How To Prepare For A PREA Audit
Talk Story
PREA Coordinators/
PREA Compliance
Managers
PREA Auditors
Agency/Facility
Staff
Advocates
Dave’s
Perspective
Agenda
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Paradigm Shift
Pre Audit
Audit
Post Audit
Common Pitfalls
Exceed Standards
Trouble Standards
Recommendations For Success
Auditors
Questions and Answers
Paradigm Shift
ACA
• Daily out briefs
• Close out with score
• Tour and folders
• Mandatory and Nonmandatory standards
• Plan of action, waiver, appeal
to commission
• Interviews
• Auditor and Commission
PREA
• Maybe daily out briefs
• Close out no score
• Questionnaire, tour,
observation, and interviews
• Mandatory standards
• Plan of action to auditor,
appeal to DoJ
• Specific and random
interviews
• Auditor
Quote from PREA Auditor Training –
“No facility will pass a PREA audit in the
first cycle year.”
Reality
Facilities are passing
Audit Process Map
Pre-Audit
Audit
Post-Audit
Post Notice of Upcoming Audit
Facility Tour
Communicate with
Community Based
Victim Advocate
Additional
Document Review
Complete
Auditor
Compliance Tool
Staff Interviews
Agency/Facility Questionnaire
Coordinate and
Review
Corrective Action
Inmate Interviews
Initial Auditor Review and
Discussion with PREA
Compliance Manager
Initial Interviews
Auditor Reviews Submitted
Agency/ Facility Questionnaire
and Policy/ Procedures
Auditor Report
Pre-Audit Phase
Steps
Lessons Learned
• Post Notice of Upcoming Audit
• Set parameters in the contract
• Communicate with
Community Based
Victim Advocate
• Pre-audit sets the tone for the audit
• Coordinate the notice; post 6 weeks prior to
audit
• Agency/Facility Questionnaire
• Initial Auditor Review and
Discussion with PREA
Compliance Manager
• Communication between auditor and
facility/agency is critical
• Open vs. closed
• Start early in communicating and providing
information
• Initial Interviews
• Auditor Reviews Submitted
Agency/ Facility Questionnaire
and Policy/ Procedures
• Auditor will communicate with Community
Based Victim Advocate and other outside
agencies
Pre-Audit Phase
Steps
Lessons Learned
• Post Notice of Upcoming Audit
• Provide agency/facility questionnaire minimum
two weeks prior to audit
• Ensure information is accurate
• Highlight information and bullet
• Respond to request for more information
• Provide last ACA report, DoJ report,
pending law suits related to sexual assaults
• Communicate with
Community Based
Victim Advocate
• Agency/Facility Questionnaire
• Initial Auditor Review and
Discussion with PREA
Compliance Manager
• Initial Interviews
• Auditor Reviews Submitted
Agency/ Facility Questionnaire
and Policy/ Procedures
• Coordinate and conduct initial interviews
• Director or representative
• Contract Manager
• PREA Coordinator
• PREA Compliance Manager
• Coordinate on-site schedule and interviews
• Website and internet
Audit Phase
The Audit
• As a PREA Compliance Manager, need to have all
information (practice) available for auditor to take with
them via paper or electronic.
• Study interview questions before audit.
• Sampling of incidents only when large numbers; i.e. if
seven incidents auditor will review all seven
• Assault reports – copy significant pages critical to report
to upload into tool.
– Recommend complete copy of investigation in a file
maintained with PREA Compliance Manager
• Policies and procedures can be modified during audit.
Interviews
Prisoners
Staff
• Random Sample of Prisoners
• Targeted Prison Populations
(e.g., Youthful Prisons,
Transgender and Intersex
Prisoners, Prisoners who
Reported Sexual Assault).
• Administrators/Supervisors
(Agency Head or Designee,
PREA Coordinator, PREA
Compliance Manager, and
Warden or Designee).
• Random Sample of Staff
• Specialized Staff (e.g., Medical
and Mental Health Care Staff,
Education and Program Staff,
Investigative Staff).
