DRAFT Statement of Work.pdf

US DEPARTMENT OF JUSTICE

OFFICE OF JUSTICE PROGRAMS

BUREAU OF JUSTICE ASSISTANCE

Support for Prison Rape Elimination Act Audit Function

STATEMENT OF WORK

INTRODUCTION

This Statement of Work (SOW) focuses on supporting the Prison Rape Elimination Act (PREA) Audit Function. It is directed by the PREA Management Office (PMO) within the Bureau of Justice Assistance (BJA) at the U.S. Department of Justice’s (DOJ) Office of Justice Programs (OJP).

The PREA Statute was passed unanimously by both houses of Congress and signed into law in 2003.1 In 2012, as required by the statute, DOJ released the PREA Standards, which apply to approximately 13,000 confinement facilities across the country, including prisons and jails, juvenile confinement facilities, police lockups, and community confinement facilities.2 There are four sets of standards that correspond to these four facility types;

each set includes dozens of standards, and more than 300 provisions that confinement facilities and agencies that operate them must implement to achieve full compliance. The topics covered by the PREA Standards include prevention planning, responsive planning, training and education, screening for risk of sexual victimization and abusiveness, reporting, official response following an inmate/resident/detainee report, investigations, discipline, medical and mental care, data collection and review, and audits and corrective action. The PMO created and implemented DOJ’s PREA Audit Function in 2013 according to PREA Standards 115.401 – 115.405. Since August 2013, DOJ-certified PREA auditors have completed approximately 10,000 PREA audits across the country. In calendar year 2025, more than 1,000 PREA audits were conducted in federal, state, and local confinement facilities.

Two amendments—one in 2016 and one in 2018—to the PREA Statute were passed by Congress and signed into law. Both increase the responsibilities and legal authority of the PMO. The 2016 PREA Amendment, under the Justice for All Reauthorization Act,3 requires fingerprint-based criminal records background checks for PREA auditor candidates and certified auditors seeking recertification. The 2018 PREA amendment that is part of the

1 34 U.S.C. § 30301 et seq.

2 28 C.F.R. Part 115.

3 Pub. L. No. 114-324.

U.S. Parole Commission Extension Act of 20184 codifies the existence of the PMO by naming it specifically, and requires it to:

• Evaluate all DOJ-certified PREA auditors’ performance and conduct.

• Take remedial or disciplinary action when auditors fail to meet the requirements of their DOJ-issued PREA Auditor Certification Agreement that is included in the PREA Auditor Handbook.5

• Publish the names of auditors who have been decertified, and the reason for decertification.

• Establish a system for assigning DOJ-certified auditors to federal, state, and local confinement facilities.

OBJECTIVE AND TASKS

This SOW supports the PMO’s ongoing efforts to carry out its statutory and regulatory responsibilities related to the PREA Audit Function that are defined in the PREA Statute, the two amendments to it, the PREA Standards, and the PREA Auditor Handbook. It includes five primary tasks to be carried out under the direction of the PMO and the COR:

1. Train, certify, and recertify auditors who evaluate compliance with the PREA Standards in the federal, state, and county/local confinement facilities covered by the standards (i.e., prisons and jails, juvenile facilities, community confinement facilities, and police lockups).

2. Administer the Auditor Oversight Program to evaluate whether DOJ-certified auditors are upholding the auditing responsibilities defined in the PREA Standards and the PREA Auditor Handbook.

3. Manage and enhance the existing Audit Instrument that all auditors must use when conducting audits. This instrument guides auditors in evaluating compliance with the 300+ provisions in the PREA Standards comprehensively, objectively, and reliably, and is integrated into the PREA Online Audit System. The selected contractor will make needed revisions to this instrument in Microsoft Word and PDF formats, and work with the contractor that operates the PREA Online Audit System to ensure that all changes to the Audit Instrument are made in this system.

4. Operate the existing, web-based Audit Assignment System6 to ensure that every audit that is initiated is reviewed and approved before the auditor begins their work on it. This system will be migrated to and accessed via the clearinghouse of audit resources that will be included on the PREA page of the BJA website.7

4 Pub. L. No. 115-274.

5 https://www.prearesourcecenter.org/resource/prea-auditor-handbook.

6 https://www.prearesourcecenter.org/audit/prea-audit-assignment-system 7 https://bja.ojp.gov/program/prea/overview https://www.prearesourcecenter.org/resource/prea-auditor-handbook https://www.prearesourcecenter.org/audit/prea-audit-assignment-system https://bja.ojp.gov/program/prea/overview

5. Assist the PMO in creating and managing a web-based clearinghouse of PREA audit resources for DOJ-certified auditors and representatives from federal, state, and local confinement facilities and agencies who are preparing for audits. This clearinghouse will include existing audit resources—which were developed with BJA funding—that are currently available on the PREA Resource Center (PRC) website.8 These resources will be migrated from the PRC website to the PREA page of the BJA website.

