who completes the Audit Initiation Form.  This can be an agency- or facility-based administrative staff person or the auditor who will be conducting the audit. The requestor does not need to be someone who will have access to the OAS.

PREA Coordinator

Per the PREA Standards, an agency shall employ or designate an upper-level, agency-wide PREA Coordinator with sufficient time and authority to develop, implement, and oversee agency efforts to comply with the PREA Standards in all its facilities.

Note: The same person cannot be listed as the PREA Coordinator and the PREA Compliance Manager as these are two distinct roles.

PREA Compliance Manager

Per the PREA Standards, where an agency operates more than one facility, each facility shall designate a PREA Compliance Manager with sufficient time and authority to coordinate the facility’s efforts to comply with the PREA Standards.

Note: The same person cannot be listed as the PREA Coordinator and the PREA Compliance Manager as these are two distinct roles.

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