Audit Phase
Steps
• Facility Tour
Lessons Learned
• All areas of facility
• Checking for
• PREA notices and information posted
• Cross gender observation standards
• Camera coverage and viewing
• Staff coverage
• Blind spots
• Segregation
• Observation of interaction, searches, prisoners
• Reporting systems
• Reviewing documents
• Interviews staff and prisoners (not part of
random or scheduled interviews)
Audit Phase
Steps
• Additional
Document Review
Lessons Learned
• All standards not covered in questionnaire
• One year period unless stated different in
standard
• Organized in folders (electronic or hard copy)
are encouraged
• Some standards require random sampling
• Training records
• Personnel records
• Screening sheets
• Mental health records
• Investigations and follow-on paperwork
• Biggest concentration of documentation
review
• May review all depending on numbers
• Be prepared to make copies
• Leads to interviews not scheduled
Audit Phase
Steps
• Staff Interviews
Lessons Learned
• Practice, Practice, Practice… Open book test
• Inmate Interviews
• Staff interviews could be more damaging than
prisoner interviews
• Coordinate but be flexible on time and place
• Most interviews will take 15 – 60 minutes per
person
• Expect some interviews to be redone
Audit Phase
Steps
• Staff Interviews
• Inmate Interviews
Lessons Learned
• Key staff
• Warden/Coordinator/Compliance Manager
• Staff who perform screenings
• Response Team/Investigative Staff
• Staff who monitor retaliation
• Incident Review Team
• Staff who train inmates on PREA
• Contractors/Volunteers
• Know your prisoner population
• LGBTI prisoners
• Assaulted prisoners
• Disabled Inmates
• Disclosed sexual victimization during risk
screening
• At risk inmates housed in segregation
during past 12 months
Post Audit
Post Audit Phase
Steps
• Complete
Auditor
Compliance Tool
Lessons Learned
• Auditor will have to connect dots
• Pre-audit questionnaire
• Research and interviews outside agencies
• Tour
• Interviews
• Additional documents
• Observation
• Auditor may request additional information
• Provide ASAP
• Provide correct documents
• Meeting standards based on
• Policies
• Documentation
• Observation
• Interviews
Post Audit Phase
Steps
• Interim Report
Lessons Learned
• Auditor has up to 30 days to write interim report
• Corrective
Action Plan
• Can provide corrective action
• Final Report
• Interim report should lead to a corrective action
plan agreed upon
• Corrective action period is 180 days
• If standard was “not met” and it is a practice
that is “rare”, auditor must be convinced facility
has taken corrective action so final report can
show “met”.
• Final report is completed 30 days following all
corrective action completed or 180 day corrective
action period ends
4 - Common Pitfalls
Common Pitfalls
• Not communicating with the auditor early
• Incorrect data in questionnaire
• Not changing the staff culture
– “if a prisoners mouth is moving he is lying”
• Not understanding the process
• Not coordinating with outside agencies/MOUs
– Medical – SAFE/SANE
– Investigators – Training and procedures
– Victim Advocates
• Policy only on paper
Common Pitfalls Continued
• No or poorly written PREA policy mandating zero
tolerance towards all forms of sexual abuse and
sexual harassment.
• No or poor policy outlining prevention, detection,
and responding procedures:
– Copy and paste direct from standards.
– Do not cover all standards.
– Conflicting policies.
Too Much Documentation
Exceed Standard
115.11 Zero tolerance of sexual abuse and
sexual harassment; PREA coordinator
• Standard
– (a) An agency shall have a written policy mandating zero tolerance
toward all forms of sexual abuse and sexual harassment and outlining
the agency’s approach to preventing, detecting, and responding to
such conduct.
– (b) 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 of its facilities.
– (c) 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.
• How exceeded
– Outstanding policy mandating zero tolerance and outlines agency’s
PREA approach to preventing, detecting, and responding.
– Active and knowledgeable PREA Coordinators and Compliance
Managers.
– Active and knowledgeable Regional PREA Coordinators.
115.12 Contracting with other entities for the
confinement of inmates
• Standard
• (a) A public agency that contracts for the confinement
of its inmates with private agencies or other entities,
including other government agencies, shall include in
any new contract or contract renewal the entity’s
obligation to adopt and comply with the PREA
standards.
• (b) Any new contract or contract renewal shall provide
for agency contract monitoring to ensure that the
contractor is complying with the PREA standards.
• How exceeded
– Renewed all existing contracts.
115.31 Employee training
• Standard
– (a) The agency shall train all employees who may have contact with
inmates.
– (b) Such training shall be tailored to the gender of the inmates at the
employee’s facility. The employee shall receive additional training if
the employee is reassigned from a facility that houses only male
inmates to a facility that houses only female inmates, or vice versa.
– (c) All current employees who have not received such training shall
be trained within one year of the effective date of the PREA
standards….
– (d) The agency shall document, through employee signature or
electronic verification, that employees understand the training they
have received.
• How exceeded
– Outstanding lesson plans and slides.
– Tested staff at end of training.
– Staff interviews
Trouble Standards
115.15 Limits to cross-gender viewing and
searches
• Standard
– (d) ... Such policies and procedures shall require staff
of the opposite gender to announce their presence
when entering an inmate housing unit.