These five (5) tasks are briefly described below. More specific information about them is included in the Performance Requirements section of this SOW.

Task 1: Training, certifying, and recertifying auditors

With direction from the PMO and the COR, the selected contractor shall:

• Manage the auditor candidate application process.

• Administer the auditor certification process.

• Track the certification and recertification statues of every auditor.

• Conduct auditor candidate trainings and administer related exams.

• Manage probationary certification for newly certified auditors.

• Develop and deliver web-based continuing education coursework to auditors, consistent with the training requirements in the Auditor Handbook.

• Support the recertification process for auditors every three years.

Task 2: Supporting the Auditor Oversight Program

The PMO created the Auditor Oversight Program to fulfill its statutory obligation to assess all DOJ-certified auditors’ compliance with the auditing requirements defined in the PREA Standards and the Auditor Handbook. With directions from the PMO and the COR, the selected contractor shall:

• Use a data-driven process to monitor the work of all auditors.

• Manage a peer review process.

• Review audit documentation that auditors use to audit compliance with the 300+ provisions in the PREA Standards.

• Identify deficiencies in auditors’ practices.

• Address these deficiencies via a remediation process.

Task 3: Managing and enhancing the Audit Instrument

8 https://www.prearesourccenter.org https://www.prearesourccenter.org/

The Audit Instrument is comprised of 100+ Word and PDF documents which include specific guidance (i.e., a required methodology) to auditors about how to evaluate compliance with the 300+ provisions in the PREA Standards. This instrument (i.e., the 100+ Word and PDF documents) is integrated into the PREA Online Audit System, which is not a part of this contract. With directions from the PMO and the COR, the selected contractor shall:

• Train all auditors to use the Audit Instrument.

• Assist the PMO to identify needed revisions to the instrument.

• Revise and update the instrument on an as needed basis in Microsoft Word and PDF formats.

• Work closely with the contractor that is responsible for administering the PREA Online

Audit System to ensure that all changes to the instrument are reflected in this system.

• Educate all auditors on revisions to the instrument.

Task 4: Administering the Audit Assignment System

The existing, web-based Audit Assignment System will be migrated from the PRC website to the PREA page of the BJA website. With directions from the PMO and the COR, the selected contractor shall:

• Operate the Audit Assignment System to assign auditors to federal, state, and local confinement facilities.

• Review and approve audits to proceed and post information about them in the directory of audits on the PREA page of the BJA website. This information includes the name facility to be audited, the agency that operates it, the auditor’s name, and the dates of the onsite portion of the audit.

Task 5: Migrating, managing, and updating a web-based clearinghouse of audit resources

BJA funds the PRC cooperative agreement that operates a clearinghouse of resources for auditors and representatives from confinement facilities and agencies that are receiving audits. With direction from the PMO and the COR, the selected contractor shall migrate these resources from the PRC website to the PREA page of the BJA website, manage this clearinghouse over time, and update it as needed. The audit resources to be included in this clearinghouse are identified throughout this SOW.

Expertise:

This contract requires the following types of expertise:

Project Management

• Planning, organizing, and overseeing resources to achieve programmatic objectives within budget and established timeframes.

• Using standard project management tools and practices, including iterative, incremental, and agile practices throughout project lifecycles.

• Developing and implementing detailed project schedules, and time and task plans.

• Implementing quality assurance strategies that are performance-based, monitor outputs and outcomes, and enhance ongoing efforts to carry out project tasks and sub-tasks.

• Identifying and mitigating project risks and challenges.

• Conducting strategic outreach to and communications with diverse stakeholders/constituent groups to build trust, support meaningful engagement, address their needs, and support their work.

Auditing

• Overseeing complex compliance audits that involve systematic, independent, and accurate examinations of an organization’s policies, procedures, and practices to assess alignment with federal standards, criteria, and/or requirements.

• Making accurate determinations about whether audited organizations have implemented established standards, criteria, and/or requirements.

• Developing corrective action plans to support successful implementation of policies, procedures, and practices that reflect established standards, criteria, and/or requirements.

Auditor Training

• Developing and delivering training to new and existing/experienced auditors to:

o Understand the standards, criteria, and/or requirements to be analyzed in compliance audits.

o Collect and analyze information and evidence from multiple sources (e.g., documentation, evidence, interviews, observations of practices, etc.) to make accurate compliance determinations.

o Explain—verbally and in writing—their findings, based on the information sources they examined.

o Use the required auditing tools and systems.

