EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

National Prison Rape Elimination Commission
Standards for the Prevention, Detection, Response, and
Monitoring of Sexual Abuse in Adult Prisons and Jails
AND
Supplemental Standards for Facilities with Immigration
Detainees

1

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

TABLE OF CONTENTS
TABLE OF CONTENTS ...................................................................................................................................................2
INTRODUCTION...............................................................................................................................................................6
COMPLIANCE GUIDE FOR AGENCY HEADS AND AUDITORS .......................................................................8
GLOSSARY .......................................................................................................................................................................10
STANDARDS ....................................................................................................................................................................16
I. LEADERSHIP AND ACCOUNTABILITY .............................................................................................................16
A. SAFETY, OVERSIGHT, AND TRANSPARENCY .............................................................................................................16
SA-1: Zero tolerance of sexual abuse ......................................................................................................................16
SA-2: Annual audit and certification .......................................................................................................................16
SA-3: Internal assessment and planning for achieving compliance with the Prison Rape Elimination Act
standards ....................................................................................................................................................................17
B. PREVENTION PLANNING ............................................................................................................................................18
PP-1: Inmate safety ...................................................................................................................................................18
PP-2: Heightened protection for vulnerable inmates ..............................................................................................18
PP-3: Restrictions on cross-gender supervision ......................................................................................................19
PP-4: Language access..............................................................................................................................................20
PP-5: Staff qualifications..........................................................................................................................................21
PP-6: Integrated information systems......................................................................................................................21
PP-7: Use of appropriate monitoring technology....................................................................................................22
C. RESPONSE PLANNING.................................................................................................................................................22
RP-1: Coordinated response team............................................................................................................................22
RP-2: Evidence protocol...........................................................................................................................................23
RP-3: Sexual abuse findings from forensic autopsies ............................................................................................23
RP-4: Reporting to other confinement facilities .....................................................................................................24
RP-5: Agreements with outside agencies ................................................................................................................24
RP-6: Memoranda of understanding with outside law enforcement agencies ......................................................25
RP-7: Memorandum of understanding with prosecuting authority .......................................................................25
RP-8: Agreements with forensic medical examiners..............................................................................................25
RP-9: Sexual abuse incident reviews.......................................................................................................................26
II. PREVENTION .............................................................................................................................................................27
A. TRAINING AND EDUCATION ......................................................................................................................................27
TR-1: Staff and volunteer training ...........................................................................................................................27
TR-2: Visitor awareness of agency’s zero-tolerance policy regarding sexual abuse ...........................................27
TR-3: Inmate notification of agency’s zero-tolerance policy during intake .........................................................27
TR-4: Inmate education on sexual abuse.................................................................................................................28
TR-5: Specialized training: classification, investigations, medical and mental health care, and data collection
....................................................................................................................................................................................28
B. CLASSIFICATION ........................................................................................................................................................30
CL-1: Initial screening upon arrival at the facility..................................................................................................30
CL-2: Classification assessment ..............................................................................................................................30
CL-3: Inmate management plans .............................................................................................................................32
III. DETECTION AND RESPONSE.............................................................................................................................33
A. REPORTING .................................................................................................................................................................33
RE-1: Inmate reporting .............................................................................................................................................33

2

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
RE-2: Outside confidential support services for inmates .......................................................................................34
RE-3: Third party reporting......................................................................................................................................34
B. STAFF DUTIES FOLLOWING AN INMATE REPORT .......................................................................................................34
SD-1: Staff duty to report sexual abuse ...................................................................................................................34
SD-2: Staff duty to protect sexual abuse victims and preserve evidence..............................................................36
C. AGENCY DUTY TO PROTECT AGAINST RETALIATION ................................................................................................36
AD-1: Agency duty to protect against retaliation ...................................................................................................36
D. INVESTIGATIONS AND D ISCIPLINE ............................................................................................................................37
IN-1: Investigations...................................................................................................................................................37
IN-2: Level of proof required to substantiate sexual abuse allegations for disciplinary action...........................38
DI-1: Disciplinary sanctions for staff ......................................................................................................................38
DI-2: Disciplinary sanctions for inmates.................................................................................................................39
E. MEDICAL AND MENTAL HEALTH CARE ....................................................................................................................40
MM-1: Access to medical and mental health services ...........................................................................................40
MM-2: Medical and mental health screenings—history of sexual victimization .................................................40
MM-3: Detection.......................................................................................................................................................41
MM-4: Medical and mental health care for sexual abuse victims .........................................................................41
IV. MONITORING...........................................................................................................................................................43
A. DATA COLLECTION ....................................................................................................................................................43
DC-1: Data collection ..............................................................................................................................................43
DC-2: Data storage, retention, protection, and destruction ...................................................................................44
COMPLIANCE CHECKLISTS .....................................................................................................................................45
I. LEADERSHIP AND ACCOUNTABILITY COMPLIANCE CHECKLISTS ..............................................45
A. SAFETY, OVERSIGHT, AND TRANSPARENCY ............................................................................................................45
Compliance Checklist 1: Zero tolerance of sexual abuse (SA-1)......................................................................................... 45
Compliance Checklist 2: Annual audit and certification (SA-2).......................................................................................... 45
Compliance Checklist 3: Internal assessment and planning for achieving compliance with the Prison Rape Elimination
Act standards (SA-3) ............................................................................................................................................................... 46

B. PREVENTION PLANNING ............................................................................................................................................48
Compliance Checklist 4: Inmate safety (PP-1)...................................................................................................................... 48
Compliance Checklist 5: Heightened protection for vulnerable inmates (PP-2)................................................................. 49
Compliance Checklist 6: Restrictions on cross-gender supervision (PP-3)......................................................................... 50
Compliance Checklist 7: Language access (PP-4) ................................................................................................................ 50
Compliance Checklist 8: Staff qualifications (PP-5)............................................................................................................. 51
Compliance Checklist 9: Integrated information systems (PP-6)......................................................................................... 51
Compliance Checklist 10: Use of appropriate monitoring technology (PP-7) .................................................................... 51

C. RESPONSE PLANNING.................................................................................................................................................53
Compliance Checklist 11: Coordinated response team (RP-1)............................................................................................. 53
Compliance Checklist 12: Evidence protocol (RP-2) ........................................................................................................... 53
Compliance Checklist 13: Sexual abuse findings from forensic autopsies (RP-3) ............................................................. 55
Compliance Checklist 14: Reporting to other confinement facilities (RP-4) ...................................................................... 55
Compliance Checklist 15: Agreements with outside agencies (RP-5)................................................................................. 56
Compliance Checklist 16: Memoranda of understanding with outside law enforcement agencies (RP-6)....................... 57
Compliance Checklist 17: Memorandum of understanding with prosecuting authority (RP-7) ........................................ 57
Compliance Checklist 18: Agreements with forensic medical examiners (RP-8) .............................................................. 58
Compliance Checklist 19: Sexual abuse incident reviews (RP-9)........................................................................................ 59

II. PREVENTION COMPLIANCE CHECKLISTS..............................................................................................60
A. TRAINING AND EDUCATION ......................................................................................................................................60

3

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 20: Topic requirements for all staff, volunteer, and inmate training and education (TR-1, TR-4)
................................................................................................................................................................................................... 60
Compliance Checklist 21: Procedural requirements for all staff, volunteer, and inmate training and education (TR-1,
TR-4, TR-5) ............................................................................................................................................................................. 62
Compliance Checklist 22: Requirements for visitor awareness (TR-2)............................................................................... 63
Compliance Checklist 23: Requirements for inmate notification of agency’s zero-tolerance policy during intake (TR-3)
................................................................................................................................................................................................... 64
Compliance Checklist 24: Specialized Training (TR-5) ....................................................................................................... 64

B. CLASSIFICATION ........................................................................................................................................................67
Compliance Checklist 25: Initial screening upon arrival at the facility (CL-1) .................................................................. 67
Compliance Checklist 26: Classification assessment (CL-2) ............................................................................................... 67
Compliance Checklist 27: Inmate management plans (CL-3).............................................................................................. 69

III. DETECTION AND RESPONSE COMPLIANCE CHECKLISTS..............................................................70
A. REPORTING .................................................................................................................................................................70
Compliance Checklist 28: Inmate reporting (RE-1).............................................................................................................. 70
Compliance Checklist 29: Outside confidential support services for inmates (RE-2)....................................................... 71
Compliance Checklist 30: Third party reporting (RE-3) ...................................................................................................... 71

B. STAFF DUTIES FOLLOWING AN INMATE REPORT .......................................................................................................72
Compliance Checklist 31: Staff duty to report sexual abuse (SD-1).................................................................................... 72
Compliance Checklist 32: Staff duty to protect sexual abuse victims and preserve evidence (SD-2)............................... 72

C. AGENCY DUTY TO PROTECT AGAINST RETALIATION ................................................................................................73
Compliance Checklist 33: Agency duty to protect against retaliation (AD-1).................................................................... 73

D. INVESTIGATIONS AND D ISCIPLINE ............................................................................................................................74
Compliance Checklist 34: Investigations (IN-1) ................................................................................................................... 74
Compliance Checklist 35: Level of proof required to substantiate sexual abuse allegations for disciplinary action (IN-2)
................................................................................................................................................................................................... 75
Compliance Checklist 36: Disciplinary sanctions for staff (DI-1) ....................................................................................... 75
Compliance Checklist 37: Disciplinary sanctions for inmates (DI-2).................................................................................. 76

E. MEDICAL AND MENTAL HEALTH CARE ....................................................................................................................77
Compliance Checklist 38: Access to medical and mental health services (MM-1) ............................................................ 77
Compliance Checklist 39: Medical and mental health intake screenings—history of sexual victimization (MM-2) ...... 77
Compliance Checklist 40: Detection (MM-3) ....................................................................................................................... 78
Compliance Checklist 41: Medical and mental health care for sexual abuse victims (MM-4).......................................... 78

IV. MONITORING COMPLIANCE CHECKLISTS ...........................................................................................80
A. DATA COLLECTION ....................................................................................................................................................80
Compliance Checklist 42: Incident-based data collection for every reported incident of sexual abuse (regardless of
investigative outcome) (DC-1) ............................................................................................................................................... 80
Compliance Checklist 43: Aggregate data (DC-1)................................................................................................................ 82
Compliance Checklist 44: Data storage, retention, protection, and destruction (DC-2)..................................................... 83

STANDARDS FOR FACILITIES WITH IMMIGRATION DETAINEES............................................................84
I. COMPLIANCE WITH THE PREA STANDARDS .........................................................................................................84
II. SUPPLEMENTAL PREA STANDARDS ......................................................................................................................85
ID-1: Compliance with Immigration and Customs Enforcement detention standards.........................................85
Compliance Checklist 1: Compliance with ICE detention standards (ID-1) ....................................................................... 85

ID-2: Supplement to PP-2: Heightened protection for vulnerable inmates...........................................................86
Compliance Checklist 2: Supplement to PP-2: Heightened protection for vulnerable inmates (ID-2) ............................. 86

ID-3: Supplement to RP-5: Agreements with outside agencies.............................................................................86
Compliance Checklist 3: Supplement to RP-5: Agreements with outside agencies (ID-3)................................................ 87

4

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

ID-4: Supplement to TR-1 through TR-5: Training section of adult prison and jail standards ...........................87
Compliance Checklist 4: Supplement to TR-1, TR-2, TR-3, TR-4, and TR-5: Training section of adult prison and jail
standards (ID-4) ....................................................................................................................................................................... 88

ID-5: Supplement to CL-1, CL2, and CL-3: Classification section of adult prison and jail standards ...............89
Compliance Checklist 5: Supplement to CL-1, CL-2, and CL-3: Classification section of adult prison and jail standards
(ID-5)........................................................................................................................................................................................ 89

ID-6: Supplement to RE-1: Inmate reporting..........................................................................................................90
Compliance Checklist 6: Supplement to RE-1: Inmate reporting (ID-6)............................................................................. 90

ID-7: Supplement to RE-2: External confidential support services for inmates...................................................90
ID-8: Protection of detainee victims and witnesses ................................................................................................91
Compliance Checklist 7: Protection of detainee victims and witnesses (ID-8)................................................................... 91

ID-9: Supplement to DC-1: Data collection ............................................................................................................92
Compliance Checklist 8: Supplement to DC-1: Data collection (ID-9)............................................................................... 92

5

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

INTRODUCTION
Sexual abuse of people in confinement violates their basic human rights, impedes the likelihood
of their successful reentry into the community, and violates the government’s obligation to
provide safe and humane conditions of confinement. No prison sentence, regardless of the crime,
should ever include rape. A core priority of any confinement facility must be safety, which
means protecting the safety of all—the public, the staff, and the inmate population. The National
Prison Rape Elimination Commission’s (NPREC) mandate includes recommending national
standards that will help eliminate prison rape and other forms of sexual abuse within this broader
context of safety.
The Prison Rape Elimination Act (PREA) of 2003 requires agencies (correctional and law
enforcement authorities with responsibility for the operation of confinement facilities) to take a
zero-tolerance stance toward the sexual abuse of people in confinement and comply with the
national standards that follow in order to eliminate it. This body of standards establishes policies
and practices that, if implemented properly, will enable agencies to improve safety and eliminate
sexual abuse. Fundamental to an agency’s success will be its commitment to zero tolerance and
its willingness to treat sexual abuse as an intolerable, critical event, as dangerous to the safety of
the institution as an escape or homicide. Agencies must demonstrate zero tolerance not merely
by words and written policy, but through actions, the setting of clear priorities, and the
achievement of objective, measurable outcomes.
The standards and accompanying compliance checklists are mandatory. The compliance
checklists are to be completed by facility and agency heads. The compliance checklists provide
agencies with detailed guidance and will ultimately be reviewed by an independent auditor who
is employed by the chief executive in the agency’s jurisdiction to determine whether the agency
has met the standards. Auditors will be charged with assessing compliance not only by reviewing
the compliance checklists but through written documentation and interviews with staff and
inmates. The standards and checklists should be supported by written policies. When drafting or
reviewing policies, agencies should review all relevant federal, state, and local laws to ensure
that existing or proposed policies do not conflict with any existing laws. Agencies should also
review other relevant professional standards and best practices to assist their development and
implementation of polices. Where applicable, agencies should also consult collective bargaining
agreements and law enforcement officer bills of rights. To the extent that bargaining agreements
are inconsistent with the spirit and goals of these standards, agencies should take steps to change
them.
While complying with these standards will likely prove cost-saving over time, some agencies
face budgetary constraints that may make immediate implementation and adherence to these
standards a challenge. They are, nonetheless, obligated by these standards and the mandate of the
statute to adopt the policies and take the actions that they can and to account publicly for the
steps they have taken. Agency heads must make every effort to inform legislators, executives,
and the public at the county, state, and federal level when budgetary constraints, lack of human
or other resources, or overcrowding jeopardizes the agency’s ability to comply with these
standards and keep inmates safe from sexual abuse.

6

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

In crafting these standards, NPREC has kept in mind the following overarching considerations:
(1) agency and facility heads should retain the flexibility, responsibility, and authority to
establish systems, practices, and protocols that will eliminate sexual abuse in their settings; (2)
successful compliance with the standards and elimination of sexual abuse requires ongoing
systemic efforts to assess and adjust policies, practices, and the allocation of resources to address
problems and improve safety; (3) agencies must create transparent measurement processes that
hold agency heads accountable for their efforts to protect inmate safety; and (4) central to inmate
safety is continuous sight and sound supervision of all inmates.
These standards are the product of lengthy study and a process that included testimony at 8
public hearings from more than 100 corrections leaders, formerly incarcerated survivors of
sexual abuse in confinement, researchers, investigators, prosecutors, and advocates for victims
and the incarcerated. In addition to the hearings, more than 100 others representative of the same
broad correctional expertise were consulted during the drafting of the standards. NPREC has also
conducted a thorough review of the literature and has commissioned its own research to address
some unanswered questions about the causes and consequences of sexual abuse in confinement.
Following the public comment period, these standards will be reviewed and revised to reflect the
final conclusions of this Commission. The standards will then be submitted to the Attorney
General by the Commission, who will have a year to review them before issuing them as a
federal rule. NPREC believes that full adoption of these standards is absolutely necessary to
achieve what Congress intended when it wrote the Prison Rape Elimination Act.