• Issues
– Not announcing when opposite gender enter housing
area
– Single announcement at beginning of each shift
– Confusing with standard 115.13 (d) unannounced
rounds by intermediate or higher level supervisors
115.15 Limits to cross-gender viewing and
searches
• Standard
– (f) The agency shall train security staff in how to
conduct cross-gender pat-down searches, and
searches of transgender and intersex inmates, in a
professional and respectful manner, and in the least
intrusive manner possible, consistent with security
needs.
• Issues
– No training
– Both sexes doing searches of transgender
– Determining who does transgender searches
FAQ on 115.15 Searches
• Operationally, three options are in current
practice for searches of transgender or intersex
inmates/residents/detainees:
1) searches conducted only by medical staff;
2) searches conducted by female staff only, especially
given there is no prohibition on the pat-searches
female staff can perform (except in juvenile
facilities); and
3) Asking inmates/residents/detainees to identify the
gender of staff with whom they would feel most
comfortable conducting the search.
115.17 Hiring and Promotion Decisions.
• Standard
– (e) The agency shall either conduct criminal
background records checks at least every five years of
current employees and contractors who may have
contact with inmates or have in place a system for
otherwise capturing such information for current
employees.
• Issues
– Not conducting background check every five years.
– Not establishing a reliable system of conducting
background check and maintaining documentation.
115.17 Hiring and Promotion Decisions.
• Standard
– (h) Unless prohibited by law, the agency shall provide
information on substantiated allegations of sexual
abuse or sexual harassment involving a former
employee upon receiving a request from an
institutional employer for whom such employee has
applied to work.
• Issues
– Not informing institutional employer information on
substantiated allegations of sexual abuse or sexual
harassment.
– Requiring a release document from former employee.
115.41 Screening for risk of victimization and
abusiveness
• Standard 115.41 (h) Inmates may not be disciplined for
refusing to answer, or for not disclosing complete
information in response to, questions asked pursuant to
paragraphs (d)(1), (d)(7), (d)(8), or (d)(9).
– (1) Whether the inmate has a mental, physical, or
developmental disability;
– (7) Whether the inmate is or is perceived to be gay, lesbian,
bisexual, transgender, intersex, or gender nonconforming;
– (8) Whether the inmate has previously experienced sexual
victimization;
– (9) The inmate’s own perception of vulnerability; and
• Issue
– Inmate is not asked the questions, information is based on
records and observation.
115.42 Use of screening information.
• Standard (c) In deciding whether to assign a
transgender or intersex inmate to a facility for male
or female inmates, and in making other housing
and programming assignments, the agency shall
consider on a case-by-case basis whether a
placement would ensure the inmate’s health and
safety, and whether the placement would present
management or security problems.
• Issues
– Not considered on case-by-case basis.
– Making decision based only on current genitalia.
– Making decision based only on birth genitalia.
115.67 Agency protection against retaliation
• Standard (a) The agency shall establish a policy to
protect all inmates and staff who report sexual
abuse or sexual harassment or cooperate with
sexual abuse or sexual harassment investigations
from retaliation by other inmates or staff, and
shall designate which staff members or
departments are charged with monitoring
retaliation.
• Issues
– No policy.
– Policy only in writing.
– Staff or department not designated.
115.67 Agency protection against retaliation
• Standard (c) For at least 90 days following a report of sexual
abuse, the agency shall monitor the conduct and treatment
of inmates or staff who reported the sexual abuse and of
inmates who were reported to have suffered sexual abuse to
see if there are changes that may suggest possible retaliation
by inmates or staff, and shall act promptly to remedy any
such retaliation. Items the agency should monitor include
any inmate disciplinary reports, housing, or program
changes, or negative performance reviews or reassignments
of staff. The agency shall continue such monitoring beyond
90 days if the initial monitoring indicates a continuing need.
• Issues
– Not monitoring for up to 90 days.
– Not monitoring inmate disciplinary reports, housing, or program
changes or negative performance reviews or reassignments of
staff.
– Documentation
115.67 Agency protection against retaliation
• Standard (d) In the case of inmates, such
monitoring shall also include periodic status
checks.
• Issues
– Not conducting periodic status checks or simply
seeing in course of normal duty.
– Documentation of checks.
115.73 Reporting to inmates
• Standard (a) Following an investigation into an
inmate’s allegation that he or she suffered sexual
abuse in an agency facility, the agency shall
inform the inmate as to whether the allegation
has been determined to be substantiated,
unsubstantiated, or unfounded.
• Issue
– Not informing the inmate as to whether the allegation
has been determined to be substantiated,
unsubstantiated, or unfounded.