Collection and Analysis of Audit Data and Information

• Using software to collect, analyze, and interpret large amounts of data and information from multiple sources to:

o Identify patterns, trends, and relationships.

o Draw meaningful, objective conclusions.

o Develop and implement changes based on the conclusions reached.

• Sharing data and information between web-based information management systems/applications.

Subject Matter

• Understanding of the operations of the types of confinement facilities covered by the

PREA Standards (i.e., prisons and jails, community, police lockups, and juvenile) to ensure safety and security. Examples of these operations include intake, orientation, assessment/classification of inmates/residents/detainees, supervision and management of them, delivery of healthcare and programming to confined populations, disciplinary processes, and staff training.

• Implementing policies, procedures, and practices in confinement facilities.

• Evaluating whether current policies, procedures, and practices are consistent with established standards, criteria, and/or requirements.

Core Principles of BJA Training

The selected contractor shall uphold BJA’s core training principles, which include:

• Ensuring quality and consistency in the preparation and delivery of training to achieve the required outcomes.

• Collecting and analyzing data to support training enhancements.

• Targeting resources to address critical training needs and build the knowledge and skills of learners.

• Promoting awareness and adoption of recognized best practices.

• Using technology to deliver training, share knowledge and resources, and promote best practices.

• Leveraging existing resources to enhance training opportunities.

• Demonstrating results and cost effectiveness.

PERFORMANCE REQUIREMENTS

The PMO and the COR will oversee the selected contractor’s efforts to carry out the five (5) major tasks and meet the performance requirements defined in this section.

Major Tasks

Task Description Task 1 Training, certifying, and recertifying auditors Task 2 Supporting the Auditor Oversight Program Task 3 Managing and enhancing the Audit Instrument Task 4 Administering the Audit Assignment System Task 5 Migrating, managing, and updating a web-based clearinghouse of audit resources

Task AREA 1: Training, certifying, and recertifying auditors

The contractor shall provide and deliver the following services related to training, certifying, and recertifying auditors.

Auditor certification. The contractor shall support the PMO in certifying, on behalf of DOJ, 150 auditor candidates. The first cohort of 75 auditors will be certified within 18 months of the contract award. The second cohort of 75 auditors will be certified no later than the end of the Year 3 of the contract. The auditor certification process must be consistent with the relevant PREA Standards, including those that focus on the minimum qualifications for DOJ-certified auditors, and with the auditor certification process outlined in the Auditor Handbook. Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Developing and implementing a marketing and communication strategy about the opportunity to apply to become a DOJ-certified auditor. This strategy will target numerous disciplines, including corrections and juvenile corrections, law enforcement, advocacy, prosecution, defense, and compliance auditing not related to criminal justice/corrections (e.g., healthcare, forensics, risk management, etc.).

B. Conducting telephone/virtual interviews of potential auditor candidates to develop a clearer sense of their ability/capacity to carry out the auditing requirements defined in the PREA Standards and Auditor Handbook.

C. Identifying and using objective criteria to evaluate applicants.

D. Submitting to the PMO a recommended list of auditor candidates, including alternates.

E. Communicating with auditor candidates approved by the PMO to confirm their selection and convey expectations related to DOJ’s process to train and certify them.

F. Ensuring all candidates approved by the PMO sign an Auditor Trainee Code of Conduct that defines expectations of them.

G. Managing an online learning hub/Learning Management System for auditors that will be located in the clearinghouse of audit resources on the PREA page of the BJA website.

H. Assisting the PMO in delivering a 60+ hour virtual Auditor Candidate Training—to be delivered over multiple weeks—that focuses on the meanings of the 300+ provisions in the PREA Standards. This training will also introduce auditor candidates to the Audit Instrument that is integrated into the PREA Online Audit System, and to the functionality of this system.

I. Making the virtual 60+ hour Auditor Candidate Training available in the centralized learning hub/Learning Management System that will be located in the clearinghouse of audit resources on the PREA page of the BJA website.

J. Convening virtual working sessions with all auditor candidates to respond to their questions about the virtual training, ensure they understand the 300+ provisions in the PREA Standards, and are familiar with the Audit Instrument in the PREA Online Audit System.

K. Conducting a 40 hour in-person Audit Candidate Training9 that focuses on building and enhancing auditing skills (including collecting and analyzing documentation/evidence from multiple sources, conducting interviews, and communicating audit findings verbally and in writing), and using the Audit Instrument in the PREA Online Audit System. This in-person training must include compliance scenarios that focus on PREA Standards the PMO has determined to be difficult to audit, such as those that focus on investigating allegations of sexual abuse and sexual harassment.