7

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

COMPLIANCE GUIDE FOR AGENCY HEADS AND AUDITORS
The following is a guide for elected officials and agency heads who are responsible for
implementing and achieving the PREA standards, and for auditors responsible for auditing these
standards on behalf of the chief executive who will ultimately have to certify compliance to the
Attorney General.
I. Reading and Understanding the Standards
The standards are organized under three major headings—Leadership and Accountability,
Prevention, Detection and Response, and Monitoring—which correspond with the major
mandates of the Prison Rape Elimination Act. Following the table of contents is a glossary of
defined terms that are used throughout the standards. Every agency should pay close attention to
the terms defined in the glossary in order to ensure that compliance with the standards is uniform
across agencies. The standards follow the glossary of terms, and the compliance checklists
follow the standards.
Each standard consists of a standard statement, a discussion section, and an accompanying
compliance checklist. The standard statements are the broadest articulation of what every agency
is required to achieve in order to prevent, detect, and respond to sexual abuse in its facility(ies).
The discussion following each standard explains the rationale for the standard and, where
necessary, clarifies the meaning of the standard. In addition, some of the discussion sections
provide suggested strategies to achieve the standard based on proven practices. The compliance
checklists that accompany each standard provide the most detailed information about what is
required of each agency in order to be in compliance with the standards. For example, the
worksheets that accompany the training standards list all of the subjects that must be covered in
training and the worksheets that accompany the classification standards list all of the factors that
must be evaluated during a classification assessment. Almost every standard has a corresponding
compliance checklist that provides detail about what must be accomplished to achieve the
standard.
II. Audit
In order to meet the standards, agencies are required to have written policies that support the
standards and guide proper implementation. Auditors must be able to review an agency’s policies
and determine whether the policies are appropriate to meet the goals of the standards. In
addition, every agency must maintain documentation that an auditor can assess to measure
compliance with the standards. Much of this documentation is crucial not only to demonstrate
compliance, but also to achieve compliance.
Agencies should be prepared to provide written and signed documentation to auditors to
demonstrate compliance in every area of the standards. So, for instance, auditors will ask to see
signed documentation demonstrating that every staff person has received the training required by
the training standards. The auditor will want to see signed classification assessments, and
documentary evidence demonstrating that classification assessments were used to make housing

8

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
and program assignments as required. In addition, auditors will be responsible for checking to
see that documentation confirms the agency’s own assessment of its compliance with the
compliance checklists. In order to be in full compliance with the standards, each agency head
must be able to certify that his or her facility(ies) has met the requirements in the checklists.
The existence of written policies and documentation of compliance cannot, alone, adequately
ensure that an agency has achieved the standards that are critical for preventing, detecting, and
responding to sexual abuse. Therefore, an experienced and well-trained auditor should interview
staff and inmates, and perform all other tests as deemed necessary to assess the agency’s
achievement of the standards during an audit. For example, every facility must provide inmates
with meaningful access to safe channels for reporting incidents of sexual abuse. This means that,
among other things, every staff member must know what to do when a report of sexual abuse is
made to him or her. It is not enough to have a policy requiring that staff be trained about how to
handle a report, nor to be able to document that the training curriculum contains this information.
Auditors must be able to assess whether staff members do indeed understand their
responsibilities and have demonstrated proper execution of them when a report has been made.
Therefore, auditors must be able to talk to staff in making such an assessment, as well as to
inmates who have reported sexual abuse to a staff person.
The compliance checklists point agency heads and auditors to the relevant information that must
be considered during the audit; however, the checklists do not dictate exactly how agencies will
accomplish the requirements because the method of compliance will vary depending upon the
structure and resources of a given agency. Therefore, it is particularly important that an auditor
conduct a thorough assessment of all of the written documentation, as well as interviews with
inmates and staff, to ensure that the agency’s adherence to the standards is meaningful and meets
the goals of PREA.

9

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

GLOSSARY
The following are terms that are used throughout the standards, and agencies should use the
definitions provided in order to ensure proper compliance. In some cases, explanations of usage
and context are provided in addition to a definition of the term.
Agency: The unit of a governing authority or private corporation that has direct responsibility for
the operation of any confinement facility that supervises inmates or detainees including the
implementation of policy as set by the governing or corporate authority.
Agency head: The chief authority of a federal, state, local correctional, law enforcement, or
privately run system.
Allegation: Information related to sexual abuse that is provided to a staff member or volunteer.
Allegations include tips and grievances. An allegation triggers the agency’s official response,
which includes the initiation of an investigation. Allegations can be made by staff, observers,
victims, witnesses, and family members who have evidence or suspicion that sexual abuse has
occurred.
Audit: A thorough investigatory review of information that shows whether an agency’s and/or
facility’s policies, practices, and protocols comply with the PREA standards. Such reviews will
include any and all records necessary to provide the chief executive with what he or she needs in
order to certify agency/facility compliance with these standards. It will also include assessments
of written records, performance of other tests as deemed necessary by the auditor, as well as
interviews with staff, inmates, and others, as deemed necessary by the auditor.
Auditor: An independent official employed by the chief executive or retained by contract who in
all cases is able and qualified to perform audits competently and without bias so that the chief
executive will have reliable data on which to base his or her certification.
Certification of compliance: A written statement submitted by the chief executive to the
Attorney General that reports the agency’s level of compliance with the PREA standards based
on the audit. Where full compliance has not been reached, the statement describes progress
toward compliance since the second audit or any subsequent audits as well as the agency’s action
plan to achieve compliance, with concrete and specific benchmarks.
Chief executive: The chief elected official in the jurisdiction or, in federal systems, the chief
appointed official in charge of the system. The chief executive can designate someone else to
carry out actions on his or her behalf, but he or she is ultimately accountable for approving and
certifying compliance with the PREA standards or action plans for achieving compliance.
Confidential communication: Written, verbal, or manual communication that takes place
within the context of a protected relationship, such as that between an attorney and client, a
husband and wife, a minister or priest and parishioner (or anyone seeking spiritual help), and a
10

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
physician or other medical or mental health practitioner and patient. If laws regarding privileged
communications or professional rules impose any exceptions or limits to an inmate’s right to
confidentiality, those exceptions or limits must be discussed with the inmate. Staff working in
the facility may disclose confidential information with written consent from an inmate or person
legally authorized to consent on behalf of the inmate. Medical confidentiality is not applicable in
cases where the patient is a harm to himself or herself or to others, deemed incompetent to make
decisions for him or herself, or where medical practitioners are mandated under law to report
communicable diseases and/or other conditions for public health reasons.
Credibility assessment: An investigator’s process of conducting interviews and weighing
evidence to determine the truthfulness of victim, witness, and suspect statements. When
assessing the credibility of incarcerated sexual abuse victims and witnesses, investigators must
set aside any biases they have against inmates and make a conscious effort not to disregard their
statements because of their status as inmates. Because sexual abuse may not be witnessed, cause
visible injury, or leave other physical evidence, investigators must weigh all statements carefully,
review any prior reports involving the accused abuser, shift, or area of the facility where the
alleged abuse occurred, and use other creative measures when making credibility assessments.
Cultural competence: The ability to work effectively and communicate with people of diverse
racial, ethnic, religious, and social groups based on an awareness and understanding of
differences in thoughts, communications, actions, customs, beliefs, and values.
Facility: A place, institution, building (or part thereof), set of buildings, or area (whether or not
enclosing a building or set of buildings) that is used for the lawful custody, care and/or treatment
of individuals. May be owned by public or private agencies or organizations and includes the
staff and services as well as buildings and grounds.
Facility head: The chief authority of an individual confinement facility within a federal, state,
local correctional, law enforcement, or privately run agency.
Full compliance: Routine and consistent application of the PREA standards in policy and
practice for a sustained period of time demonstrating that the agency does not tolerate sexual
abuse of any kind in its confinement facilities. Immaterial noncompliance will not constitute a
failure to fully comply with the PREA standards.
Garrity warning: In Garrity v. New Jersey, 385 U.S. 493 (1967), the Supreme Court found that
a state employer has a right to compel statements from an employee about alleged conduct as a
condition of employment, but such statements cannot later be used against the employee in a
criminal prosecution. Under Garrity, an employee forced to make a statement under threat of
discipline or termination must be provided immunity from the use of his/her statements in any
subsequent criminal prosecution. Immunity should be provided in the form of a written
“warning.” Once a Garrity warning has been issued to an employee, the employee should
acknowledge his/her understanding of the warning in writing or on tape. The standards recognize
that many states have their own version of Garrity warnings, so references are made to “Garritytype warnings.”

11

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Immigration detainee: Any person who is in the custody of the Department of Homeland
Security’s Immigration and Customs Enforcement (ICE), Customs and Border Patrol, or the
Office of Refugee Resettlement pending immigration proceedings. ICE houses some detainees in
facilities that it owns and operates, and contracts with local, state, federal, and private facilities to
hold others. There are immigration detainees in local jails, state and federal prisons, and
privately run facilities. Unaccompanied minors in immigration detention are under the care and
custody of the Office of Refugee Resettlement and are housed in foster care, shelters group
homes, and secure juvenile detention centers. Customs and Border Patrol detains both adults and
juveniles for short periods of time in holding cells before they are moved into ICE custody.
Inmate: Any person incarcerated or detained in any adult facility.
Jurisdiction: The extent or range of executive, judicial, or other authority.
Lockup: A temporary holding facility of a federal, state, or local law enforcement agency.
Lockups include locked rooms, holding cells, cellblocks, or other secure enclosures under the
control of a law enforcement, court, or custodial officer. Lockups are primarily used for the
temporary confinement of individuals who have recently been arrested or are being transferred to
or from a court, local jail, state prison, or other facility.
Medical practitioner: A health professional who, by virtue of his or her education, credentials,
and experience, is permitted by law to evaluate and care for patients within the scope of his or
her professional practice. In the standards, a “qualified medical practitioner” refers to such a
professional who has also successfully completed the specialized training for treating sexual
abuse victims mandated in the standard TR-5.
Mental health practitioner: A mental health professional who, by virtue of his or her education,
credentials, and experience, is permitted by law to evaluate and care for patients within the scope
of his or her professional practice. In the standards, a “qualified mental health practitioner” refers
to such a professional who has also successfully completed the specialized training for treating
sexual abuse victims mandated in the standard TR-5.
Miranda warning: In Miranda v. Arizona, 384 U.S. 436 (1966), the Supreme Court provided
that “the prosecution may not use statements . . . stemming from the interrogation of the
defendant unless it demonstrates the use of a procedural safeguard against self incrimination.” A
Miranda warning informing a suspect of his or her rights not to self incriminate must be provided
when a suspect is “in custody.” Since an inmate will always be considered “in custody,” if there
is any chance that inmate may be the subject of a future criminal prosecution, he or she must
always be advised of his or her Miranda rights.
Need to know: A practice describing when information is required to make decisions concerning
an inmate’s safety, treatment, or the investigative process.
Pat-down search: A superficial running of the hands over the body of an inmate by a staff
member in order to determine whether he or she is holding an illegal object or other dangerous
contraband.

12

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

Physical body cavity search: A physical intrusion into a body cavity, defined as stomach, rectal
cavity, vagina, mouth, nose, or ears, for the purpose of discovering drugs, weapons, or other
dangerous contraband concealed in the body cavity. Physical body cavity searches of inmates
may only be conducted by authorized medical practitioners and must be conducted privately
under sanitary conditions. Physical body cavity searches of inmates may be conducted on
reasonable suspicion that the inmate is secreting drugs or weapons or if his or her appearance and
conduct suggests a likelihood of having engaged in prohibited behavior but should only be
conducted when absolutely necessary to protect the overriding security needs of the facility.
Nonmedical staff of the gender opposite from the inmate being searched may not be present
during the search.
Preponderance of the evidence standard: The standard of proof in most civil cases that
requires the party bearing the burden of proof to present evidence that is more credible and
convincing than the evidence presented by the other party. This preponderance is based on the
more convincing evidence and its probable truth or accuracy and not on the amount of evidence.
Thus, one clearly knowledgeable witness may provide a preponderance of evidence over a dozen
witnesses with hazy testimony, or a signed agreement with definite terms may outweigh opinions
or speculation about what the parties intended. Preponderance of the evidence is required in a
civil case and is contrasted with “beyond a reasonable doubt,” which is a higher standard that is
required to convict in a criminal trial. For the purposes of the standards, preponderance of the
evidence is the standard of evidence required to substantiate an allegation of sexual abuse for
administrative action.
Privileged communication: Written, verbal, or manual communication that takes place within
the context of a protected relationship, such as that between an attorney and client, a husband and
wife, a minister or priest and parishioner (or anyone seeking spiritual help), and a physician or
other medical or mental health practitioner and patient. The law often protects against forced
disclosure of such conversations, but there are various circumstances where privilege can be
waived, either purposefully or unintentionally. There are three kinds of privilege: (1) absolute—
complete protection against disclosure; (2) semi-absolute—confidentiality is guaranteed except
in specific circumstances—harm to self or others, criminal acts committed against a minor,
and/or if there is a qualified privilege provision under law; (3) qualified—privilege can be
breached by court order when a judge finds there are countervailing interests.
Protocol: Written instructions that guide the implementation of policies.
Sexual abuse: Encompasses (1) inmate-on-inmate sexual abuse, (2) staff-on-inmate sexual
abuse, and (3) staff-on-inmate sexual harassment.
(1) Inmate-on-inmate sexual abuse: Encompasses all incidents of inmate-on-inmate
sexually abusive contact and inmate-on-inmate sexually abusive penetration.
Inmate-on-inmate sexually abusive contacts: Touching (either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh, or buttocks) without penetration
by an inmate of another inmate without the latter’s consent, or with an inmate who is

13

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
coerced into sexual contact by threats of violence, or with an inmate who is unable to
consent or refuse.
Inmate-on-inmate sexually abusive penetration: Penetration by an inmate of another
inmate without the latter’s consent, or with an inmate who is coerced into sexually abusive
penetration by threats of violence, or with an inmate who is unable to consent or refuse.
The sexual acts included are as follows:
• Contact between the penis and the vagina or the anus; or
• Contact between the mouth and the penis, vagina, or anus; or
• Penetration of the anal or genital opening of another person by a hand, finger, or other
object.
(2) Staff-on-inmate sexual abuse: Encompasses all occurrences of staff-on-inmate
sexually abusive contact, staff-on-inmate sexually abusive penetration, staff-on-inmate
indecent exposure, and staff-on-inmate voyeurism. Staff solicitations of inmates to engage
in sexual contact or penetration constitute attempted staff-on-inmate sexual abuse.
Staff-on-inmate sexually abusive contact: Touching without penetration by a staff
member of an inmate with or without his or her consent, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh, or buttocks.
Staff-on-inmate sexually abusive penetration: Penetration by a staff member of an
inmate with or without his or her consent. The sexual acts included are as follows:
• Contact between the penis and the vagina or the anus; or
• Contact between the mouth and the penis, vagina, or anus; or
• Penetration of the anal or genital opening of another person by a hand, finger, or other
object.
Staff-on-inmate indecent exposure: The display by a staff member of his or her genitalia,
buttocks, or breast in the presence of an inmate.
Staff-on-inmate voyeurism: An invasion of an inmate’s privacy by staff unrelated to
official duties, such as peering at an inmate who is showering or undressing in his or her
cell or requiring an inmate to expose him or herself for reasons unrelated to official duties.
(3) Staff-on-inmate sexual harassment: Repeated verbal statements or comments of a
sexual nature to an inmate by a staff member. Such statements include demeaning references
to gender, derogatory comments about body or clothing, or profane or obscene language or
gestures.
Sight and sound supervision: Continuous, clear, and uninterrupted visual and audio observation
of inmates, achieved through proper staff deployment given the inmate population and the
particular structural design of a facility. Sight and sound supervision may be aided by technology
that enhances the ability of security staff to view and listen to inmates. Adequate sight and sound
supervision includes the immediate availability of staff to inmates; requires that inmates always
and immediately be able to communicate with staff about matters of safety; and requires that

14

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
staff always and immediately be able to intervene to prevent sexual abuse, aggression, and any
other emergency.
Staff: Employees, contractors, and agency representatives.
Strip search: A search that requires a person to remove or arrange some or all of his or her
clothing so as to permit a visual inspection of the underclothing, breasts, buttocks, or genitalia of
such person. Strip searches of inmates may be conducted on reasonable suspicion that the inmate
is secreting drugs or weapons or if his or her appearance and conduct suggests a likelihood of
having engaged in prohibited behavior. Strip searches must be conducted in private settings by
staff of the same gender as the inmate being searched and should only be conducted when
necessary to protect the overriding security needs of the facility. Staff conducting strip searches
is not allowed to touch the breasts, buttocks, or genitalia of the person being searched.
Verification of compliance: A determination by the Attorney General that the agency is in full
compliance with the PREA standards or has achieved progress toward compliance since the
second audit or any subsequent audits and has a plan with specific and concrete benchmarks for
achieving compliance.
Video monitoring system: An integrated security system that augments and/or enhances the
ability of staff to provide the minimal sight and sound security necessary to prevent, detect,
contain, and respond to incidents of sexual abuse. The video monitoring system should have the
capabilities to enable adequately trained staff to (1) visually observe inmate activities in order to
detect indicators of sexually abusive behavior and actual incidents of sexual abuse; (2) activate
an immediate response to detected abuse that will abate and/or contain the behavior; and (3)
record and retain footage and/or audio recordings of activities for evidentiary purposes, training
and policy revisions, staff redeployment decisions, and/or for identifying and designing solutions
to structural or physical plant issues.
Visitor: An individual who enters an agency for an official purpose but who does not serve as a
volunteer in the agency. Excludes family members, friends, and attorneys who enter an agency to
visit an inmate.
Visual body cavity search: A visual inspection of a body cavity, defined as stomach, rectal
cavity, vagina, mouth, nose, or ears, for the purpose of discovering any drugs, weapons, or other
dangerous contraband concealed in the body cavity. Visual body cavity searches of inmates may
be conducted on reasonable suspicion that the inmate is secreting drugs or weapons or if his or
her appearance and conduct suggests a likelihood of having engaged in prohibited behavior.
Visual body cavity searches must be conducted in private settings by staff of the same gender as
the inmate being searched and should only be conducted when necessary to protect the
overriding security needs of the facility. Staff conducting visual body cavity searches is not
allowed to touch the breasts, buttocks, or genitalia of the person being searched.
Volunteer: An individual who donates his or her time and effort to enhance the activities and
programs of the agency. Volunteers are selected on the basis of their skills or personal qualities
to provide services in recreation, counseling, education, religion, and so forth.