115.73 Reporting to inmates
• Standard (c) Following an inmate’s allegation that a
staff member has committed sexual abuse against the
inmate, the agency shall subsequently inform the
inmate (unless the agency has determined that the
allegation is unfounded) whenever:
– The staff member is no longer posted within the inmate’s
unit;
– The staff member is no longer employed at the facility;
– The agency learns that the staff member has been indicted
on a charge related to sexual abuse within the facility; or
– The agency learns that the staff member has been
convicted on a charge related to sexual abuse within the
facility.
• Issue
– Not informing the inmate of the staff members status.
115.88 Data review for corrective action
• Standard (a) The agency shall review data collected
and aggregated pursuant to § 115.87 in order to
assess and improve the effectiveness of its sexual
abuse prevention, detection, and response policies,
practices, and training, including by:
– (1) Identifying problem areas;
– (2) Taking corrective action on an ongoing basis; and
– (3) Preparing an annual report of its findings and
corrective actions for each facility, as well as the agency as
a whole.
• Issues
– Not preparing an annual report or using the DoJ Annual
Survey of Sexual Violence.
– Not addressing problem areas and corrective actions.
115.88 Data review for corrective action
• Standard (c) The agency’s report shall be
approved by the agency head and made readily
available to the public through its website or, if it
does not have one, through other means.
• Issues
– Report not signed by agency head.
– Not posted on website or available to public by other
means.
– Hidden in website.
Other Problem Standards
• 115.13 Staffing plans.
• 115.21 Availability of victim advocates.
• 115.31 - 35 Staff understand and acknowledge
understand training.
• 115.86 Sexual Abuse Incident Reviews
Keys to Success
Recommendations for Success
• Work the culture.
• Establish an internal team.
• Establish folders for each standard
• Randomly monitor your facility
– For vulnerable security practices (Section
115.15 limits to cross-gender viewing and
searches).
– Screening of inmates at initial intake.
– Use of protective custody to ensure that it
aligns with the requirements of the standards.
Recommendations for Success
• Assess compliance through interviews
– Staff: What do you do when an inmate tells you they
were sexually touched by another inmate? (§115.51)
– Staff: Ask about “Red Flag” behavior, and if they would
report. (§115.61)
– Inmates: Ask about what they learned about PREA at
intake, and in their initial orientation period, as well as
what is in the inmate handbook. (§115.33)
– Inmates: Ask if they know how to report and to whom
they can report. (§115.51)
– Staff & Inmates: Ask if they believe that reports of
sexual abuse and sexual harassment are handled
properly, fairly, and thoroughly. (§115.61)
• Use the Jail Toolkit and the Audit Instrument.
Sources
• The National PREA Resource Center is the most
comprehensive collection of resources concerning
PREA.
– FAQs
– PREA Essentials
– Technical Assistance
– PREA Standards
– PREA Audit Instrument
• National Institute of Corrections
• Moss Group
Sources
The Preamble to the PREA
standards provides valuable insight
and interpretation concerning the
development and meaning of the
final standards.
First draft of PREA standards and
final draft of PREA standards by DOJ
were subject to public comment.
The Preamble provide an overview
of all comments received from the
field, and describes the rationale
for the USDOJ’s process for
determining the final standards.
PREA Essentials Page
• Designed to guide professionals in their implementation of
specific standards.
• Each category contains:
– a brief synopsis summarizing the standards in that category;
– links to an online version of those standards;
– links to helpful resources related to those standards sorted by
correctional facility type; and
– where relevant, a discussion of some key issues raised by those
particular standards.
• The issues and resources included offer a snapshot of those
that may be of particular interest to practitioners working
to comply with the standards.
• For specific questions regarding interpretation of the
standards, please visit the PRC FAQs or contact the PRC.
Lessons Learned Facilities/Agencies
• Use PREA Resource Center, good source of
info.
• Do not simply cut and paste PREA standards
as your policy and procedures.
• Staff must know and follow policy and
procedures.
• Continually capture data, statistics, and
develop system to have readily available
upon request.
Lessons Learned Facilities/Agencies
• Inmate PREA education needs to be
documented.
• PREA information needs to be posted visibly.
• Be prepared to facilitate interviews.
• Use PREA definitions.
• Document attempts to get outside victim
advocate or SANE or SAFE
support/assistance.
My mama always said, auditors are like a
box of chocolates.
You never know what you are going to get.
Auditors
• Certified by DoJ.
• Subject to be decertified by DoJ.
• Subject to peer review.
– Impact to auditor.
– Impact to facility/agency.
• Process is new.
How To Prepare For A PREA Audit
Run Forest Run
Kübler-Ross Stages of Grief
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Denial
Anger
Bargaining
Depression
Acceptance
Where are you in the process of accepting PREA
Questions and Answers