L. Administering comprehensive examinations following both the virtual and in-person trainings. Auditor candidates who do not achieve a passing score on each exam will be granted one opportunity to retake it. Auditor candidates who fail an exam and the retake may be disqualified by the PMO from the certification process.

M. Overseeing a fingerprint-based criminal records background check for each auditor candidate and working with OJP’s Office of Administration to process these checks.

N. Managing the process to allow auditor candidates to seek dual certification. Auditor candidates have the option of pursuing a dual certification that permits them to conduct audits of adult facilities (including prisons and jails, community confinement facilities, and lockups), juvenile facilities, or both types. Requests for dual certification must be approved by the PMO.

O. Ensuring that candidates who complete DOJ’s certification requirements sign and submit the Auditor Certification Agreement.

P. Monitoring and tracking each auditor’s certification date and status, so that the recertification process can be initiated with each auditor on the required date.

Q. Managing and updating a directory of auditors in the clearinghouse of audit resources on the PREA page of the BJA website. This directory includes accurate, up-to-date information about every auditor, including their name, current certification status, and certification and recertification dates.

Probationary certification. The contractor shall manage the probationary certification process for every newly certified auditor. This process is outlined in the Auditor Handbook and was first instituted with auditor candidates who participated in the March 2015 Auditor Candidate Training. All newly certified auditors are required to enter probationary certification status and must successfully complete the associated requirements to be fully certified by DOJ. Probationary certification status assists newly certified auditors to uphold their auditing obligations in the PREA Standards and Auditor Handbook, and to

9 It is anticipated that the in-person training will take place at DOJ’s Office of Justice Programs, located at 999 North Capitol Street in Washington, DC, 20531.

convey their compliance findings effectively in writing and verbally. Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Developing and delivering virtual probationary training opportunities to allow newly certified auditors to complete a minimum of eight (8) hours of probationary education coursework in the 12 months after they are certified by DOJ. This training must focus on further developing and enhancing the skill necessary to conduct audits, including evaluating compliance with certain the PREA Standards the PMO has determined to be challenging to audit (such as investigating allegations of sexual abuse and sexual harassment), enhancing practical auditing skills (e.g., interviewing, collecting and analyzing documentation and evidence from numerous sources, etc.), using the Auditor Instrument in the PREA Online Audit System, and procuring audits via contracts with confinement facilities/agencies. These virtual training opportunities will be delivered in a variety of formats, including self-paced modules and pre-recorded webinars, and be made available in the centralized learning hub/Learning Management System managed by the contractor in the clearinghouse of audit resources on the PREA page of the BJA website.

B. Monitoring and tracking the progress of all auditors with probationary certification status in completing their training requirements. The contractor will ensure that auditors who do not complete eight (8) hours of probationary training within 12 months of their certification date remain on probation. If auditors do not complete their probationary training during their first three-year (3) certification period, they may be decertified by the PMO.

C. Offering support to auditors who initiate one (1) or more audits while on probationary status.

D. Responding to individual requests for assistance, support, and guidance from auditors on probationary status.

E. Notifying auditors who successfully complete their probationary training requirements that they are fully certified by DOJ.

Mandatory continuing education for DOJ-certified auditors. The PREA Auditor Handbook requires DOJ-certified auditors to participate in up to 10 hours of continuing education coursework in every calendar year. This translates to a maximum of up to 30 hours of mandatory training during every three-year (3) auditor certification cycle. The probationary education requirements described above do not count toward meeting auditors’ annual continuing education requirements. Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Assisting the PMO in defining specific topics and issues to be the focus of mandatory continuing education coursework for auditors.

B. Making virtual continuing education opportunities available to auditors in the learning hub/Learning Management System to be included in the clearinghouse of audit resources on the PREA page of the BJA website.

C. Providing ample notice to DOJ-certified auditors about upcoming mandatory continuing education opportunities.

D. Monitoring and tracking every auditor’s participation in continuing education and sharing this information with the PMO.

E. Collecting feedback from auditors about the mandatory coursework and using it to make needed adjustments to subsequent trainings.

F. Communicating with auditors who have not fulfilled their annual continuing education requirements.

Auditor recertification. Auditors are recertified by DOJ every three (3) years. To be recertified, they must:

• Submit an online recertification application by a specified deadline.

• Fulfill all auditor reporting requirements defined in the Auditor Handbook.

• Complete all probationary certification (if applicable) and continuing education requirements.