15

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

STANDARDS
I. LEADERSHIP AND ACCOUNTABILITY
A. Safety, oversight, and transparency
SA-1: Zero tolerance of sexual abuse
By policy and practice, the agency demonstrates that it does not tolerate sexual abuse of any kind
in its facilities.
Discussion
Eliminating sexual abuse in confinement requires first and foremost a commitment to safety as a
core mandate of confinement operations. The chief executive of the jurisdiction, the agency
head, and facility heads must work together to prioritize this goal and to commit the attention
and resources necessary to achieve it. Agency and facility heads will be responsible not only for
ensuring that staff and inmates are informed of the agency’s zero-tolerance policy toward sexual
abuse but for setting a tone that signals true commitment to the policy and practice of keeping
inmates safe from sexual abuse. Facility heads will be required to assess annually all aspects of
facility operations, identify deficiencies, and write action plans to address those deficiencies and
ensure inmate safety from sexual abuse and compliance with the PREA standards (SA-3).
SA-2: Annual audit and certification
The chief executive in each jurisdiction must certify the agency’s compliance with these
standards based on results from annual audits of the standards conducted by independent auditors
who have no previous or current affiliation with the agency. The chief executive must certify
annually that the agency or body operating under the legal authority of the state is either in full
compliance with or has established an action plan to enable full compliance with this body of
standards pursuant to PREA.
Discussion
The purpose of this standard is to ensure meaningful enforcement of PREA’s overarching
mandate, which is the elimination of all forms of sexual abuse of persons in confinement. These
standards were developed to provide agencies with the necessary policies and strategies to
prevent, detect, and respond to sexual abuse and so compliance is a crucial step in the
achievement of PREA’s goals. Following the statute’s mandate, the United States Attorney
General will verify jurisdictional compliance with these standards after the chief executive of
each jurisdiction certifies annually that his or her state is in compliance or has drafted an action
plan to achieve full compliance with the standards. In order for such certification to be
meaningful, it must be based primarily on the conclusions of a competent, independent auditor
who has documented evidence that the agency has met these standards or has a plan to meet
these standards and, most importantly, that inmates are in fact safe from all forms of sexual
abuse.

16

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
The purpose of requiring written certification by the chief executive is to ensure that the person
who is ultimately responsible for the safety of inmates and security of confinement facilities is
aware of and accountable for all of the agency’s efforts pursuant to PREA. If a facility or agency
is faced with significant challenges and is unable to meet these standards, then the facility and
agency heads must document the reasons why that facility or agency is unable to comply in its
action plan, explain how resources are being funneled toward other expenditures, and describe
the immediate steps that it will take to achieve compliance, including efforts to secure additional
resources.
SA-3: Internal assessment and planning for achieving compliance with the Prison Rape
Elimination Act standards
The facility head uses the compliance checklists in this body of standards to assess facility safety
and compliance and to develop action plans to achieve full compliance with the PREA standards.
At a minimum, the facility head must (1) conduct an initial assessment and prepare an initial
action plan to comply with the PREA standards, and (2) at least annually thereafter, conduct a
follow-up assessment and prepare follow-up action plans to ensure full compliance with the
PREA standards. The agency head must approve internal assessments and action plans, submit
them to the legislature, and publish them, provided they do not contain information that, if made
public, would jeopardize the safety and security of the facility.
Discussion
Implementing new standards that mandate significant changes in policy, practice, and, perhaps
most significantly, perceptions, attitudes, and behaviors, by an entire agency requires facility and
agency heads to use all of their organizational and leadership skills. The agency head will
ultimately bear the responsibility of prioritizing and reprioritizing goals and strategies for
eliminating sexual abuse, allocating and reallocating resources to achieve that goal, and
monitoring failure or success of sexual abuse prevention activities on a continual basis.
However, it is the facility head’s responsibility to conduct a thoughtful assessment of available
resources and current practices and to develop an action plan prior to trying to implement the
standards. In carrying out these tasks, the facility head may find it helpful to delegate parts of the
assessment or planning process to one or more of his or her high-ranking staff members. Should
the facility head choose to delegate some of the responsibilities for managing the facility’s
efforts to comply with the PREA standards, he or she will still be required to approve and sign
all assessments and action plans and will be the person held accountable for the truth and
accuracy of those documents. Ultimately, the internal assessment and planning process will help
the facility head carry out his or her responsibilities and create a greater likelihood that obstacles
to success are identified and addressed in a systematic and cost-effective manner during the
implementation process. Successful compliance with the standards and elimination of sexual
abuse requires ongoing systemic efforts to assess and adjust policies, practices, and the
allocation/reallocation of resources to address problems and improve safety.

17

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

B. Prevention Planning
PP-1: Inmate safety
Trained corrections staff provides the continuous direct sight and sound supervision of inmates
necessary to prevent sexual abuse of inmates by other inmates and sexual abuse by staff.
Discussion
Sight and sound supervision by security staff is an essential element of any agency’s sexual
abuse prevention strategy. It enables staff to identify aggressive or coercive inmate behavior
before it escalates to sexual abuse, to identify signs of inappropriate staff relationships
developing with inmates before they become abuse, to respond immediately to prevent or end
incidents of abuse by inmates or staff, and, where an incident does occur, to take the necessary
steps to respond to it. It is crucial that every facility’s security needs are known to agency heads
and met in order to eliminate sexual abuse. Achieving full sight and sound supervision of
inmates requires proper deployment and supervision of staff, assisted as necessary by cameras
and tracking technology, and may require other creative adaptations to facility design. To
prevent staff-on-inmate sexual abuse, staffing deployment policies should limit occasions in
which inmates are in one-on-one contact with staff or regularly out of sight of other inmates or
cameras. Special supervision policies must be developed for inmates who are isolated from the
general population and, therefore, may be more vulnerable to abuse by staff. Video security
monitoring systems and radio frequency identification systems (RFID) should be used to monitor
staff and inmate movement and location, and supervisory staff should monitor interactions
between line staff and inmates in isolated areas.
PP-2: Heightened protection for vulnerable inmates
Staff provides heightened sight and sound supervision to inmates who are identified as
vulnerable or potentially vulnerable. Vulnerable or potentially vulnerable inmates must be
housed safely in the least-restrictive setting possible and must have access to the same privileges
and programs as inmates housed in general population.
Discussion
The purpose of this standard is to highlight the need to provide heightened protection—
especially increased sight and sound supervision—for inmates who are identified as vulnerable
and to do so in a way that does not unnecessarily isolate them or restrict their access to the
regular rights and privileges of general population inmates. Too often, vulnerable inmates are
placed in protective custody and lose their access to educational, vocational, and other programs
as well as work assignments. This practice contributes to reluctance on the part of inmates to
admit that they may require protection. There will be times when the only way to keep an inmate
safe is to separate him or her from the general population, and in such cases every effort must be
made to ensure that separation does not mean isolation or result in the loss of meaningful access
to programs, work, and other services.

18

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Until inmates have been classified, and at any time that vulnerable inmates are identified, the
agency is responsible for providing heightened protection to ensure that those inmates are safe.
To accomplish this successfully, staff must be able to both identify traditionally vulnerable
populations (such as gay, lesbian, bisexual, and transgender inmates; deaf or speech- or sightimpaired inmates; inmates with mental or physical disabilities; inmates with limited English
proficiency; inmates with past histories of sexual abuse; young inmates; and inmates who are
physically weak) as well as make judgment calls about likely vulnerabilities based on experience
in a given facility and with given populations. For example, inmates of different races or ethnic
backgrounds may be particularly vulnerable in facilities where they are a distinct minority. Staff
must be alert at all times to potential vulnerability.
The facility head and other administrators should consider their options for protecting vulnerable
inmates and develop a plan to keep them safe without having to resort to some form of isolation.
In cases where protective custody is the only option available to a facility to protect vulnerable
inmates, the facility’s plan must require that vulnerable inmates be housed in that setting for the
shortest period of time possible and be regularly monitored. Every effort must be made to
minimize the isolation in protective custody. Vulnerable inmates housed in protective custody
should have regular access to mental health services and any other services or programs available
to general population inmates.
PP-3: Restrictions on cross-gender supervision
The agency restricts cross-gender supervision in nonemergency situations in areas where inmates
disrobe or perform bodily functions in order to protect inmates from unnecessary and degrading
exposure of their bodies and to reduce opportunities for staff sexual abuse.
Discussion
Certain limitations on cross-gender supervision are required to meet legitimate and important
safety and security interests when men and women are confined. To protect the privacy and
dignity of inmates and to reduce staff-on-inmate sexual abuse, agencies must preclude
nonmedical staff members from viewing inmates of the opposite gender when they are disrobed
or performing bodily/hygiene functions; from conducting pat-downs, strip searches, or visual
body cavity searches on inmates of the opposite gender; from being present during medical
examinations or procedures, including physical body cavity searches, with inmates of the
opposite gender; and from being isolated one-on-one with inmates of the opposite gender out of
sight of cameras, other staff or other inmates, including during transportation of inmates outside
the facility. While same-sex sexual abuse can and does occur, restricting cross-gender
supervision in areas where inmates are disrobed or when inmates are alone with a staff member
will lessen the opportunities for the most common types of staff-on-inmate sexual abuse. These
prohibitions do not apply to the extent necessary to respond to emergencies. Additionally, to the
extent that agencies can comply with these prohibitions by using privacy panels, making verbal
announcements when a staff member of the opposite gender is in an area, or employing other
protective measures, this standard is not intended to limit cross-gender supervision in housing
areas. Staff members should never be penalized or prevented from attaining promotions due to
the restrictions on cross-gender supervision.

19

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Each agency should have a legally sound policy regarding strip, visual body cavity, and physical
body cavity searches. In addition to being conducted by persons of the same gender as the
inmate, strip searches and visual body cavity searches should be conducted only where there is
articulable, reasonable suspicion that the inmate is concealing contraband or weapons on his or
her body in a manner that cannot be detected by a pat-down search alone. Physical body cavity
searches should be employed even more sparingly and must only be conducted by authorized
medical practitioners. Routine strip, visual body cavity, and physical body cavity searches of
inmates for less than an articulable, reasonable suspicion should not be permitted. Strip and
visual body cavity searches should be conducted by a specially trained designated staff member
and conducted in conformance with hygienic procedures and professional practices.
Additionally, physical body cavity searches should only be conducted by specially trained
authorized medical practitioners. All searches should be conducted in specially designated rooms
with the fewest number of staff necessary, under conditions that provide privacy for the inmate
from all but those authorized to conduct the search. Strip and visual body cavity searches of
transgender inmates for the sole purpose of determining genital status should not be conducted
(PP-2, Compliance Checklist 5 (f)).
PP-4: Language access
Staff is able to communicate directly, through interpretive technology or through noninmate
interpreters, with inmates who are limited English proficient (LEP), deaf, or speech-impaired.
Accommodations are made to convey all written information verbally to inmates with limited
reading skills or who are sight-impaired.
Discussion
The ability to communicate effectively with victims, witnesses, and alleged perpetrators in cases
of sexual abuse is crucial not only for ensuring that the proper measures are taken in response to
an incident, but also to prevent incidents from occurring in the first place. Language or other
communication barriers can seriously impair staff’s ability to keep inmates safe from sexual
abuse if staff is unable to convey essential information to certain inmates, if inmates are unable
to communicate with staff to report abuse, or if inmates must rely on other inmates for their
ability to communicate with staff. The information contained in the inmate education sessions on
sexual abuse (TR-4), including all of the agency’s policies and how to report sexual abuse must
be translated and otherwise made available to inmates regardless of any communication barriers
that exist. Language and communication barriers can also severely impact staff members’ ability
to appropriately classify and protect inmates as well as impair medical and mental health
practitioners’ ability to treat inmates.
Assessing the language and communication needs of the inmate population and developing
policies and protocols to address those needs will help staff ensure the safety of LEP, deaf,
speech- or sight-impaired, and illiterate inmates. The agency should strive to hire staff members
who speak different languages, identify viable translation resources, and make every effort to
convey written information orally to inmates who have difficulty reading. It is never appropriate
for inmates to serve as translators for other inmates as it compromises confidentiality and places
some inmates in a position of undue authority and influence over others.

20

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

PP-5: Staff qualifications
The agency hires, retains, and promotes staff members who are committed to PREA’s goals.
Agency hiring and promotion decisions must take into consideration any criminal history, any
history of engaging in sexual abuse, and any other previous conduct that suggests a likelihood of
engaging in sexual abuse.
Discussion
The agency will not be able to meet its zero-tolerance goal if it employs, retains, or promotes
staff members who have demonstrated abusive behavior or indifference to the importance of
preventing and responding to all forms of sexual abuse, whether by inmates or staff. The agency
should have a consistent, proactive policy on asking applicants and employees directly about
previous misconduct during interviews or reviews and on reviewing public records and
employment histories for sexual abuse, harassment, and other behavior (e.g., domestic violence
or child abuse) that may signal potential problems before hiring or promoting staff. In
jurisdictions where prospective employers are limited in what they can ask of previous
employers during a reference check and to the extent permitted by state law, the agency must ask
job applicants to sign waivers stating that they waive all of their legal rights to claim libel,
defamation, or slander regarding the information given during reference checks. In those cases,
any refusal to sign a waiver may result in the applicant’s immediate disqualification from
consideration for employment.
PP-6: Integrated information systems
The agency uses an integrated information system that allows staff across facilities to store,
track, and share data related to incidents of sexual abuse, including each facility’s prevention,
detection, response, and data collection efforts. Where possible, agencies should use automated
database systems to assist integration efforts.
Discussion
It is crucial for agencies to integrate the information systems of their facilities across the agency
and within a facility to ensure that information collected at intake, during classification
assessments, following incident and disciplinary reports, and, when appropriate, gathered by
medical and mental health practitioners, is linked and shared to allow effective inmate
management and safety. One extremely helpful tool for organizing and analyzing information is
an automated database system that allows the agency to easily track classification assessments,
housing placements, and other services for the entire inmate population. Automated database
systems have reached the stage of development where they should be available to virtually all
agencies. If the agency lacks the resources to obtain and support an automated database system,
at the very least the agency should use a spreadsheet or other similar tool and should include in
its annual internal assessment and action plan what resources would be necessary to obtain such
a system, as well as a strategy for acquiring such resources (SA-3). Automated databases can take
many forms. The size of the facility will determine the level of sophistication needed for the
agency’s automated database system.

21

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
PP-7: Use of appropriate monitoring technology
The agency uses video security monitoring systems and other cost-effective and appropriate
technology to support its sexual abuse prevention, detection, response, and monitoring efforts.
Discussion
Video security monitoring systems and other technology are invaluable tools for eliminating and
punishing sexual abuse. Technology systems, when properly designed, managed, maintained,
updated, and fully integrated into the agency’s various other security systems, serve as a highly
objective, accountable, and transparent mechanism for preventing and responding to sexual
abuse. Compared to the long-term cost of using only intensive staff deployment for some inmate
security tasks, which also requires intensive staff supervision to prevent staff sexual abuse,
agencies will likely find that using monitoring technology is cost-effective.
Agencies have used forms of technology for years in various security applications. Although
many agencies have used VHS-based or digital cameras to help enhance facility safety and
security, the value of cameras can be limited. For example, when video cameras have been
installed in control rooms to enhance visual surveillance of areas in a facility, staff has been
required to focus for 8 to 12 hours at a time on rapidly changing monitors displays. This security
task can prove ineffective. Additionally, control room security staff must also perform other
critical security tasks simultaneously that may take them away from monitoring.
The newer tracking technologies, such as RFID systems may be particularly useful for
preventing and detecting sexual abuse because they enable facilities to track in real time all
inmates as well as staff and can provide flags or alerts when inmates and staff are together in
locations where they should not be. The agency should analyze different locational technologies
to determine which technology will be most useful and appropriate for a given facility.
Technology should be adapted to the population as well as to the age and design of each
particular facility. For example, in smaller facilities, administrators and staff may find that they
only need a strong classification system and cameras to prevent sexual abuse. Some agency
heads may find it helpful to collaborate with other agency heads in their state to explore the
creation of a regional tracking system, which could function with a central command center that
coordinates all monitoring and/or RFID services for federal, state, county, and municipal
confinement facilities within a certain geographic area. A regional system could reduce start-up
costs as well as operation disbursements.

C. Response Planning
RP-1: Coordinated response team
The agency uses a coordinated, multidisciplinary team to respond to incidents of sexual abuse to
ensure that victims receive the medical and support services they need and that investigators are
able to obtain usable evidence to substantiate allegations and hold perpetrators accountable.

