How To Prepare For A PREA Audit

1. How To Prepare For A PREA Audit

2. Talk Story PREA Coordinators/ PREA Compliance Managers PREA Auditors Agency/Facility Staff Advocates Dave’s Perspective

3. Agenda • Paradigm Shift • Pre Audit • Audit • Post Audit • Common Pitfalls • Exceed Standards • Trouble Standards • Recommendations For Success • Auditors • Questions and Answers

4. Paradigm Shift ACA 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 • Daily out briefs • Close out with score • Tour and folders • Mandatory and Non-mandatory standards • Plan of action, waiver, appeal to commission • Interviews • Auditor and Commission

5. Quote from PREA Auditor Training – “No facility will pass a PREA audit in the first cycle year.” Reality Facilities are passing

6. Audit Process Map Pre-Audit Post Notice of Upcoming Audit 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 Audit Facility Tour Additional Document Review Staff Interviews Inmate Interviews Post-Audit Complete Auditor Compliance Tool Coordinate and Review Corrective Action Auditor Report

7. Pre-Audit Phase • Steps • Post Notice of Upcoming Audit • 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 • Lessons Learned • Set parameters in the contract • Pre-audit sets the tone for the audit • Coordinate the notice; post 6 weeks prior to audit • Communication between auditor and facility/agency is critical • Open vs. closed • Start early in communicating and providing information • Auditor will communicate with Community Based Victim Advocate and other outside agencies

8. Pre-Audit Phase • Steps • Post Notice of Upcoming Audit • 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 • Lessons Learned • 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 • Coordinate and conduct initial interviews • Director or representative • Contract Manager • PREA Coordinator • PREA Compliance Manager • Coordinate on-site schedule and interviews • Website and internet

9. Audit Phase

10. 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.

11. Interviews Prisoners Staff 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). • Random Sample of Prisoners • Targeted Prison Populations (e.g., Youthful Prisons, Transgender and Intersex Prisoners, Prisoners who Reported Sexual Assault).

12. 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)

13. 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

14. Audit Phase • Steps • Staff Interviews • Inmate Interviews • Lessons Learned • Practice, Practice, Practice… Open book test • 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

15. 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

16. Post Audit

17. 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

18. Post Audit Phase • Steps • Interim Report • Corrective Action Plan • Final Report • Lessons Learned • Auditor has up to 30 days to write interim report • Can provide corrective action • 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

19. 4 - Common Pitfalls

20. 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

21. 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.

22. Too Much Documentation

23. Exceed Standard

24. 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.

25. 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.

26. 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

27. Trouble Standards

28. 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

29. 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

30. FAQ on 115.15 Searches • Operationally, three options are in current practice for searches of transgender or intersex inmates/residents/detainees: • searches conducted only by medical staff; • 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 • Asking inmates/residents/detainees to identify the gender of staff with whom they would feel most comfortable conducting the search.

31. 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.

32. 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.

33. 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.

34. 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.

35. 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.

36. 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

37. 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.

38. 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.

39. 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.

40. 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.

41. 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.

42. 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

43. Keys to Success

44. 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.

45. 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.

46. 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

47. 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.

48. 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.

49. 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.

50. 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.