• Take an online recertification exam that is pass/fail or used for diagnostic purposes.

• Complete a fingerprint-based criminal records background check.

If auditors elect not to pursue recertification, they may let their certification expire or become inactive.

Required subtasks to support the recertification process overall, to be carried out under the direction of the PMO and the COR, include:

A. Tracking the recertification status of all auditors.

B. Responding to questions from auditors about recertification.

C. Communicating with auditors about recertification requirements and deadlines.

D. Making an online recertification application available to auditors in the clearinghouse of audit resources on the PREA page of the BJA website.

Required subtasks, to be carried out under the direction of the PMO and the COR, related to auditors who are seeking recertification—rather than letting their DOJ-issued certification expire or electing to enter inactive status—include:

E. Receiving and reviewing recertification applications that are submitted online by auditors.

F. Drafting online pass/fail recertification exams.

G. Administering online pass/fail recertification exams.

H. Scoring online pass/fail recertification exams. Auditors who fail a recertification exam are given one opportunity to pass it.

I. Administering retakes of online pass/fail recertification exams.

J. Scoring retakes of online pass/fail recertification exams.

K. Communicating with auditors who fail the recertification exam and the retake about the opportunity to continue to pursue recertification through a “path back” process.

L. Managing the “path back” process that requires auditors who elect to participate in it to review audit resources that address the questions they did not answer correctly on the pass/fail recertification exam and the retake. The mandatory continuing education coursework for auditors that will be included in the learning hub/Learning Management System on the PREA page of the BJA website is an example of the kinds of resources that auditors may be required to review during the “path back” process.

M. Creating an individualized plan for each auditor who elects to participate in the “path back” process. Each plan must focus on the pass/fail exam questions the auditor did not answer correctly and include deadlines by which they will complete their plan and take the pass/fail recertification exam a final time.

N. Responding to questions from auditors who participate in the “path back” process about the resources they are required to review.

O. Monitoring the progress of each auditor in the “path back” process.

P. Scheduling a final opportunity for auditors who complete the “path back” process to take the online pass/fail recertification exam a final time.

Q. Scoring the online pass/fail recertification that is taken by auditors who complete the

“path back” process.

R. Drafting online recertification exams that are used for diagnostic purposes.

S. Administering online recertification exams that are used for diagnostic purposes.

T. Scoring online recertification exams that are used for diagnostic purposes. Auditors who have previously passed a pass/fail exam take online recertification exams for diagnostic purposes.

U. Providing mandatory training to address the specific needs of auditors identified via the online diagnostic exam. This training will be made available in the learning hub/Learning Management System managed by the contractor and must be completed before each auditor’s recertification date.

V. Tracking auditors’ participation in required training based on the outcomes of the diagnostic exam.

W. Communicating with the PMO about auditors’ progress completing the required training based on the outcomes of the diagnostic exam.

X. Working with OJP’s Office of Administration to process the results of fingerprint-based criminal records background checks for each auditor applying for recertification.

Y. Notifying auditors who successfully complete all recertification requirements.

Z. Communicating with the PMO about the auditors who do not fulfill the recertification requirements, so the PMO can notify them that they are being denied recertification.

AA. Ensuring that the directory of auditors in the clearinghouse of audit resources that will be available on the PREA page of the BJA website is updated to reflect the outcomes of the recertification process.

Required subtasks, to be carried out under the direction of the PMO and the COR, related to auditors who voluntarily let their certification expire include:

BB. Ensuring that the “let certification expire” option is available for auditors to select in the online recertification application.

CC. Ensuring the directory of auditors in the clearinghouse of audit resources that will be available on the PREA page of the BJA website is updated to indicate which auditors choose to let their certification expire.

Auditors who elect to enter inactive status maintain their DOJ-issued certification but are not permitted to conduct audits as a lead auditor for a minimum of three years. Auditors may only choose to enter—or remain on—inactive status if they have not started the pass/fail or diagnostic exam. Auditors who choose to become active again must complete all relevant mandatory auditor continuing education coursework that was required of auditors who are not on inactive status. Required subtasks, to be carried out under the direction of the PMO and the COR, related to auditors who elect to enter inactive status include:

DD. Ensuring that “enter inactive status” is an option for auditors to select in the online recertification application.

EE. Enabling auditors to apply to reactivate their auditor certification via the online recertification application every three years on their recertification date.

FF. Monitoring completion of all relevant continuing education coursework that would have been required if the auditor was not on inactive status.

GG. Ensuring that the directory of auditors in the clearinghouse of audit resources that will be available on the PREA page of the BJA website is updated to indicate which auditors have elected to enter—or remain on—inactive status.