22

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Discussion
In the community, coordinated sexual assault response teams (SARTs) are recognized as a best
practice for responding to incidents of rape and other sexual abuse because they enable key
responders from the medical, advocacy, and law enforcement fields to coordinate their actions
and share information so that the victim receives the best care and the investigator has the best
chance to find the perpetrator. SARTs are generally composed of representatives from the
medical and mental health fields, victim advocacy groups (usually from local or regional rape
crisis centers), and law enforcement agencies. Any agency that already uses some version of a
SART, specialized first response team, or makes use of an existing specialized community
response team is in compliance with this standard, regardless of what the team is called or how
the team is organized, so long as it fulfills the functions described in Compliance Checklist 11. If
the agency lacks any of the necessary resources to develop such a team and no team exists in the
community, the agency head should work with community or regional law enforcement
agencies, outside medical and mental health providers, and sexual abuse advocacy groups to
develop a coordinated plan to address victims’ needs and improve sexual abuse investigation
outcomes. For agencies putting together a SART or participating in a specialized community
response team for the first time, additional specialized training for collaborating across
disciplines may be necessary for team members. Agencies should also take special care to ensure
that every agency member on the team has a back-up staff person who is qualified to fulfill the
team member’s role when he or she is unavailable. At the time of publication of these standards,
the Commission recommends agencies consult the 2004 U.S. Department of Justice, Office on
Violence Against Women publication A National Protocol for Sexual Assault Medical Forensic
Examinations, Adults/Adolescents for guidance and ideas on developing an approach to a
coordinated response to sexual abuse.
RP-2: Evidence protocol
The agency head is responsible for ensuring that investigators of sexual abuse in facilities under
his or her control follow a uniform evidence protocol that maximizes the potential for obtaining
usable physical evidence for administrative proceedings and criminal prosecutions.
Discussion
At the time of publication of this body of standards, the 2004 U.S. Department of Justice, Office
on Violence Against Women publication A National Protocol for Sexual Assault Medical
Forensic Examinations, Adults/Adolescents is considered the “gold standard” of sexual assault
evidence protocols by both the law enforcement and the forensic medical examiner communities.
The agency head should review the national protocol or a subsequent updated edition and adapt
its contents to an existing protocol or develop a new protocol that fits the needs, resources, and
policies of his or her correctional agency. The agency head may find it particularly helpful to
consult Appendix A of the national protocol, which provides guidance on how jurisdictions can
customize the national protocol to meet specific local needs, challenges, policies, and statutes.
RP-3: Sexual abuse findings from forensic autopsies
Following any forensic autopsy performed on an inmate who died of known or suspected
unnatural causes while in custody, the facility head must obtain the medical examiner’s finding

23

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
regarding whether there was any evidence that the deceased engaged in sexual activity, other
than self-stimulated activity, immediately prior to death. If the medical examiner finds that
sexual activity may have occurred immediately prior to death, the facility head ensures that the
death and possible sexual abuse are investigated immediately.
Discussion
The purpose of this standard is to make sure that the facility head obtains a finding from the
medical examiner following a forensic autopsy on an inmate as to whether sexual activity may
have occurred immediately prior to the inmate’s death. Medical examiners should follow their
own professional standards and guidelines for determining the time frame for any sexual activity
that may have occurred. Inmates who are being sexually abused may commit suicide or suffer
death at the hands of their abusers or other abusive inmates. By making the effort to
communicate with the medical examiner about possible sexual activity that occurred
immediately prior to death, the facility head will be in a better position either to rule out sexual
abuse as a contributing factor to the inmate’s death or to identify and address quickly sexually
abusive inmates or behaviors that may have contributed to the inmate’s death and may be
endangering other inmates.
RP-4: Reporting to other confinement facilities
When a facility receives an allegation that an inmate has been sexually abused while incarcerated
at another facility, the facility head notifies the head of the facility where the alleged abuse
occurred. Any facility that receives a report of sexual abuse from another facility or agency is
required to investigate the allegation.
Discussion
Inmates who have been sexually abused while confined at a lock-up, jail, or prison may feel safer
reporting the abuse once they are no longer housed at the facility where the abuse occurred. For
example, an inmate who was sexually abused at a jail may wait until he or she is transferred to a
prison to report. Similarly, someone abused while confined in a state prison may choose to report
once he or she is in the custody of a community corrections agency. The head of the facility
where the report is made should be prepared to receive these kinds of reports and to notify the
appropriate authorities immediately. By the same token, the head of the agency or facility where
the alleged abuse occurred must ensure that the allegation is investigated. This effort to
communicate and share information across agencies and facilities should improve safety and
security for all inmates and staff.
RP-5: Agreements with outside agencies
The agency maintains memoranda of understanding (MOUs) or other agreements with outside
government agencies that can receive and respond to inmate reports of sexual abuse. The agency
also maintains MOUs or other agreements with community agencies or advocates that provide
confidential emotional support services related to sexual abuse and help victims of sexual abuse
during their transition from incarceration to the community (RE-1, RE-2, MM-4).

24

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Discussion
The agency will need to partner with outside agencies to meet the requirements of standards RE1, RE-2, and MM-4. Forging these partnerships will allow the agency to provide the range of
services available in the community and will give inmates the choice to speak to someone not
affiliated with the agency if they feel more comfortable doing so. In cases where facilities are
located in areas without community agencies to draw from, the agency head should consider
researching regional or national agencies or groups that inmates may be able to access by
telephone or, if no other alternative is possible, by mail.
RP-6: Memoranda of understanding with outside law enforcement agencies
If an agency does not have the legal authority to conduct criminal investigations or has elected to
permit an outside agency to conduct criminal or administrative investigations of staff or inmates,
the agency maintains a written MOU specific to investigations of sexual abuse with the law
enforcement agency responsible for conducting investigations.
Discussion
Formal MOUs between correctional agencies and outside law enforcement agencies are
important for ensuring that investigations into allegations of sexual abuse are timely and
effective. Before an incident occurs, both the correctional agency and the law enforcement
agency that provides the investigator should understand how that investigator will operate within
the correctional environment. For example, both agencies should know how the investigator will
gain entry into a given facility, what he or she will be able to bring into a facility, and what kind
of access he or she will have within the facility.
RP-7: Memorandum of understanding with prosecuting authority
The agency head makes every reasonable effort to develop and maintain an MOU or other
agreement with the authority responsible for prosecuting violations of criminal law.
Discussion
The goal of this standard is to encourage greater collaboration and communication between
correctional agencies and prosecutors. Greater communication should improve the success rate
of meritorious prosecutions and thereby improve accountability and prevent the recurrence of
incidents of sexual abuse. The agency head should maintain regular, ongoing discussions with
prosecutors about issues related to any allegations of criminal conduct in the agency.
RP-8: Agreements with forensic medical examiners
The agency head maintains a written agreement or contract with a qualified, independent
forensic medical examiner not employed by the agency who can perform forensic medical exams
of sexual abuse victims (RP-2).
Discussion
Where possible and practicable, it is considered best practice to transport victims to outside
health care providers for forensic medical exams to avoid any conflict or appearance of conflict

25

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
of interest regarding potential evidence or treatment of the victim. If a facility does not have
access to any community providers able to perform forensic medical exams or if an inmate in
need of an exam has been deemed too dangerous to transport out of the facility, it should take
steps to ensure the quality of forensic medical exams performed on-site by contracting with
qualified independent medical practitioners. In those cases, medical practitioners should be
trained to perform forensic medical exams and supervised or assisted by independent providers
using telemedicine technology or other means. Any medical practitioner who examines an
inmate should also be trained in the safety precautions to take when treating an inmate.
In order to ensure the most competent and consistent care for the victim, it is critical that any
agreement with a forensic medical examiner include a requirement that agency medical and/or
mental health practitioners receive any documentation from the independent examiner related to
the victim’s treatment, including any recommendations for continued care. Victims should be
informed of the exact information provided and with whom it will be shared. Additionally, if
requested, independent examiners must provide copies of records to the victims.
RP-9: Sexual abuse incident reviews
The facility head and a standing review committee review all incidents of sexual abuse at the
conclusion of the investigation, unless the report was determined to be unfounded, to assess and
improve prevention and response efforts.
Discussion
Sexual abuse incident reviews immediately following the conclusion of an investigation into a
credible report of sexual abuse, regardless of whether or not the incident was substantiated,
provide the facility with the opportunity to identify policies or practices that may have
contributed to or failed to prevent the abuse and any deficiencies in the facility’s response.
Having identified problems, the facility can then make the necessary changes to policies or
practices that endanger staff and inmates. The members of the review committee specified in
Compliance Checklist 19 must include ranking staff members from different disciplines within
the facility who have ultimate authority to change policies and oversee practice. Those staff
members who responded to the incident, including any and all coordinated response team
members (RP-1), should be interviewed as part of the review.

26

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

II. PREVENTION
A. Training and Education
TR-1: Staff and volunteer training
All staff members and volunteers are educated about sexual abuse and agency sexual abuse
policies through training that is comprehensive, easy to understand, up-to-date, and appropriate
for the agency’s population.
Discussion
Each agency must establish a training program that gives staff and volunteers the knowledge and
skills to prevent sexual abuse from occurring, to identify signs that sexual abuse may be
occurring, and to take the appropriate actions when they learn of recent or historical incidents of
sexual abuse. The training can take place in multiple venues, including roll calls, on-the-job
training, new employee or volunteer orientations, and preservice or in-service academies. Prior
to launching a training program, the agency should have created clear policies regarding sexual
abuse and should have considered how best to overcome any anticipated staff resistance to or
problems with such policies. When putting together a training plan, agency administrators should
consult the many resources and training materials already available including those developed by
other local, state, and federal correctional agencies, the National Institute of Corrections, and the
Bureau of Justice Assistance.
TR-2: Visitor awareness of agency’s zero-tolerance policy regarding sexual abuse
All visitors on official business to a facility are informed of the agency’s zero-tolerance policy
regarding sexual abuse and required to sign an acknowledgement that they understand the policy.
Family, friends, and attorneys visiting an inmate should also be informed of the zero-tolerance
policy, but are not required to sign an acknowledgement of understanding.
Discussion
Visitors on official business to a facility will not undergo extensive training on sexual abuse,
such as that completed by staff and volunteers. However, because these individuals may have
contact with inmates, it is important that they understand the agency’s zero-tolerance policy
regarding sexual abuse. It is also important for family and other inmate contacts to understand
the agency’s sexual abuse policy so they can help inmates who may confide in them about
situations of sexual pressure or abuse.
The policy may be posted at facility entrances, and signing the visitor’s logbook can serve as
acknowledgement of the policy.
TR-3: Inmate notification of agency’s zero-tolerance policy during intake
All inmates are informed of the agency’s zero-tolerance policy regarding sexual abuse during the
intake process.

27

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

Discussion
Although the time an individual remains in custody varies widely, every individual must be
notified of the agency’s zero-tolerance policy regarding sexual abuse, including how to avoid
sexual abuse, how to protect oneself against sexual abuse, and how to report an incident, as soon
as possible upon entering the facility.
Presentation of this information should be in person. If this presents an undue burden for the
agency/facility, an alternative would be to show a video, such as those developed by the National
Institute of Corrections. Written materials that clearly describe the agency’s sexual abuse
policies and protocols could accompany the in-person presentation or video.
TR-4: Inmate education on sexual abuse
All inmates are educated about sexual abuse through education sessions that are comprehensive,
easy to understand, up-to-date, and appropriate for the agency’s population. Newly admitted
inmates are educated as soon as possible following their initial housing assignment, and current
inmates are educated as soon as possible following adoption of the PREA standards.
Discussion
Inmates need to be educated about the agency’s sexual abuse policies so they understand how to
avoid sexual abuse, how to protect against sexual abuse, how to report sexual abuse, and what
will happen following a report. The agency should also use inmate education programs to send a
message to inmates that sexual abuse is taken seriously and that the agency will protect inmates
who report incidents of sexual abuse and refer investigations for disciplinary action and/or
criminal prosecution.
To deliver the most effective education to inmates, the responsible administrators may wish to
use some of the following tools: videos, written materials, signs with phone numbers and
reporting information, and structured discussions. They should also choose settings with few
distractions, and educate inmates in small groups because of the sensitive nature of the material.
Agencies must also educate inmates in solitary confinement or protective custody although the
agency may vary the presentation format consistent with security requirements.
TR-5: Specialized training: classification, investigations, medical and mental health care,
and data collection
Staff who conduct classification assessments, investigate sexual abuse, provide medical or
mental health care to sexual abuse victims, or collect and manage sexual abuse data must be
specially trained to perform those functions.
Discussion
Agency staff with general classification, investigative, medical, mental health, or data collection
responsibilities should all have the specific qualifications and expertise required to perform their
jobs competently. Due to the sensitive and complicated nature of sexual abuse incidents those

28

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
who are classifying inmates, investigating, treating victims of, or collecting data on those
incidents in a confinement facility should have specialized knowledge, skills, and abilities.
Classification
The staff who conducts classification assessments plays a critically important role in a facility’s
efforts to protect vulnerable inmates from those who may engage in sexually abusive behavior.
An effective classification system requires staff members to do more than merely run through a
predetermined list of questions that produce a mechanical score. Classification staff must be
trained to interview inmates with diverse backgrounds about subjects that are likely to be
sensitive, including previous histories of sexual abuse. Not only must classification staff
members have the ability to ask questions in a sensitive manner, but they must be able to make
judgments about the veracity of the information they gather and also to assess inmates’
vulnerability as part of a whole picture and not merely a score on a piece of paper.
Investigations
Sexual abuse investigators should be familiar with the agency’s security, victim protection, and
access-to-counsel policies and its protocols for transporting victims to independent, off-site
health care providers or bringing qualified medical examiners into the facility for forensic
medical exams. They should also have a basic understanding of the forensic medical examiner’s
dual role as treatment provider and evidence collector (see description of the forensic medical
examiner’s role in the Department of Justice publication A National Protocol for Sexual Assault
Medical Forensic Examinations: Adults/Adolescents, September 2004). In particular, they should
recognize that while forensic medical examiners have the training and education to perform
exams and collect evidence, they do not function as an extension of any investigative body.
Additionally, investigators and/or agency administrators should work with any contracted
forensic medical examiners to educate them on the importance of exercising caution and taking
security measures when treating inmates.
Medical and Mental Health Care
Medical and mental health practitioners should be competent to provide care to inmates who
have experienced sexual abuse and should continually update their knowledge and skills to
deliver the highest quality of care possible in a confinement setting. Facility medical and mental
health practitioners should be trained on the protocol for transporting victims to outside health
care providers or bringing qualified medical examiners into the facility for forensic medical
exams and should establish professional relationships with the contracted forensic medical
examiners so that each provider knows whom to contact for coordinating the immediate and
long-term care and treatment of victims. Additionally, because some physical evidence may start
degrading before victims can be transported to outside providers, facility medical practitioners
should know how to collect and preserve physical evidence that may not survive the trip to the
outside provider. Forensic medical exam training should be adapted from the procedures
described in A National Protocol for Sexual Assault Medical Forensic Examinations:
Adults/Adolescents (DOJ, September 2004), or any subsequent updated editions.
Data Collection
Finally, those with data collection responsibilities require special training so that they understand

29

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
the importance of and will comply strictly with agency policies on recording and protecting
information that, if left unprotected, could endanger victims, witnesses, and alleged abusers.

B. Classification
CL-1: Initial screening upon arrival at the facility
Using consistent criteria, staff screens every inmate upon arrival at the facility to identify those
inmates potentially vulnerable to sexual abuse by other inmates and ensure that they are
separated from those likely to engage in sexually abusive behavior. Staff provides intensive sight
and sound supervision of all inmates before and during the initial screening process.
Discussion
Screening individuals at intake for potential victimization or sexually abusive behavior is crucial
for preventing sexual abuse from occurring, especially during the initial phases of an individual’s
incarceration. Such screening may be difficult because there may be very little known about
inmates when they first arrive at a facility, but every attempt must be made to make an initial
determination as to whether an inmate may be particularly vulnerable to sexual abuse by other
inmates or have an increased likelihood to behave abusively toward others. Initial housing
decisions and bed assignments must be based on that initial screening, and intensive sight and
sound supervision must be maintained until inmates are fully classified.
CL-2: Classification assessment
During the internal classification process, staff assesses every inmate to determine his or her
potential to be sexually abused by other inmates and his or her potential to be sexually abusive.
Classification assessments are made using consistent written criteria and the judgment of trained
staff. Every inmate’s classification assessment is reviewed and updated, as necessary, at regular
intervals, following significant incidents, and whenever new and relevant information is
available.
Discussion
The classification process is a critical part of the facility’s efforts to identify and separate inmates
who are particularly vulnerable to sexual abuse by other inmates from those inmates who have
the potential to be sexually abusive. The classification assessment process must be fully
integrated with other systems used to manage and protect inmates. For instance, classification
must dictate not only housing unit assignments, but also bed assignments, and program and work
assignments.
Internal classification assessments are conducted at a facility after an agency has made external
classification decisions regarding each inmate’s appropriate security level and facility placement.
The use of objective classification instruments for external classification is widespread, and
many of the criteria used to make security level assignments have been statistically validated.
However, validated, objective classification instruments are less commonly used to conduct
internal classification assessments. Furthermore, the research into those criteria or factors that are
predictive of the likelihood of being sexually abused by other inmates or of being sexually

30

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
abusive has not yet established fully validated measures by statistical standards. In part this is
because of the historically few reports of incidents of sexual abuse in confinement. Therefore,
identification of inmates with a greater than average likelihood of being victims of staff-oninmate sexual abuse or harassment, or who are at higher risk of engaging in abusive conduct
themselves, is difficult.
Nonetheless, there is research to support the knowledge that professionals in the field, who have
extensive experience working with victims of sexual abuse and sexually abusive inmates in
prisons and jails, have gained about the markers of vulnerability or of sexually abusive behavior.
These characteristics, and others the agency deems appropriate, must be considered during every
classification assessment as required in Compliance Checklist 26.
The Commission encourages agencies to test and validate the reliability of classification
instruments that use these measures. Agencies should review their own institutional histories for
information about incidents of sexual abuse in their facilities and make that information available
to researchers so that advances can be made in this field. Additionally, the agency is encouraged
to provide facilities with objective classification instruments that are available or can be adapted
from instruments developed by the National Institute of Corrections or by other correctional
agencies.
While a thorough, initial classification assessment is crucial, it is equally important that the
classification assessment be reviewed and, when necessary, modified periodically following any
significant incidents and whenever new and relevant information is available that might help the
agency prevent sexual abuse. Inmates may not feel comfortable disclosing sensitive information
about their past during the initial assessment but may disclose that information later. The
periodic review and update of an inmate’s classification status will ensure that it accurately
reflects any changes—since the previous review—in facility operations and/or in the inmate’s
behavior or disclosed history. Furthermore, whenever an incident of alleged sexual abuse is
investigated and turns up evidence that such an incident may have taken place, it will be
necessary for staff to review the classification status of both the alleged victim and the alleged
perpetrator and make modifications to ensure the alleged victim’s safety from further abuse.
Inmate disciplinary or behavior reports may also trigger the need for reclassification if
disciplinary infractions appear to be related to inappropriate sexual behavior in the facility.
There is growing evidence suggesting that the factors used to determine whether female inmates
are vulnerable to sexual abuse by other inmates or by staff or whether they have the potential to
be sexually abusive differ from those that are relevant for male inmates. However, research has
not yet established the specific factors that ought to be considered. This research is in its early
stages and testing and validation of instruments remains to be done to identify the factors to
determine female inmates’ risks. Among the factors that seem to be more relevant for women
than for men in predicting adjustment problems during incarceration are past histories of abuse,
family relationships, and drug and alcohol dependency, and it is suspected that these may also be
correlated with higher risks of being abused or abusing others. Agencies are strongly encouraged
to rely on developing research to ensure that their classification instruments for female inmates
reflect the most current knowledge about how to predict risk in this population.

31

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
CL-3: Inmate management plans
Information from the classification assessment related to potential vulnerability to sexual abuse
or potential to be sexually abusive is used to develop an inmate management plan for each
individual inmate.
Discussion
When developing inmate management plans and making housing and bed assignments,
vulnerable or potentially vulnerable inmates must be housed safely in the least-restrictive setting
possible and must have access to the same privileges and programs as inmates housed in general
population (PP-1 and PP-2). Inmates who are vulnerable to sexual abuse and who need special
protection should never be automatically subjected to highly restrictive or isolating conditions.
Single occupancy cells/rooms or identified space within designated nonpunitive housing units
should be made available for vulnerable inmates whenever possible, and continuous sight and
sound supervision must be maintained. Further, programs and work assignments must be
coordinated with housing assignments for inmates who are likely to be victimized or to victimize
others. Provisions must be made to ensure that the personal concerns of sexually vulnerable
inmates are taken into account when determining housing and bed assignments. Transfers to
other facilities should be made only as a last resort when there is no other way to ensure the
safety of the inmate inside the facility or at the request of a vulnerable inmate.

32

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

III. DETECTION AND RESPONSE
A. Reporting
RE-1: Inmate reporting
Inmates are able and encouraged to report sexual abuse verbally or in writing to any staff
member and know that they will be taken seriously, treated respectfully, and protected from
future harm and retaliation. Any report of sexual abuse made at any time after the abuse, which
names a perpetrator and is made in writing to the agency, satisfies the exhaustion requirement of
the Prison Litigation Reform Act. Inmates are also able to report sexual abuse verbally or in
writing to at least one government official or office not affiliated with the agency but which has
agreed to receive and act on reports (RP-5).
Discussion
The agency should make reporting sexual abuse as easy, private, seamless, and secure as
possible and should stress to inmates that all reports will be investigated. The more the agency
demonstrates through policy, practice, and staff behaviors its commitment to protecting sexual
abuse victims and punishing abusers, the more victims will feel safe coming forward. While a
potential increase in disclosures and investigations may initially tax correctional resources,
increased reporting may also signal that inmates are becoming more trustful of the system,
which, in turn, may deter potential abusers from engaging in sexually abusive behaviors. Over
time, the agency’s initial investment in efforts to make reporting easier and to conduct thorough
investigations will serve everyone’s interests. Victims will be better supported, abusers will be
held accountable, and staff, volunteers, and inmates will ultimately be able to live and work in
safer, more secure environments.
Agencies should use a number of strategies to encourage inmates to report sexual abuse. These
can include, for example, placing locked drop boxes in common areas for inmates to drop
reports, requests, or grievances and installing dedicated phones or programming existing phones
with toll-free hotline numbers to internal affairs departments, offices of professional
responsibility, or similar internal investigative departments. Staff should also take proactive steps
to talk to inmates periodically about any unwanted sexual behaviors or threats they may be
experiencing from other inmates or staff. Additionally, the agency must make it easy for inmates
to report to at least one government official or office not affiliated with the agency but which has
agreed to receive reports and act on them (RP-5). At a minimum, the agency’s agreement with
the outside government official or office should require the outside entity to report the allegation
back to the agency head and follow up on the agency’s investigative efforts to make sure the
inmate who reported was protected from future harm, including any retaliatory behaviors (RP-5,
Compliance Checklist 15 (c)). Such measures will send a message to inmates that the agency
takes sexual abuse seriously and will not tolerate any abuse or harassment by its staff.
Additionally, making sure that inmates can report sexual abuse externally to an independent
official or organization will signal to inmates that the agency is genuinely concerned with
protecting their safety and addressing security problems.

33

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
RE-2: Outside confidential support services for inmates
All inmates have access to outside victim advocates and/or mental health professionals for
confidential emotional support services related to sexual abuse, whether or not they report the
abuse, unless state or local laws preclude privileged communications between the specific
service provider and sexual abuse victims.
Discussion
Victims of sexual abuse, whether confined or not, often need and depend on the support of an
advocate or counselor to help them work through the emotional and psychological trauma caused
by the incident. Working with such counselors not only helps victims heal, but can also help
victims overcome any reluctance to report the incident to the appropriate officials. While the
agency might have qualified mental health practitioners on staff who can treat sexual abuse
victims, some victims may be reluctant to confide in those practitioners because they see them as
part of the institution that failed to protect them from the abuse. By giving inmates the option to
communicate with outside advocates or mental health practitioners, the agency will ensure that
victims have the greatest access to the help they need. The agency should consider entering into
an MOU with a community agency and providing regular opportunities for inmates to meet faceto-face with advocates and/or counselors (RP-5). In addition to these opportunities, free hotlines
that connect inmates to rape crisis service groups and/or other victim advocacy groups are
encouraged. Agencies that have limited community resources to draw from should at a minimum
provide inmates with contact information for regional and/or national human rights, advocacy,
and counseling organizations. Regardless of how an agency decides to implement this standard,
administrators should make certain that inmates are able to access outside confidential support
services as easily and as privately as possible. Inmates should never have to explain to staff
members their reasons for wanting to speak to outside advocates or counselors before being
allowed to communicate with those providers.
RE-3: Third party reporting
Family members and other nonincarcerated individuals in contact with inmates are able to report
incidents or suspicions of sexual abuse to agency officials. Information on how to report sexual
abuse on behalf of an inmate is publicly available, and the agency investigates all third party
reports.
Discussion
Information about how to report sexual abuse on behalf of an inmate should be available in
multiple languages and in a convenient, easily accessible format. For example, the information
could be available by phone, on a website, as part of a presentation to visitors about the agency’s
zero-tolerance policy, or in brochures, flyers, or on posters in visiting areas.

B. Staff duties following an inmate report
SD-1: Staff duty to report sexual abuse
All staff members are required to report immediately any knowledge, suspicion, or information
they receive regarding an incident of sexual abuse, including any knowledge of staff neglect or
34

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
violation of responsibilities that may have contributed to an incident of sexual abuse. In instances
of suspected or reported inmate-on-inmate sexual abuse, staff may report up the chain of
command or directly to the facility or agency head. In instances of suspected or reported staffon-inmate sexual abuse or staff neglect or violation of responsibilities, staff is required to report
directly to the facility or agency head. Staff must not reveal any information related to a sexual
abuse report to anyone other than those who need to know in order to make treatment,
investigation, and classification decisions. Medical and mental health practitioners are excluded
from the staff duty to report unless required by state law to report sexual abuse.
Discussion
Agency administrators must repeatedly reinforce to staff members that they are mandatory
reporters with no discretion to decide whether or not to report sexual abuse allegations or any
other knowledge or suspicion of sexual abuse or harassment. They should make it clear through
policy and practice that the agency tolerates neither a staff code of silence on this issue nor the
mishandling or inappropriate sharing of information (i.e., spreading rumors).
While the staff duty to report any knowledge or suspicion of sexual abuse or harassment is
critical, the reality is that some inmate victims will not confide in staff and will avoid seeking
medical and mental health care if they believe staff medical or mental health practitioners are
required to report even suspected abuse. In order to encourage inmates to seek care and
ultimately to increase reporting, a minor exception to the absolute duty to report must be made
for staff medical and mental health practitioners. Staff medical and mental health practitioners
must obtain informed consent from an inmate who reports abuse or shows signs of having been
abused before reporting that knowledge or suspicion up the chain of command. When staff
medical and mental health practitioners suspect that an inmate has been abused, they should
speak with that inmate and tell the inmate that they must report their suspicions unless the inmate
objects. If the inmate objects to a formal report of the abuse, the medical or mental health
practitioner is responsible for determining the cause of those objections and doing everything
possible to overcome them. If there is some danger posed to other inmates by a suspected abuser
– whether inmate or staff – staff medical and mental health practitioners should report that
danger even if they cannot report the name of the suspected victim. The purpose of creating this
exception to the absolute duty to report is to ensure that inmates feel safe seeking medical and
mental health care even when they are not comfortable or do not feel safe making a formal report
of abuse. If the facility has created an environment where inmates know they will be protected
once they report abuse and know that protection will not mean placement in an isolating
environment, they will be more likely to report. And in many cases, inmates who know they can
confide in a medical or mental health practitioner will eventually feel comfortable reporting after
they have been able to get confidential counseling and support.
Finally, when developing or reviewing the agency’s staff reporting policies, administrators
should consider and abide by any relevant state laws that grant privilege (e.g., to medical
practitioners, mental health practitioners, or the clergy) or mandate reporting to outside agencies
for abuse perpetrated on certain vulnerable groups (e.g., the mentally ill, mentally or physically
disabled, or the elderly). If the agency discovers that its policy is at odds with state law, it should
take steps to revise or develop a new policy and formalize practices in accordance with state law.

35

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
SD-2: Staff duty to protect sexual abuse victims and preserve evidence
Upon learning that an inmate has been sexually abused, staff is required to take steps to protect
the safety of the victim, seal and preserve any crime scene(s), and inform the victim not to take
any actions that could destroy physical evidence before an investigator or other member of the
coordinated response team (RP-1) arrives.
Discussion
In addition to reporting the abuse up the chain of command, the first staff member who learns of
an inmate being sexually abused must take immediate steps to ensure that the victim is safe and
any physical evidence is preserved until an investigator or other member of the coordinated
response team (RP-1) arrives. To do so, staff will need to be able to counsel victims who may be
in distress while maintaining security and control over the crime scene(s).

C. Agency duty to protect against retaliation
AD-1: Agency duty to protect against retaliation
The agency protects all inmates and staff who report sexual abuse from retaliation by other
inmates or staff.
Discussion
Fear of retaliation, such as being placed in harsh or hostile conditions, being attacked by other
inmates, or suffering harassment from staff, prevents many inmates and staff from reporting
sexual abuse and impedes the ability of the agency to protect the safety and security of its
facilities. Retaliation can take many forms. For example, one or more inmates may assault
another inmate for “snitching.” An accused staff member or his or her staff allies may suddenly
start giving disciplinary tickets to the inmate who made the allegation. A staff member who
reports may find that he or she is being snubbed or isolated by other staff. The agency must use
every means possible, from information conveyed in training sessions to strict reporting policies
to strong disciplinary sanctions for retaliation, to discourage retaliation in any form.
Protection against retaliation must begin immediately, and the agency must stay alert and
maintain protective measures for as long as it deems necessary. When determining how long to
maintain protective measures, the agency should take into account inmate or staff safety
concerns. The agency will have to weigh a number of circumstances when deciding how best to
protect inmates and staff members who report sexual abuse. While collective bargaining
agreements may limit some agencies’ ability to remove accused staff members from contact
positions with inmates who have alleged staff-on-inmate sexual abuse or staff-on-inmate sexual
harassment, agencies should nonetheless make every effort to protect inmates from potential
harm. However, agencies should try to secure collective bargaining agreements that do not limit
their ability to protect inmates or other staff from retaliation.
The agency’s protective measures can be adjusted throughout the investigation as necessary, but
this does not obviate the agency’s obligation to take immediate and continuing steps to guard
against retaliation. While addressing the situation may require a housing transfer, facility
officials should make every reasonable effort to minimize the disruption caused to the inmate’s

36

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
daily life, including changes in housing assignment, access to programs, and other privileges
(PP-1 and PP-2).

D. Investigations and Discipline
IN-1: Investigations
Investigations into allegations of sexual abuse are prompt, thorough, objective, fair, and
conducted by investigators who have received special training in sexual abuse investigations.
Discussion
Investigators face a number of challenges when investigating allegations of sexual abuse. One of
these challenges is inmate reluctance to report, whether as victims or as witnesses, which often
leads to delayed reporting, changed stories, noncooperation, and difficulties obtaining physical
evidence. Investigators must be creative, patient and tenacious to overcome such reluctance.
Because the trauma of sexual abuse can be especially devastating to victims in custody who may
already feel powerless and isolated, special care should be given to how they are interviewed and
treated during an investigation. Using the team approach mandated in RP-1 (coordinated
response team) will help ensure that victims’ needs are met and that victims are not retraumatized during an investigation. Investigators should also remind and reassure victims and
witnesses that the agency will protect them from retaliation.
In cases of alleged staff-on-inmate sexual abuse or harassment, the agency should make an extra
effort to ensure that those investigations are objective and thorough and should use outside
investigators whenever possible to assure the appearance as well as the reality of impartiality.
Even where agency policy requires staff to cooperate with investigations, investigators may still
confront a code of silence or staff refusal to cooperate fully and truthfully and will, as with
inmates, have to use creativity, tenacity and patience to overcome staff reluctance. Investigators
should also report to agency heads when staff either refuses to cooperate with them or when they
feel that staff members are not being truthful.
Unlike other forms of brutality or violence that may occur in correctional facilities, sexual abuse
is less likely to be witnessed, cause visible injury, or leave other physical evidence. It is,
therefore, crucial that investigators have a protocol for making credibility assessments, which
should include reviewing any prior reports of sexual abuse against the accused abuser. Unless
state law says otherwise, agencies should maintain those records for the duration of the
complainant’s sentence or staff member’s employment. Even taking into account credibility
assessments, the available evidence may be insufficient to support a finding at an administrative
hearing or a criminal prosecution. In those cases, an investigator may conclude that while the
evidence could not substantiate an allegation, it pointed to a reasonable suspicion that the
incident in question occurred. Such an allegation may be determined to be unsubstantiated, but it
should not be categorized as unfounded.
Where a pattern of unsubstantiated allegations emerges that involves the same alleged abuser,
work shift, or area of the facility, facility heads should review relevant post assignments, staffing
levels and patterns, and the use of cameras and other monitoring technology throughout the
facility. This is a crucial measure facility heads must take to prevent sexual abuse.
37

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

When drafting or reviewing investigation policies, the agency head, along with investigation
supervisor(s), should consider any agreements or MOUs (RP-5) that should be referenced in
policy.
IN-2: Level of proof required to substantiate sexual abuse allegations for disciplinary
action
Investigators use a preponderance of the evidence standard of proof to substantiate any sexual
abuse allegation for disciplinary action.
Discussion
The goal of this standard is to ensure that the agency uses a standard of proof that is fair to all
parties and appropriate for administrative or civil action. It requires investigators to use a
preponderance of the evidence standard, which is used in civil suits involving sexual abuse and
which would enable investigators to substantiate allegations of staff or inmate abuse that seem
more likely than not to have occurred, but for which he or she cannot conclude occurred beyond
a reasonable doubt.
DI-1: Disciplinary sanctions for staff
Staff is subject to immediate termination following an administrative ruling that the staff
member engaged in actual or attempted staff-on-inmate sexually abusive contact or penetration
or a criminal finding of guilt for actual or attempted staff-on-inmate sexually abusive contact or
penetration. Staff is also subject to disciplinary sanctions, up to and including termination, when
found in violation of other agency sexual abuse policies. Sanctions are comparable and
proportional to the type of violation committed and the staff member’s disciplinary history.
Discussion
The goal of this standard is to ensure fair and consistent accountability for staff members who
have violated agency sexual abuse policies and procedures, regardless of whether they are found
guilty in criminal proceedings. Violations that require disciplinary sanctions include engaging in
actual or attempted abuse or harassment, failing to report an incident of sexual abuse, failing to
limit information received about an allegation to those who need to know, failing to cooperate
with a sexual abuse investigation, engaging in retaliation against inmates or staff who report
abuse, and failing to follow any other agency policy regarding sexual abuse in which staff was
trained. Staff employment contracts should notify staff that rules violations include a range of
sanctions up to and including termination.
Disciplinary hearings for adjudicating allegations of attempted or actual staff-on-inmate sexual
abuse or staff-on-inmate sexual harassment should be fair, and sanctions should be proportional
to the accused staff member’s conduct, his or her disciplinary history, and the sanctions meted
out for comparable offenses by other staff with similar histories. The sanctions should be
sufficiently serious in all cases to serve to communicate to all staff as well as inmates the
agency’s refusal to tolerate sexual abuse or any conduct that impedes its efforts to eliminate it.
Through increased collaboration with outside law enforcement agencies and prosecutors (RP-6

38

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
and RP-7), the agency should be taking steps to ensure that any incident that may constitute a
criminal offense is criminally investigated and prosecuted. Even if the staff member resigns, an
administrative hearing should be carried through to completion, and the agency should refer any
substantiated allegations for criminal prosecution.
DI-2: Disciplinary sanctions for inmates
Inmates are subject to disciplinary sanctions following an administrative ruling that the inmate
engaged in inmate-on-inmate sexual abuse or a criminal finding of guilt for inmate-on-inmate
sexual abuse. Sanctions are comparable and proportional to the type of violation committed and
the inmate’s disciplinary history. In instances of staff-on-inmate sexual abuse, as opposed to
forcible rape of a staff member by an inmate, inmates are not subject to disciplinary sanctions.
Discussion
Holding inmates accountable for sexually abusing other inmates is essential to deter abuse and to
demonstrate to inmates and staff that the agency takes seriously its zero-tolerance policy.
Disciplinary hearings for adjudicating allegations of inmate-on-inmate sexual abuse should be
fair, and sanctions should be proportional to the accused inmate’s conduct, his or her disciplinary
history, and the sanctions meted out for comparable offenses by other inmates with similar
histories. The agency should also consider imposing constructive measures in addition to or as an
alternative to negative sanctions such as withdrawal of privileges or placement in segregation.
The agency should take all steps necessary to manage inmates who have sexually abused other
inmates. However, the agency’s process for determining whether to impose disciplinary
sanctions and which sanctions to impose should take into consideration any serious mental health
problems that may have contributed to the inmate’s abusive behavior. Inmates with serious
mental illness should never be sanctioned with prolonged periods in disciplinary segregation if
the conditions in segregation have the potential to aggravate symptoms of their mental illness
and/or limit their access to needed mental health services.
Inmates should never be subject to disciplinary sanctions for apparently consensual sexual
activity with staff members because even in situations where inmates appear to have consented
they remain under the power and control of staff. Disciplinary sanctions for inmates will
discourage them from reporting abuse. Additionally, some inmates may fail to report abuse
because of larger safety concerns in the facility and therefore should not be punished for
concealing sexual activity. Staff must ultimately be held responsible for such abuse.
Finally, through increased collaboration with outside law enforcement agencies and prosecutors
(RP-6 and RP-7), the agency should be taking steps to ensure that any incident that may
constitute a criminal offense is criminally investigated and prosecuted.