Task AREA 2: Supporting the Auditor Oversight Program

The contractor shall deliver the following services related to supporting the PMO’s Auditor Oversight Program.

Auditor assessment. The contractor shall carry out a systematic, objective, data-driven process to assist the PMO to evaluating the auditing work of all auditors. This process is consistent with the PMO’s statutory obligations and relies on information from multiple sources, including audit reporting forms auditors must submit via the PREA Online Audit System, interim and final audit reports, and complaints and feedback from third-party sources. Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Assisting the PMO to monitor the extent to which every auditor is following the auditing requirements defined in the PREA Standards and the Auditor Handbook. Examples include interviewing prescribed numbers and types of staff members and inmates/residents/detainees and completing a comprehensive site review of the audited facility that includes direct observations and tests of critical functions mandated by the PREA Standards.

B. Working closely with the contractor that administers the PREA Online Audit System to collect information and data about audits that auditors are required to submit into this system, including documentation they use to make their compliance determinations and data about their adherence to the auditing practices prescribed in the PREA Standards and the Auditor Handbook.

C. Conducting ongoing analyses of the data and information being collected to enable the PMO to identify auditors who are not consistently upholding their auditing requirements.

D. Carrying out structured reviews of the audit documentation submitted by selected auditors via the PREA Online Audit System to determine if their compliance findings are consistent with this documentation, and to evaluate their adherence to mandatory auditing practices defined in the PREA Standards and the Auditor Handbook. The contractor will be responsible for no less than 12 audit documentation reviews during each year of the contract.

E. Providing the PMO with written summaries of the outcomes of the ongoing analyses of audit data and information, and of every review of audit documentation.

F. Enabling representatives from confinement facilities/agencies that receive audits and other stakeholders to submit feedback and input about auditors.

G. Receiving feedback and input about auditors and summarizing it in writing for the PMO.

Auditor peer review. During peer review, an auditor’s professional peers evaluate the extent to which they comply with the auditing requirements in the PREA Standards and conform to the auditing methods and practices defined in the standards and the Auditor Handbook. Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Marketing the opportunity among active auditors to apply to become a peer reviewer.

B. Managing the peer reviewer selection process that is based on an objective scoring process.

C. Providing the PMO with a list of recommended peer reviewers who possess the skills and auditing experience needed to serve as an effective peer reviewer.

D. Developing resources for peer reviewers, including training materials, tools, and reporting forms.

E. Assisting the PMO in identifying auditors to be peer reviewed based on the outcomes of the auditor assessments explained above.

F. Managing a process in which teams of two peer reviewers examine the extent to which an auditor’s compliance findings in one or more audits are consistent with the documentation and evidence they collected and used, and their practices reflect the auditing requirements in the PREA Standards and Auditor Handbook.

G. Presenting all peer review findings verbally and in writing to the PMO.

H. Drafting the PMO’s communications with the auditors whose work is subject to peer review about key findings and their implications.

I. Ensuring the auditing work of no less than eight (8) auditors are peer reviewed during each year of the contract.

Auditor remediation. When auditor assessment, documentation review, and/or peer review identifies significant auditing deficiencies, the PMO may require the auditor to participate in remediation. This process is typically six months in duration. During this period, the auditor must engage in monthly one hour working sessions with an expert peer mentor to address the identified shortcomings. Following remediation, the auditor may be subject to another audit documentation review to evaluate improvements in their auditing practices.

Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Developing an individualized remediation plan with measurable benchmarks to guide the Remediation process for each auditor who is required by the PMO to participate in it.

B. Assigning an expert peer mentor to work with each auditor during the six-month Remediation process.

C. Providing regular/monthly updates to the PMO related to the remediation steps being taken with each auditor for the PMO.

D. Summarizing verbally and in writing the outcomes of the remediation process for each participating auditor.

E. Ensuring that no less than 12 auditors participate in remediation during each year of the contract.

F. Carrying out a post-remediation documentation review for each auditor who participates in remediation to determine if their auditing practices have improved. This documentation review will focus on an audit that was conducted following remediation and be consistent with the documentation reviews that are described above.

G. Communicating with the PMO about the results of each post-remediation documentation review.

Disciplinary review. If post-remediation documentation reviews reveal significant, ongoing deficiencies in auditing practices, the PMO will require the auditor to submit documentation related to another audit. Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Carrying out disciplinary documentation reviews that are consistent with the documentation reviews described above.