39

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

E. Medical and Mental Health Care
MM-1: Access to medical and mental health services
Victims of sexual abuse have timely, unimpeded access to quality medical and mental health
services free of charge following an incident of sexual abuse, regardless of whether or not they
name an abuser. If no qualified medical or mental health practitioners are on duty at the time a
report is made, staff should take preliminary steps to protect the victim (SD-2) and immediately
notify the appropriate medical and mental health practitioners. Only qualified medical and
mental health practitioners who have successfully completed sensitivity training (TR-5) provide
ongoing treatment services to sexual abuse victims.
Discussion
Inmate victims of sexual abuse should receive timely and unimpeded medical and mental health
care equal to the standards of care in the community. Victims should not have to wait many
hours to receive care or go through the standard sick call process following an incident of sexual
abuse. Additionally, if an inmate reports that he or she was sexually abused during transport to
the correctional facility while in the custody of law enforcement, that inmate should receive the
same immediate care as he or she would have received had the incident occurred inside the
facility. In those cases where an inmate reports abuse that occurred at a different facility or while
in custody of law enforcement, the facility head is required to notify the appropriate authority
where the alleged abuse occurred (RP-4).
If the agency does not already have a quality improvement program for medical and mental
health care services, it should take steps to implement a structured quality improvement program
to assess its delivery of medical and mental health care services to sexual abuse victims and
develop strategies for improvement where weaknesses are identified. Procedures and posted
information relating to the access of medical and mental health care should be easy to use and
understand, and this information should be available in multiple languages for LEP inmates (PP4).
MM-2: Medical and mental health screenings—history of sexual victimization
Inmates are to be asked whether they have a history of sexual victimization during medical and
mental health reception and intake screenings. Information related to sexual victimization must
be strictly limited to medical and mental health practitioners and classification staff, if necessary,
to determine treatment options and inform inmate management plans (CL-3).
Discussion
Facilities typically perform a brief health screening of every inmate upon their arrival, followed
by a more comprehensive assessment 7 to 14 days after admission. These screenings should
include questions about previous sexual victimization while incarcerated or in the community.
An inmate who indicates that he or she has previously been the victim of sexual abuse should be
referred for further evaluation, and if deemed necessary by qualified medical and mental health
practitioners, should receive further treatment. If the medical or mental health practitioner who
does the screening determines that the inmate may be at risk for future victimization based on his
or her history of victimization, the practitioner should alert the classification staff member in

40

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
charge of developing that inmate’s management plan. However, any information pertaining to an
inmate’s history of sexual victimization must be handled with the utmost sensitivity and limited
to the medical and/or mental health practitioners and classification staff members who need to
know to develop treatment and management plans.
MM-3: Detection
If medical practitioners detect signs of potential sexual abuse during a routine medical or dental
exam, they are required to discuss their concerns with the inmate and report their suspicions
unless the inmate tells them not to report (TR-4, TR-5, and SD-1). In instances of suspected
inmate-on-inmate sexual abuse, practitioners may report up the chain of command or directly to
the facility or agency head. In instances of suspected staff-on-inmate sexual abuse, practitioners
are required to report sexual abuse directly to the facility or agency head. Any necessary
treatment will be provided regardless of whether the inmate confirms the abuse or names an
abuser.
Discussion
If medical practitioners detect signs of potential sexual abuse during a routine exam, they should
initiate a conversation about their concerns with the inmate rather than waiting for the inmate to
initiate the conversation. They should know their reporting and treatment responsibilities prior to
encountering a patient whom they suspect has been sexually abused, and they should also be
trained in how to obtain informed consent from inmates before reporting sexual abuse (TR-5).
Failure to act promptly and appropriately could put the inmate at risk for future harm and result
in the loss of perishable physical evidence.
MM-4: Medical and mental health care for sexual abuse victims
All victims of sexual abuse receive immediate and ongoing medical and/or mental health
evaluation and treatment, consistent with and equivalent to community standards of care,
regardless of when or where the abuse occurred.
Discussion
Because victims of sexual abuse can experience a range of physical injuries and emotional
reactions, the agency must be able to ensure delivery of a range of quality medical and mental
health services. The more time and energy the agency head puts into developing a coordinated
response team and validated evidence protocol (RP-1 and RP-2) that will protect medical
evidence, the easier it will be for medical and mental health practitioners to coordinate their
functions and deliver the best care to victims.
Victims and perpetrators of sexual abuse, whether recent or historical, are at risk for sexually
transmitted infections (STIs), including HIV, and should be provided counseling in a sensitive,
culturally competent, and easily understood manner regarding transmission, testing, and
treatment methods, including prophylactic treatment and the risks associated with any STI
treatment. Regardless of whether the inmate has accepted prevention or treatment for STIs,
medical practitioners should offer and strongly encourage him or her to be tested for HIV and
viral hepatitis six to eight weeks following the sexual abuse.

41

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

If there has been vaginal penetration, female victims who have been recently abused should be
offered pregnancy tests at the time of the medical evaluation and, if the test is negative, should
be offered retesting approximately six weeks thereafter. Victims who have positive tests should
receive counseling and have access to all pregnancy-related medical services that are available in
the community.
Victims have the right to refuse medical and/or mental health care, after receiving counseling
about the potential value of the services they would receive and information about
confidentiality. Refusals for care should be signed by the victim and documented in the inmate’s
medical file.

42

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

IV. MONITORING
A. Data Collection
DC-1: Data collection
The agency collects validated, uniform data for every reported incident of sexual abuse using a
standardized instrument and set of definitions. The agency aggregates the incident-based sexual
abuse data at least annually, using a sexual abuse aggregate data collection instrument. The
agency reviews the aggregate data at least annually to identify patterns or trends and uses that
information to guide decisionmaking, policy development, and operational practices regarding
sexual abuse issues.
Discussion
The data collection requirements listed in Compliance Checklist 42 will serve as a guide for
agencies to develop an incident-based sexual abuse data collection instrument. It is important for
agencies to factually compile data for each reported incident of sexual abuse. However, it is
important to only enter information that is known, leaving blank information that is not known or
is unavailable. For instance, anonymous reports of incidents may yield very spare information
and include little more than the details of the report itself. The person responsible for collecting
data should add additional data to individual incident reports as it becomes available.
Agencies may find it useful to collect additional data that will assist them as they review, revise,
and develop new sexual abuse prevention and response activities.
At the moment there is no universal data collection instrument. Ideally, a universal instrument
with standardized definitions will be developed at the national level and used by every
correctional agency in the country. This would allow for comparisons of data that are not
currently possible and would facilitate the continuation of the data collection efforts begun by the
Bureau of Justice Statistics (BJS) under PREA.
Collected incident-based data are aggregated and entered into a spreadsheet or database.
Compliance Checklist 43 will serve as a guide for agencies as they develop their process for
aggregating incident-based data. Once data are aggregated, it is important to remove all unique
identifiers from the data to maintain the confidentiality of the victims and alleged perpetrators.
Aggregating collected incident-based data on an annual basis will provide the agency with data
descriptive of all reported incidents of sexual abuse that took place within the agency and its
individual facilities during the previous year. This process will enable agencies to sort and filter
data to detect patterns and trends that should be addressed as they review and revise sexual abuse
policies and protocols. For instance, sorting or filtering the data by the victim’s gender, custody
level, and type of incident may allow agencies to detect particularly vulnerable groups.
Comparing the current aggregate data to previous years will also yield valuable information
including validation of implemented preventive measures. For example, agencies may observe a
decrease in the number of allegations in an area where additional security measures were
implemented and monitoring was enhanced.

43

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
DC-2: Data storage, retention, protection, and destruction
The agency ensures that the collected sexual abuse data are properly stored, retained, protected,
and destroyed. The agency maintains sexual abuse data for at least 10 years after the date of its
initial collection unless state law sets other requirements.
Discussion
The agency’s data collection efforts will only be useful to track trends and contribute to national
statistics if the agency stores the data in a manner that protects their integrity and retains the data
for an adequate length of time. It is strongly recommended the agency keep its collected sexual
abuse data electronically in a format that is password protected and does not allow for
unauthorized changes. When this is not possible, the agency must establish a process for the
secure storage of paper documents.
Collected data must be stored and maintained in a way that protects the confidentiality of victims
and alleged perpetrators. However, the public may have a legitimate interest in the data collected
by agencies because of the information it provides about the safety of these public institutions.
Agency sexual abuse data may also inform research and efforts to improve safety. Privacy
interests must be balanced against the legitimate public interest in safe correctional institutions
and the penological benefits that accompany transparency.
All aggregate data should be published online annually and should be readily available to the
public. Agencies should also establish a nonburdensome process to allow researchers, academics,
journalists, and others access to incident-based data. The operating presumption should be that
the agency will provide such information unless there is a significant countervailing interest that
cannot be overcome. When aggregate or incident-based data are provided, unique identifiers
must be removed in accordance with applicable law.

44

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

COMPLIANCE CHECKLISTS
I. LEADERSHIP AND ACCOUNTABILITY COMPLIANCE CHECKLISTS
A. Safety, Oversight, and Transparency
Compliance Checklist 1: Zero tolerance of sexual abuse (SA-1)
YES

NO

Initial

Date

(a) Does the agency have a written policy mandating zero tolerance
toward all forms of sexual abuse?
(b) Has the agency informed all staff members of the agency’s zerotolerance policy toward all forms of sexual abuse?
(c) Has the agency informed all inmates of the agency’s zero-tolerance
policy toward all forms of sexual abuse?
(d) Does agency leadership demonstrate zero tolerance toward all
forms of sexual abuse?
(e) Is inmate safety from sexual abuse an agency priority?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 2: Annual audit and certification (SA-2)
YES

NO

(a) Has the chief executive designated an independent auditor with no
previous or current affiliation with the agency to conduct annual
audits of the agency’s compliance with the PREA standards?
(b) Are all auditors competent to conduct an unbiased and thorough
investigatory review of the agency’s compliance with these
standards?
(c) Does the independent auditor have the authority to enter any facility
in the jurisdiction unannounced and at any time?
(d) Are audit results submitted annually to the chief executive of the
jurisdiction?
(e) Has the chief executive certified in writing that the agency is in full
compliance with the standards or, if unable to comply, documented
the reasons for inability to comply and the actions the agency and
individual facilities will take to ensure that inmates are safe from
sexual abuse?
(f) Does the chief executive publish the audit material and audit
results?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

45

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 3: Internal assessment and planning for achieving compliance with the Prison Rape
Elimination Act standards (SA-3)
YES

NO

Initial

Date

Prisons

(1) Initial Assessment and action plan to comply with the PREA standards:
(a) Have current policies, protocols, and practices been assessed using
√
the compliance checklists in this body of standards?
(b) Have all serious incidents that occurred in the facility over the last
year been evaluated to determine whether sexual abuse played a
role in the event? (e.g., incidents that stem from or involve sexual
√
abuse may include verbal threats between inmates and/or staff;
fights; self-mutilation; assaults; suicide/attempts; staff misconduct;
homicides; and weapons possession)
(c) Did the initial internal assessment include a review of the facility’s
√
ability to provide adequate sight and sound supervision in
compliance with PP-1?
(d) Did the initial internal assessment include a review of all
administrative complaints that pertain to any of the following
matters?
√
• Any aspect of facility operations or policy
• Inmate grievances and outcomes of complaints related to inmate
√
protection and safety issues
√
• Criminal investigations
√
• Personnel actions taken against staff
• Any other formal or informal reports of sexual abuse from inmates
√
or third parties
(e) Did the initial internal assessment include an evaluation of the
√
facility’s current use of technology to prevent sexual abuse?
(f) Were technology needs identified during the initial internal
√
assessment?
(g) Has an initial action plan been developed to address all
deficiencies, including staff deployment and technology needs in
√
order to achieve adequate sight and sound supervision, as identified
in the internal assessment?
(h) Does the initial action plan set benchmarks for achieving full
√
compliance with the PREA standards?
(i) Does the initial action plan include strategies for overcoming staff
√
resistance to change?
(j) Have efforts been made to seek technical assistance to achieve
√
compliance with the PREA standards?
(k) Has a communication plan been developed to inform all staff,
inmates, other stakeholders, and the community about the PREA
√
standards, action plans for achieving compliance with the
standards, and the agency’s commitment to eliminating sexual
abuse?
(l) Has the initial internal assessment and action plan been approved
√
by the agency head?
(2) Annual follow-up assessment and follow-up action plan to ensure compliance with the PREA standards:
(m) Is the facility meeting the benchmarks described its initial action
plan to achieve full compliance with the PREA standards?
√
• Please list the specific benchmarks the facility has met in the box
below.
(n) Have all serious incidents that occurred in the facility over the last
year been evaluated to determine whether sexual abuse played a
role in the event? (e.g., incidents that stem from or involve sexual
√
abuse may include verbal threats between inmates and/or staff;
fights; self-mutilation; assaults; suicide/attempts; staff misconduct;
homicides; and weapons possession)

Jails

√

√

√

√
√
√
√
√
√
√

√

√
√
√

√

√

√

√

46

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

(o) Does the annual internal assessment include a review of the
facility’s ability to provide adequate sight and sound supervision in
compliance with PP-1?
(p) Does the annual internal assessment include a review of all
administrative complaints that pertain to any of the following
matters?
• Any aspect of facility operations or policy
• Inmate grievances and outcomes of complaints related to inmate
protection and safety issues
• Criminal investigations
• Personnel actions taken against staff
• Any other formal or informal reports of sexual abuse from inmates
or third parties
(q) Does the annual internal assessment include a review of the current
year’s sexual abuse data, including collated incident-based data and
aggregated data (DC-1)?
(r) Does the annual internal assessment include a comparison of the
current year’s sexual abuse data with the previous year’s sexual
abuse data to identify trends?
(s) Does the annual internal assessment include a review of the
timeliness and thoroughness of sexual abuse investigations (IN-1)?
(t) Does the annual internal assessment include a review of medical
and mental health care provided to sexual abuse victims (MM-4)?
(u) Does the annual internal assessment include a review of MOUs and
other agreements to see how closely they were followed?
(v) Has a follow-up action plan been developed to address all
deficiencies identified in the internal assessment?
(w) Have efforts been made to seek technical assistance to improve
compliance with the PREA standards?
(x) Has the annual internal facility assessment and follow-up action
plan been approved and signed by the agency head?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

47

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

B. Prevention Planning
Compliance Checklist 4: Inmate safety (PP-1)
YES

NO

(a) Has the agency taken steps to identify and eliminate any physical
barriers that impede sight and sound supervision of inmates?
(b) Is the number of inmates allowed in each housing unit at midnight
on any given day within the building capacity code of the specific
jurisdiction and any other legally authorized mandate within the
jurisdiction? (e.g., fire safety regulations)
(c) Are staffing levels, including both authorized staff and the actual
number of staff ready and fit for duty, sufficient to prevent or
respond to sexual abuse?
(d) Are security staff deployed 24 hours a day to the essential posts
that may be especially dangerous because of physical design
constraints, the time of day, poor sight lines, or any other
limitation?
(e) For the essential posts that may be especially dangerous, is the
level of security staff deployed 24 hours a day sufficient to provide
direct sight and sound supervision of inmates in order to prevent
sexual abuse?
(f) Are nonessential posts being occupied by security staff?
(g) If nonessential posts are being occupied by security staff, have
efforts been made to change staffing patterns so security staff
occupy essential posts 24 hours a day?
(h) Is security staff constantly present and immediately available to
inmates?
(i) Has the agency informed all staff and administrators of their
responsibilities when receiving and responding to reports of sexual
abuse?
(j) Does the facility use electronic tracking technology such as RFID
systems or video security monitoring systems to enhance sight and
sound supervision of inmates (PP-7)?
(k) Are staff members who supervise inmates isolated from the general
population monitored by supervisors and/or monitoring technology
such as RFID or video security monitoring systems?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

48

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 5: Heightened protection for vulnerable inmates (PP-2)
YES