B. Communicating with the PMO about the results of each disciplinary documentation review.

Task AREA 3: Managing and enhancing the Audit Instrument

As required by the PREA Standards, the PMO developed the Audit Instrument that all DOJ-certified auditors must use to conduct audits. This instrument is comprised of 100+ Word and PDF documents which provide instructions (i.e., a required methodology) to auditors about how to evaluate compliance with the 300+ provisions in the PREA Standards in each of the four facility types covered by the standards. The instrument (i.e., the contents of the 100+ Word and PDF documents) is embedded in the PREA Online Audit System that is not a part of this contract. The PREA Online Audit System is a web-based platform that streamlines the audit process for auditors and confinement facilities/agencies, ensures all audit documentation is stored securely, and promotes ongoing communications between auditors and representatives from audited confinement facilities/agencies. Under the direction of the PMO and the COR, the contractor shall assist in identifying necessary changes to the instrument to promote high quality, comprehensive, objective, and reliable audits that are consistent with the auditing requirements prescribed in the PREA Standards and the Auditor Handbook. The contractor will then work with the contractor that administers the PREA Online Audit System to ensure that the changes to the instrument are made in the PREA Online Audit System.

The instrument defines requirements for auditors related to evaluating compliance with each of the 300+ provisions in the PREA Standards and includes core and evidence collection components. The core components include:

• Pre-Audit Questionnaire (PAQ) – To gather information during the pre-onsite phase of the audit. The PAQ identifies minimum information and supporting documents (e.g., policies/procedures, forms, reports, etc.) for each provision of every PREA Standard that the audited confinement facility/agency should provide to the auditor via the PREA Online Audit System.

• Auditor Compliance Tool (ACT) – To provide comprehensive guidance to auditors on the specific sources of evidence—including documentation; observations and evaluations of operations, functions, and day-to-day practices inside facilities; and interviews of inmates/residents/detainees, staff members—they must gather and analyze to make a compliance determination for the 300+ provisions in the PREA Standards.

• Audit Report Template – To standardize all interim and final audit reports and ensure auditors comply with the audit reporting requirements in the PREA Standards and Auditor Handbook. This template ensures that auditors make a compliance determination for each of the 300+ provisions in the PREA Standards. In the PREA Online Audit System, when an auditor submits the ACT and the Post-Audit Reporting Form, which is described below, the audit report is automatically generated.

• Post-Audit Reporting Form (PARF) – To ensure auditors submit comprehensive data and information about every audit they complete. Examples of the data and information from the PARF that are automatically included in every final audit report that is generated electronically by the PREA Online Audit System are the numbers and types of:

o Inmates/residents/detainees in the audited facility.

o Inmates, staff members, and others who were interviewed during the audit.

o Documents that were sampled and reviewed.

The evidence collection components of the Audit Instrument are as follows:

• Instructions for the Site Review – To guide the auditor through the onsite portion of the audit that includes PREA Standards-driven observations, tests of critical functions, examinations of day-to-day practices, interviews, and informal conversations with inmates/residents/detainees and staff members.

• Interview Protocols – To define questions to guide auditors’ interviews of inmates/residents/detainees, staff members, and others that inform their compliance determinations related to the 300+ provisions in the PREA Standards. These protocols reflect the requirements in the standards and the Auditor Handbook related to the minimum numbers and types of interviews auditors must conduct, the selection/sampling criteria for interviews to be used, and the necessary steps to ensure privacy and confidentiality related to sensitive and protected information that is disclosed during interviews. There are questions in these protocols for auditors to use in their required interviews of:

o Agency head or their designee.

o Warden or their designee.

o PREA Coordinator.

o PREA Compliance Manager.

o Specialized facility staff members (e.g., screening/classification, medical, etc.).

o Random staff members.

o Inmates/residents/detainees who may be vulnerable to sexual abuse and sexual harassment, o Random inmates/residents/detainees.

• Documentation Checklist – To define a baseline list of documents that auditors must request from the audited confinement facility/agency and review to inform their compliance determinations. These protocols reinforce the specific requirements in the PREA Standards and Auditor Handbook related to selecting/sampling and retaining documentation, which auditors are required to provide to DOJ via the PREA Online Audit System upon request.

A. Training auditors on using the Audit Instrument in the PREA Online Audit System.

B. Operating a “Help Desk” that includes a dedicated email and phone number to respond within one business day to auditors—and representatives of audited confinement facilities/agencies—who have questions about using the Audit Instrument in the PREA Online Audit System. Information about this “Help Desk” must be included in the clearinghouse of audit resources that will be available on the PREA page of the BJA website.