NO

(a) Does the facility provide heightened sight and sound supervision of
inmates who have not yet been classified?
(b) Has the agency developed specific criteria to identify inmates who
may be particularly vulnerable to sexual abuse? (e.g., sexual
orientation, transgender identity, mental illness, mental disability,
physical disability, youthful appearance)
(c) Are the agency’s policies flexible enough to allow facility staff to
make rational judgments regarding inmate vulnerability even if the
inmate is not identified under pre-existing criteria?
(d) Does the facility provide heightened protection for inmates who
identify as transgender or are known to be transgender?
(e) Does the facility’s practice of providing heightened protection to
transgender inmates take into account the safety concerns of those
inmates?
(f) Does agency policy and facility practice ensure that transgender
inmates are never subject to unnecessary and degrading strip
searches to determine their gender?
(g) Does staff make every effort to identify inmates who are
particularly vulnerable to sexual abuse during intake screenings
(CL-1)?
(h) Does staff make every effort to identify inmates who are
particularly vulnerable to sexual abuse during classification
assessments (CL-2)?
(i) Does staff make every effort to identify inmates who are
particularly vulnerable to sexual abuse during medical and mental
health screenings (MM-2)?
(j) Does staff make every effort to identify inmates who are
particularly vulnerable to sexual abuse following any significant
event that suggests abuse or potential abuse of inmates by other
inmates or staff (CL-2)?
(k) Does the facility provide separate housing to inmates who cannot
be kept safe in general population due to a disability or other
vulnerability?
(l) Are vulnerable inmates who are housed separately from general
population able to participate fully in the work assignments,
programs, and recreational opportunities available in the facility?
(m) Are staff members deployed to separate housing areas monitored
by supervisory staff and/or by monitoring technology such as RFID
or video security monitoring systems (PP-7)?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

49

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

Compliance Checklist 6: Restrictions on cross-gender supervision (PP-3)
YES

NO

Initial

Date

(a) Except in the case of emergency, are nonmedical staff members of
the opposite gender prohibited from viewing inmates under the
following circumstances?
• When an inmate is disrobed
• When an inmate is performing bodily functions
• When an inmate is undergoing a medical examination or procedure
• When an inmate is undergoing a pat-down, strip, visual body
cavity, or physical body cavity search
(b) Do staff members of the same gender as the inmate being searched
conduct all pat-down, strip, and visual body cavity searches?
(c) If a security staff member is present during medical examinations
or procedures, does the agency require that security staff member
to be a person of the same gender as the inmate undergoing the
examination or procedure?
(d) Is a staff member of the same gender present when an inmate is
being transported one-on-one from one place to another outside the
facility?
(e) Does agency policy regarding staff deployment and cross-gender
supervision meet the criteria listed in (a)–(d)?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√
√
√

√
√
√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

Compliance Checklist 7: Language access (PP-4)
YES

NO

(a) Has the facility head identified all of the languages spoken by
inmates?
(b) Has the facility head identified any other special communication
needs of the inmate population? (e.g., LEP, deaf, speech-, or sightimpaired, or illiterate)
(c) Has the facility head taken steps to ensure that all staff and inmates
are able to communicate with each other without relying on inmate
translators?
(d) Does the facility have a written policy for staff on how to
communicate with LEP inmates, deaf, speech-, or sight-impaired
inmates, and how to convey written information to inmates with
limited reading ability?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

50

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 8: Staff qualifications (PP-5)
YES

NO

Initial

Date

(a) Does the agency’s hiring process include screening applicants for
the following?
• Any criminal record
• Any history of engaging in sexual abuse
• Any other previous conduct that suggests a likelihood of engaging
in sexual abuse
(b) Do staff performance reviews for purposes of retention or
promotion take into account the following?
• Any criminal history
• Any history of repeated allegations made against the staff member,
which may indicate that he or she has engaged in sexual abuse or
other misconduct
• Any history of repeated allegations made against the staff member,
which may indicate a likelihood of engaging in sexual abuse or
harassment
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√
√

√
√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

Compliance Checklist 9: Integrated information systems (PP-6)
YES

NO

Initial

Date

(a) Does the agency have an integrated information system that allows
staff across facilities to store, track, and share data related to
incidents of sexual abuse?
(b) Does the agency’s integrated information system include the use of
an automated database system?
(c) Does the agency use its integrated information system to store,
track, and share data related to incidents of sexual abuse?
(d) Is the agency’s integrated information system maintained and
updated, as necessary, to ensure it functions properly?
(e) If the agency does not have an integrated information system, does
the annual assessment and action plan address the agency’s need
for this technology and plan to obtain it (SA-3)?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Compliance Checklist 10: Use of appropriate monitoring technology (PP-7)
YES

NO

Initial

(a) Has the facility head or a designee assessed the facility’s use of
technology to prevent and respond to sexual abuse?
(b) Did the facility’s technology assessment reveal any weaknesses or
security deficiencies?
(c) Has the facility developed a plan to address weaknesses or security
deficiencies?
(d) Has the facility taken steps, if appropriate, to replace cameras with
newer technologies such as video monitoring and RFID systems?

Date

51

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

52

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

C. Response Planning
Compliance Checklist 11: Coordinated response team (RP-1)
YES

NO

Initial

Date

(a) Does the agency have a written plan for ensuring a coordinated
team responds to incidents of sexual abuse?
Note: The agency may decide to coordinate with an existing
community sexual assault response team (SART) or other
specialized community response team to ensure the functions
described in the checklist below are carried out effectively and
efficiently.
(b) Does the coordinated response team used by the agency include at
least one of the following?
• A medical practitioner
• A mental health practitioner
• A security staff member
• An investigator
(c) Does the immediate response include an assessment of the victim’s
acute medical needs to determine if he or she needs to be stabilized
and/or treated for injuries, conditions, or potential risks?
(d) Is the victim given the option of undergoing a forensic medical
exam for the purpose of collecting and documenting physical
evidence of abuse?
(e) If the victim chooses to undergo a forensic medical exam, is an
advocate made available to him or her through the process? (e.g.,
accompanying the victim to an off-site provider or remaining in the
waiting area if the exam is performed on-site)
(f) Does the victim receive crisis intervention counseling before and
after undergoing the forensic medical exam?
(g) Does the victim receive information about accessing available
mental health and victim services?
(h) Is the victim informed of his or her rights under relevant federal
and/or state crime victims’ rights laws?
(i) Do investigators make victim safety a top priority during the course
of their investigations?
(j) Does the agency’s response plan address how to meet any special
needs a victim may have? (e.g., LEP, deaf, speech-, or sightimpaired, mentally ill, mentally or physically disabled)
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√
√
√
√

√
√
√
√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

Compliance Checklist 12: Evidence protocol (RP-2)
YES

NO

(1) Minimum required steps for the agency’s sexual abuse evidence protocol:
(a) Do victims receive a prompt examination to identify medical and
mental health needs and minimize the loss of evidence?
(b) Are victims’ acute medical and mental health needs addressed
before evidence is collected on-site or they are transported off-site
for evidence collection?
(c) After immediate disclosure of an incident, are victims instructed not

Initial

Date

53

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

(d)
(e)
•
•
•
•
•
•
•
(f)

(g)
(h)
(i)
•
•

•
(j)

to wash, brush their teeth, change their clothes, urinate, defecate,
smoke, drink, or eat until they have been initially evaluated by a
forensic medical examiner?
Do specially educated and clinically prepared medical examiners
conduct all forensic medical exams?
During forensic medical exams, do examiners obtain medical
forensic histories by asking victims questions about the following?
The date, time, and location of the abuse
Pertinent medical history
Activities since the abuse occurred
Abuse-related victim history
Suspect information
Nature of any physical assault
Description of the sexual abuse
Does the facility ensure that forensic medical exams are only
performed using the proper equipment and supplies? (e.g.,
anoscope, colposcope with photographic capability, microscope,
toluidine blue dye, in addition to standard exam room equipment
and supplies)
Do medical examiners use sexual assault evidence collection kits
that are standardized and meet or exceed minimum guidelines for
contents?
Do medical examiners take initial and follow-up photographs as
appropriate, according to jurisdictional policy?
Do the medical examiner and the facility maintain evidence
integrity by taking the following measures?
Following jurisdictional policies for drying, packaging, labeling,
and sealing the evidence
Transferring the evidence in the custody of an authorized agent
from the exam site to a crime laboratory or a secure storage area
with the proper climate control
Maintaining proper chain of custody
Do the medical examiner and facility medical practitioners, if
different, ensure that victims receive follow-up care regarding
sexually transmitted infection examinations, testing,
immunizations, post-exposure prophylaxis, and treatment?

(2) Additional requirements for the agency’s sexual abuse evidence protocol:
(k) Are all individuals involved in the handling, documenting,
transferring, and storing of evidence educated about how to
preserve evidence and maintain the chain of custody?
(l) Has the agency developed a written protocol based on the U.S.
Department of Justice’s A National Protocol for Sexual Assault
Medical Forensic Examinations, Adults/Adolescents, or any
subsequent updated editions?
See U.S. Department of Justice, Office on Violence Against Women,
A National Protocol for Sexual Assault Medical Forensic
Examinations, Adults/Adolescents, NCJ 206554 (Washington, DC:
U.S. Department of Justice, September 2004).
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Date

Prisons

Jails

√

√

√
√
√
√
√
√
√

√
√
√
√
√
√
√

√

√

√

√

√

√

√

√

√
√

√

√

√

√

√

√

√

54

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 13: Sexual abuse findings from forensic autopsies (RP-3)
YES

NO

Initial

Date

(a) Following any forensic autopsy performed on an inmate who died of
known or suspected unnatural causes while in custody, does the
facility head obtain the medical examiner’s finding regarding any
evidence that the deceased engaged in sexual activity, other than selfstimulated activity, immediately prior to death?
(b) If the medical examiner’s findings indicate that the deceased may
have engaged in sexual activity immediately prior to death, does the
facility head initiate an investigation into the death and possible
sexual abuse immediately?
Additional comments
and/or explanation of
steps taken toward
compliance, or
reasons for
noncompliance:

Prisons

Jails

√

√

√

√

Prisons

Jails

√

√

Compliance Checklist 14: Reporting to other confinement facilities (RP-4)
YES

NO

(a) Does the facility head know how to contact other confinement
facilities/agencies in his or her state?
Additional comments
and/or explanation of
steps taken toward
compliance, or
reasons for
noncompliance:

Initial

Date

55

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 15: Agreements with outside agencies (RP-5)
YES

NO

(a) Do all agreements specify the purpose of the agreement? (e.g.,
outside reporting, confidential support services, discharge
planning services)
(b) Do all agreements specify the respective roles and responsibilities
of the correctional agency and outside agency?
(c) Do agreements with outside government agencies that can receive
and respond to inmate reports specify the following?
• That the outside agency must notify the correctional agency head
of the report
• That the outside agency must follow up on the correctional
agency’s investigative efforts
(d) Do all agreements specify procedures for how and when
community service providers are able to gain entry into a facility?
(e) Do all agreements specify the level of security supervision
community service providers will have while in a facility?
(f) Do all agreements specify safety precautions that community
service providers should take when working with inmates?
(g) Do all agreements specify any laws, rules, and/or regulations
relevant to the service being provided, including laws granting
privilege and agency rules governing confidentiality for
disclosures about sexual abuse made to community service
providers?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

56

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 16: Memoranda of understanding with outside law enforcement agencies (RP-6)
YES

NO

Initial

Date

(a) Does the MOU state the purpose of the agreement? (e.g., criminal or
administrative investigations of sexual abuse)
(b) Does the MOU state the criteria, protocol, and timetables for referring
an allegation of sexual abuse to the outside law enforcement agency
for investigation?
(c) Does the MOU state the respective roles and responsibilities for
sexual abuse investigations, including coordination of the
investigation as part of the team response to sexual abuse (RP-1)?
(d) Does the MOU state the respective roles and responsibilities for
collecting evidence in accordance with the correctional or law
enforcement agency’s evidence protocol (RP-2)?
(e) Does the MOU explain how criminal and administrative
investigations will be coordinated between the agencies?
(f) Does the MOU explain what information will and will not be shared
between agencies?
(g) Does the MOU state the protocol for reporting progress on
investigations to corrections officials?
(h) Does the MOU state where closed case files are maintained?
(i) Does the MOU state the protocol for informing the victim of the
progress and outcome of the investigation(s)?
(j) Does the MOU require regular meetings between the agency and law
enforcement supervisors to review the efficacy of the agreement and
to recommend or make any changes, as necessary?
(k) Are outside investigators trained in conducting sexual abuse
investigations in a confinement setting?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 17: Memorandum of understanding with prosecuting authority (RP-7)
YES

NO

Initial

(a) Has the agency head successfully entered into an MOU with the
authority responsible for prosecuting violations of criminal law?
(b) Does the MOU state the purpose of the agreement? (e.g., to ensure
effective prosecution of sexual abuse in confinement settings)
(c) Has the agency established a liaison position within each
agency/office?
(d) Does the MOU include a schedule for joint training of investigators
and prosecutors?
(e) Does the MOU state objective criteria for prosecution referral?
(f) Does the MOU outline the necessary evidence and relevant
paperwork prosecutors will need from the agency to prosecute a case
of sexual abuse?
(g) Does the MOU outline timeframes for submission of criminal cases to
prosecutors?
(h) Does the MOU require that prosecutors report back to correctional
agencies after each case is reviewed?
(i) Does the MOU require regular meetings between the agency and
prosecution supervisors to review the efficacy of the agreement and to
recommend or make any changes, as necessary?

Date

57

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Compliance Checklist 18: Agreements with forensic medical examiners (RP-8)
YES

NO

(a) Does the MOU state the purpose of the agreement? (i.e., to ensure
immediate medical care needs of the victim are met and that
perishable physical evidence is collected and preserved promptly and
competently)
(b) Does the MOU state the respective roles and responsibilities for
examining victims and treating the acute and nonacute medical and
mental health needs of victims (RP-1 Compliance Checklist 11, RP-2
Compliance Checklist 12)?
(c) Does the MOU state the required equipment and supplies necessary
for the exam (RP-2 Compliance Checklist 12, (1), (f))?
(d) Does the MOU require the examiners use sexual assault evidence
collection kits that are standardized and meet or exceed minimum
guidelines for contents (RP-2 Compliance Checklist 12, (1), (g))?
(e) Does the MOU state the criteria, protocol, and responsibility for
taking initial and follow-up photographs of injuries, as appropriate,
according to jurisdictional policy (RP-2 Compliance Checklist 12, (1),
(h))?
(f) Does the MOU state the protocol for maintaining evidence integrity
according to jurisdictional policies for drying, packaging, labeling,
and sealing the evidence (RP-2 Compliance Checklist 12, (1), (i))?
(g) Does the MOU state the protocol for transferring the evidence in the
custody of an authorized agent from the exam site to a crime
laboratory or a secure storage area with the proper climate control
(RP-2 Compliance Checklist 12, (1), (i))?
(h) Does the MOU require examiners to document all services provided,
including their recommendations for continued care and treatment?
(i) If the exam is provided off-site, does the MOU state the protocol for
transfer of copies of the victim’s medical file back to the agency
health care unit?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

58

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 19: Sexual abuse incident reviews (RP-9)
YES

NO

(a) Has the agency head appointed a standing review committee whose
membership includes all of the following?
• A staff member at the administrative or deputy level with
responsibility for treatment services
• The medical director or health care administrator
• The person with primary responsibility for on-site mental health
services
• The chief of on-site investigations
• The chief of security
• A member of the executive leadership who has functional
responsibility over line staff
(b) Does the standing review committee exclude any and all members of
the coordinated response team (RP-1) in order to avoid biased
reviews?
(c) Is a sexual abuse incident review conducted at the conclusion of
every investigation into a credible report of sexual abuse?
(d) Does the review committee interview any and all members of the
coordinated response team (RP-1) about the incident and response?
(e) Does the review committee interview every other staff member who
was involved in the response to the incident?
(f) Does the review committee identify security failures requiring
immediate action?
(g) Does the review committee assess the coordination and
implementation of the response to the incident?
(h) Does the review committee assess the integrity of the administrative
and/or criminal investigation?
(i) Does the review committee assess the timeliness and quality of the
medical and mental health interventions?
(j) Does the review committee assess whether the alleged perpetrator(s)
and victim(s) were properly classified?
(k) Does the review committee assess whether the victim(s) or
witness(es) were able to safely and effectively report the incident?
(l) Does the review committee assess whether staff complied with
policies?
(m) Following the review, does the review committee revise any policies
that may have contributed to the incident?
(n) Following the review, does the review committee revise any policies
that may have led to an ineffective response to the incident?
(o) Following the review, does the facility retrain staff, if necessary?
(p) Following the review, does the facility implement new policies and
protocols necessary to address weaknesses in its prevention and
response efforts?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√
√

√
√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

59

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

II. PREVENTION COMPLIANCE CHECKLISTS
A. Training and Education
Compliance Checklist 20: Topic requirements for all staff, volunteer, and inmate training and education (TR1, TR-4)
YES

NO

General education and awareness topics:
(a) Does the training include an
overview of PREA?
(b) Does the training explain the
agency’s zero-tolerance policy
toward sexual abuse?
(c) Does the training include definitions
and examples of prohibited and/or
illegal behaviors and language to be
considered sexual abuse?
(d) Does the training provide examples
of conduct, circumstances, and “red
flags” that may be precursors to
sexual abuse or which suggest sexual
abuse is occurring?
(e) Does the training explain the
agency’s prohibition on retaliation
against staff or inmates who allege
sexual abuse?
(f) Does the training provide examples
of common reactions by victims of
sexual abuse?
(g) Does the training explain the
agency’s liability for sexual abuse of
persons in custody (criminal, civil,
and administrative)?
(h) Does the training explain the
agency’s policy regarding inmates
who knowingly make false
allegations of staff-on-inmate sexual
abuse or staff-on-inmate sexual
harassment?
(i) Does the training describe the
common myths and perceptions of
sexual intimidation and abuse in
confinement settings?
(j) Does the training explain how sexual
abuse is used to gain power and
control in confinement settings and
provide strategies inmates can use to
protect against being targeted or
abused?
(k) Does the training explain the
agency’s policy prohibiting staff and
inmate relationships?
(l) Does the training describe
professional boundary setting,
including issues related to personal

Initial

Date

Staff

Volunteers

Inmates

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

60

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

(m)

(n)

(o)
(p)

associations with inmates, consent,
and imbalances of power?
Does the training include strategies
for promoting effective prevention
and intervention of staff-on-inmate
sexual abuse and staff-on-inmate
sexual harassment?
Does the training explain that
inmates will not face sanctions for
instances of staff-on-inmate sexual
abuse?
Does the training explain that every
allegation of sexual abuse will be
investigated?
Does the training teach staff to
communicate sensitively and
effectively with inmate victims of
different races, ethnicities, cultural
or religious backgrounds, genders,
sexual orientations, and/or inmates
with different abilities?