C. Making resources—such as webinars and brief, practical “how to” videos—available to auditors and representatives from audited confinement facilities/agencies to respond to their questions about the Audit Instrument and its use inside the PREA Online Audit System. These will be included in the clearinghouse of audit resources on the PREA page of the BJA website.

D. Collecting feedback from those who use the Audit Instrument in the PREA Online Audit System.

E. Working continuously with the contractor that administers the PREA Online Audit System to identify and implement needed updates/changes to the Audit Instrument in this system that address user needs, streamline and enhance the audit process, improve the data and information about audits being collected, and reflect any changes to the PREA Standards made by DOJ.

Task AREA 4: Administering the Audit Assignment System

To receive approval from the PMO to proceed with an audit (i.e., to initiate an audit), an auditor must use this system to submit a copy of the audit contract (or other agreement) with the audited confinement facility/agency, confirm they are a party to it with the audited facility/agency, and provide other information about the audit, including the number of inmates/residents/detainees in the facility to be audited and the anticipated onsite dates.

The existing Audit Assignment System will be migrated to the clearinghouse of audit resources on the PREA page of the BJA website. Required sub-tasks, to be carried out under the direction of the PMO and the COR, include:

A. Training auditors and representatives from audited confinement facilities/agencies on using this system.

B. Employing a standardized process to review all audits that are initiated.

C. Identifying instances in which required information is missing, such as a copy of the audit contract (or similar agreement), signatures of the auditor and a representative from confinement facility/agency to be audited, onsite dates, and the number of inmates/residents/detainees in the facility to be audited.

D. Providing feedback to auditors and/or representatives from audited confinement facilities/agencies about missing information that must be provided in order for the audit to be approved to proceed.

E. Analyzing each audit that is initiated to determine if, based on the length of the onsite portion of the audit and the number of inmates/residents/detainees in the confinement facility, the auditor will have sufficient time while onsite to conduct the numbers and types of interviews required by the Auditor Handbook.

F. Notifying auditors in instances in which the time onsite may not be sufficient to conduct the mandatory numbers and types of interviews while onsite.

G. Analyzing each audit that is initiated to determine if it is consistent with the definition of “facility” in the PREA Standards, to ensure that two or more facilities are not included in a single audit.

H. Notifying the PMO of instances in which the time onsite may not be sufficient to conduct the mandatory numbers and types of interviews and when the audit is not consistent with the definition of “facility” in the PREA Standards.

I. Working with the contractor that administers the PREA Online Audit System to create new audits in this system after they have been reviewed and approved to proceed via the Audit Assignment System.

J. Using the data in the Audit Assignment System to make information about every audit publicly available in a directory10 of audits. This directory will be migrated to the clearinghouse of audit resources on the PREA page of the BJA website. This information must, at a minimum, include the name of the confinement facility to be audited, the agency that operates the facility, the onsite dates of the audit, and the name of the auditor. After the audit is completed, the contractor must also make the final audit report that is generated by the PREA Online Audit System available on this website.

K. Collecting and analyzing data from the system to enhance the PMO’s understanding of auditing practices and trends.

Task AREA 5: Migrating, managing, and updating a web-based clearinghouse of audit resources

A. Supporting the process of migrating, managing, and updating a web-based clearinghouse of audit resources on the PREA page of the BJA website. Many of these resources are currently available on the PRC website, which is operated via a competitive BJA cooperative agreement. These resources will be migrated from the PRC website to the PREA page of the BJA website and include the following:

• Directory of past, current, and planned audits.

• Directory of all auditors who are—or were previously—certified by DOJ to conduct audits.

• Learning hub/Learning Management system for auditors.

• Audit Assignment System.

• Webinars, “how to” videos, and other guidance for auditors and representatives of audited agencies/facilities on using the Audit Instrument in the PREA Online Audit System.

• Application to become a DOJ-certified auditor.

• Auditor candidate training.

• Mandatory continuing education coursework for auditors.

• Auditor recertification application.

• Guidance documents, stand-alone trainings, summaries of PREA Standards, and other materials to support the ongoing efforts of confinement facilities/agencies to implement the PREA Standards and pass audits.

B. Operating a “Help Desk”—that is separate from the “Help Desk” that described above that focuses on supporting the use of the Audit Instrument in the PREA Online Audit System. This “Help Desk” must include a dedicated email and phone number and

10 https://www.prearesourcecenter.org/audit/directory https://www.prearesourcecenter.org/audit/directory respond within one business day to representatives from confinement facilities/agencies who have questions about—and/or need assistance with— implementing the PREA Standards so that they are able to pass audits. Information about this “Help Desk” must be included in the clearinghouse of audit resources that will be available on the PREA page of the BJA website.