Date

Staff

Volunteers

√

√

√

√

√

√

√

√

Reporting, investigations, and medical and mental health care topics:
(q) Does the training provide strategies
for removing a victim or witness of
sexual abuse from any public or
√
semipublic area without arousing the
suspicion of other inmates or staff
members?
(r) Does the training describe the staff
and volunteer duty to report sexual
√
abuse and their liability if they fail to
report?
(s) Does the training describe the
√
process that staff and volunteers
should use to report sexual abuse?
(t) Does the training describe the
process that inmates should use to
√
report sexual abuse, including how
to use the agency’s grievance system
and how to report externally?
(u) Does the training make clear that
medical and mental health
√
practitioners may only report sexual
abuse disclosed by an inmate with
that inmate’s informed consent?
(v) Does the training explain the range
of victim services available to
inmates, including free medical and
√
mental health care for injuries and/or
trauma resulting from sexual abuse,
and how inmates gain access to those
services?
(w) Does the training explain that a
forensic medical exam may be
√
performed if an incident is reported
within 96 hours of occurrence?

√

Inmates

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

61

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

(x) Does the training explain that
sexually transmitted infections, and
pregnancy for females, may result
from an incident of sexual abuse and
that victims will have access to the
necessary testing, counseling, and
treatment?
(y) Does the training include strategies
for protecting the safety of
vulnerable populations including, but
not limited to, lesbian, gay, bi-sexual
and transgender inmates; deaf or
speech- or sight-impaired inmates;
developmentally disabled inmates;
inmates with limited English
proficiency; mentally ill inmates;
inmates with past histories of sexual
abuse; inmates with personality
disorders; and young inmates?
(z) Does the training explain the legal
and disciplinary sanctions for
inmates who engage in inmate-oninmate sexual abuse?
(aa) Does the training explain the legal
and disciplinary sanctions for staff
who engage in actual or attempted
staff-on-inmate sexual abuse or staffon-inmate sexual harassment?
(bb) Does the training explain the
investigative process for allegations
of sexual abuse including the
importance of preserving evidence?
(cc) Does the training explain the
victim’s rights based on relevant
state or federal law?
(dd) Does the training explain the rights
of a staff member who is the subject
of an investigation based on relevant
federal or state law or, if applicable,
under collective bargaining
agreements?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Date

Staff

Volunteers

Inmates

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 21: Procedural requirements for all staff, volunteer, and inmate training and education
(TR-1, TR-4, TR-5)
YES

NO

Initial

(a) Does the agency train existing staff prior to training inmates?
(b) Does the agency train new staff members before they have contact
with inmates?
(c) Are staff members quizzed following staff training?
(d) Are staff members prohibited from working with inmates before they

Date

Prisons

Jails

√

√

√

√

√

√

√

√

62

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

Date

demonstrate knowledge of the agency’s sexual abuse policies and
procedures?
(e) Are staff, volunteers, and inmates asked to provide feedback,
including suggestions for improving training tools and materials?
(f) Do staff, volunteers, and inmates have access to paper copies of the
agency’s sexual abuse policies?
(g) Do administrators ensure training materials are up-to-date by
reviewing them at least annually and making revisions, if necessary,
to address changes in laws, policies, or protocols; feedback from staff,
volunteers, and inmates; and problems or gaps identified during
incident reviews?
(h) Do administrators evaluate staff members who conduct training at
least annually to ensure that they are qualified and able to provide
training effectively?
(i) Do staff, volunteers, and inmates receive refresher training following
any changes to law or policy?
(j) Do staff and volunteers receive annual continuing education on sexual
abuse that includes a review of the agency’s sexual abuse data from
the previous year?
(k) Do staff and volunteers sign acknowledgements that they have
received training on the agency’s sexual abuse policies?
(l) Does the agency maintain acknowledgements signed by staff and
volunteers regarding training?
(m) Does the agency maintain documentation showing which inmates
attended which training sessions?
(n) Are staff members with classification, investigative, medical, mental
health care, or data collection responsibilities quizzed following their
completion of specialized training?
(o) Are staff members prohibited from performing specialized duties
before they demonstrate knowledge of the relevant classification,
investigative, medical, mental health care, or data collection policies
and requirements?
(p) Do the relevant staff members receive annual continuing education on
discipline-specific advances or changes, including changes to law or
policy?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

Compliance Checklist 22: Requirements for visitor awareness (TR-2)
YES

NO

(a) Are visitors provided with information about the agency’s zerotolerance policy regarding sexual abuse?
(b) Do visitors on official business sign acknowledgements of the
agency’s zero-tolerance policy regarding sexual abuse?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

63

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 23: Requirements for inmate notification of agency’s zero-tolerance policy during
intake (TR-3)
YES

NO

Initial

Date

(a) During the intake process, does staff tell inmates that they have a right
to be free from sexual abuse from staff and other inmates?
(b) During the intake process, does staff describe the kinds of inmate and
staff behaviors and language that are prohibited?
(c) During the intake process, does staff provide inmates with strategies
for protecting themselves against sexual abuse?
(d) During the intake process, does staff tell inmates how to report
incidents or suspicions of sexual abuse?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

Compliance Checklist 24: Specialized Training (TR-5)
YES

NO

Training requirements for classification staff:
(a) Is classification staff trained to weigh each factor when determining an
inmate’s potential to be sexually victimized or abusive?
(b) Is classification staff trained to interview inmates in a manner that is
culturally competent and sensitive to the difficulty of discussing
potential vulnerability to sexual abuse?
(c) Is classification staff trained in how to use information from medical
and mental health screenings related to previous sexual victimization
to classify inmates and develop inmate management plans?
Training requirements for investigators:
(d) Are investigators trained in how to conduct a neutral, fact-finding
interview with consideration for the emotional needs and mental
capabilities of individual victims of sexual abuse?
(e) Are investigators trained in how to identify potential witnesses?
(f) Are investigators trained in how and where to question sexual abuse
victims, witnesses, including how to encourage reluctant or
uncooperative victims or witnesses to be interviewed?
(g) Are investigators trained in how to interview alleged abusers?
(h) Are investigators trained in the proper use of Miranda- and Garritytype warnings?
(i) Are investigators trained in how to identify signs of coercive sexual
activity between inmates and inappropriate relationships between
inmates and staff?
(j) Are investigators trained in how to collect sexual abuse evidence in a
confinement setting, including the following?
• How to use video/recording equipment
• How to photograph injuries
• How to identify, secure, and preserve possible DNA evidence
• Where to look for and collect other types of evidence
(k) Are investigators trained in how to work collaboratively with outside
medical practitioners who conduct forensic medical exams to ensure
that evidence is preserved, collected, and usable for criminal
prosecution?
(l) Are investigators trained in the evidence and standard of proof
required to substantiate an allegation of sexual abuse?

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

64

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

(m) Are investigators who conduct criminal investigations trained in how
to evaluate a case for prosecution referral?
(n) Are investigators trained in how to communicate sensitively and
effectively with inmate victims of different races, ethnicities, cultural
or religious backgrounds, genders, sexual orientations, and/or inmates
with different abilities?

Training requirements for medical and mental health practitioners:
(o) Are medical practitioners trained in how to detect signs of sexual
abuse based on physical injuries, including oral trauma, discovered in
routine exams?
(p) Are medical and mental health practitioners trained in how to assess
and treat immediate medical and mental health needs of victims of
sexual abuse?
(q) Are medical and mental health practitioners trained in how to respond
maturely, sensitively, and in a culturally competent manner to victims
of sexual abuse of different races, ethnicities, cultural or religious
backgrounds, genders, sexual orientations, who are transgender, and/or
inmates with different abilities?
(r) Are medical and mental health practitioners trained in how to secure
informed consent from inmates before reporting sexual abuse?
(s) Assuming inmates give medical or mental health practitioners consent
to report sexual abuse, are practitioners trained in how and to whom to
report?
(t) Are medical practitioners trained in how to preserve physical
evidence?
(u) Are medical practitioners trained in when to offer a forensic medical
exam to victims and how to coordinate the exam?
Training requirements for staff who collect and manage sexual abuse data:
(v) Does the training explain what data should be collected?
(w) Is staff trained in how to properly use data collection instruments to
collect data?
(x) Is staff trained in how to update data when new information is
obtained?
(y) Is staff trained in how to review collected data for accuracy and
completeness?
(z) Does the training explain how to properly store, retain, protect, and
destroy collected data?
(aa) Does the training explain who is allowed to access sexual abuse data
and how individuals can be approved for or denied access to the data?
(bb) Is staff trained in how to properly record the identification of
individuals who have accessed sexual abuse data, including the date
and time of access, any additions made to a data file, and reviews of
collected data?
(cc) Is staff trained in how to remove names and other unique identifiers in
incident-based data and how to assign a unique identification number,
separate from the inmate identification number, to each incident-based
data file?
(dd) Is staff trained in how to enter incident-based data into a spreadsheet
or database so that it can be organized according to different factors
and characteristics?
(ee) Is staff trained in how to complete the agency’s sexual abuse aggregate
data form?
(ff) Does the training explain how sexual abuse data will be used?

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

65

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

Date

Prisons

Jails

Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

66

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

B. Classification
Compliance Checklist 25: Initial screening upon arrival at the facility (CL-1)
YES

NO

Initial

Date

(a) Are the following factors evaluated during the initial intake
screening?
• Current pending or adjudicated charge(s)
• Criminal history—violent or nonviolent
• Mental or physical disability
• Known mental illness
• Age
• Height, weight, and build
• Identifies as, or is likely to be perceived as, lesbian, gay, bisexual, or
transgender
• Inmate’s own perception of vulnerability
(b) Does the agency have a screening instrument that includes the
factors listed in (a)?
(c) Are inmates kept under intensive sight and sound supervision before
and during the initial intake screening process?
(d) Are results from the initial screening used to make initial housing
and bed assignments?
(e) Are results from the initial screening linkable to inmates’ files?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 26: Classification assessment (CL-2)
YES

NO

Initial

(a) Are the following factors evaluated during the classification
assessment?
• Current pending or adjudicated charge(s)
• Criminal history – violent or nonviolent
• Mental or physical disability
• Overall medical and mental health status and history, including
known mental illness or history of self-mutilation
• Age
• Height, weight, and build
• Identifies as, or is likely to be perceived as, lesbian, gay, bisexual, or
transgender
• Inmate’s own perception of vulnerability
• Prior sexual aggression in a confinement setting
• Previously approached for sex or threatened with sexual abuse while
incarcerated
• Any previous sexual victimization
• Previous placement in protective custody while incarcerated and/or
has made requests for protective custody (note stated reasons for
request)
• Current/prior convictions for sexual offenses or offenses involving
children

Date

67

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

History of battering and/or extorting sex
Security threat group (gang) affiliation
Institutional disciplinary history
Does the agency have a consistent classification instrument that
includes the factors listed in (a)?
(c) Does the agency review the classification status of all inmates no
later than 6 months after initial classification and every 12 months
thereafter (using the factors listed in (a) above)?
(d) Does the agency review the classification status of all inmates no
later than 60 days after initial classification and every 90 days
thereafter (using the factors listed in (a) above)?
(e) Does the agency review the classification of alleged perpetrators and
victims at the conclusion of investigations into any incident where
there is some medical or other evidence to suggest that sexual abuse
took place?
(f) Does the agency review the classification status of inmates whenever
new and relevant information is available?
(g) Do classification reviews result in necessary modifications to
inmates’ classification status?
(h) Are results from all classification assessments and reviews signed by
a classification supervisor and linkable to inmates’ files?
(i) Does the agency use classification assessments and reviews to
separate inmates who are potentially vulnerable to sexual abuse from
inmates who are likely to engage in sexually abusive behavior?
Additional comments
and/or explanation of
steps taken toward
compliance, or
reasons for
noncompliance:
•
•
•
(b)

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

68

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

Compliance Checklist 27: Inmate management plans (CL-3)
YES

NO

(a) Does classification staff use classification results to develop inmate
management plans, addressing the following?
• Housing and bed assignments, including the use of single cells,
assignment to protective custody, safe-keeping units, or
administrative segregation
• If necessary, transfers to other yards or units
• As a last resort or at a vulnerable inmate’s request, transfer to
another facility, using relevant interstate or intercounty correctional
compacts when necessary
• If necessary, specialized provisions, including individualized
shower times, meal times, or recreational times
• Work assignments
• Program assignments
(b) Does the agency have a plan to house vulnerable inmates safely
regardless of crowding in its facilities?
Additional comments
and/or explanation of
steps taken toward
compliance, or
reasons for
noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

69

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

III. DETECTION AND RESPONSE COMPLIANCE CHECKLISTS
A. Reporting
Compliance Checklist 28: Inmate reporting (RE-1)
YES

NO

(a) Has the agency notified staff and inmates, including new inmates,
that inmates may report sexual abuse verbally or in writing to any
staff member (TR-1, TR-3, and TR-4)?
(b) Does the facility provide multiple ways for inmates to report sexual
abuse? (e.g., locked drop boxes in common areas for reports or
requests; grievance procedures; sick-call systems; access to a central
or headquarters office)
• Please list the specific internal reporting mechanisms the facility has
in place in the box below.
(c) Are inmates able to call internal affairs departments, offices of
professional responsibility, or similar internal investigative
departments directly without having to go through other staff
members?
(d) Are inmates able to report sexual abuse without naming an abuser
and still receive medical and/or mental health treatment services?
(e) Has the facility head entered into an MOU or other agreement with
at least one government official or office not affiliated with the
agency that can receive and respond to inmate reports of sexual
abuse (e.g., ombudsperson; outside law enforcement agency;
attorney general’s office) (RP-5)?
• Please list the specific outside reporting mechanism(s) the facility
has made available in the box below.
(f) Has the agency notified staff and inmates that inmates may report
verbally or in writing to at least one government official or office
not affiliated with the agency (TR-1, TR-3, and TR-4)?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

70

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

Compliance Checklist 29: Outside confidential support services for inmates (RE-2)
YES

NO

Initial

Date

(a) Do inmates receive contact lists, phone numbers, and addresses for
local and regional victim advocates or outside counseling services
upon intake into the facility?
(b) Are contact lists, phone numbers, and addresses for victim
advocates or outside counseling services posted throughout the
facility?
(c) Are contact lists, phone numbers, and addresses updated and reposted periodically?
(d) Are inmates able to communicate with outside victim advocates or
counselors in settings where conversations cannot be overheard?
(e) Where hotlines or preprogrammed phones are used, are they
available to inmates free of charge?
(f) Does staff explain to inmates the rules governing confidentiality
that apply for disclosures of sexual abuse made to outside
advocates or counselors?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 30: Third party reporting (RE-3)
YES

NO

(a) Does the agency distribute publicly the following information
regarding third party reporting?
• Contact information for the corrections official, department, or unit
responsible for receiving and responding to third party allegations
• Instructions for what information to include when reporting sexual
abuse
• Notice that the allegation will be discussed with the victim named in
the report
• Statement explaining the allegation will be disclosed only to those
who need to know to ensure victim safety and to investigate the
allegation
(b) Does the agency periodically review and update, if necessary, the
information distributed regarding third party reporting?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

71

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

B. Staff duties following an inmate report
Compliance Checklist 31: Staff duty to report sexual abuse (SD-1)
YES

NO

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

(a) Has the agency notified staff members that they are required to
report immediately any knowledge, suspicion, or information they
receive regarding an incident of sexual abuse, including any
knowledge of staff neglect or violation of responsibilities that may
have contributed to an incident of sexual abuse?
(b) Has the agency notified staff members that, in instances of suspected
or reported inmate-on-inmate sexual abuse, staff may report up the
chain of command or directly to the facility or agency head?
(c) Has the agency notified staff members that, in instances of suspected
or reported staff-on-inmate sexual abuse or staff neglect or violation
of responsibilities, they must report directly to the facility or agency
head?
(d) Has the agency notified staff members that they are required to limit
information related to any incident of sexual abuse to those who
need to know in order to make treatment, investigation, and
classification decisions?
(e) Has the agency notified staff members that they may be terminated
for failing to comply with the duty to report (DI-1)?
(f) Has the agency notified medical and mental health practitioners of
their reporting duties or, if applicable, their exclusion from the duty
to report sexual abuse?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:
Compliance Checklist 32: Staff duty to protect sexual abuse victims and preserve evidence (SD-2)
YES

NO

(a) Has the agency notified staff members that upon learning of an
incident of sexual abuse, they are required to take steps to protect the
victim’s safety, including separating an inmate victim from an
inmate abuser, and informing the victim not to take any actions that
could destroy physical evidence before an investigator or other
member of the coordinated response team arrives (RP-2, Compliance
Checklist 12, (1), (c))?
(b) Have trained staff members demonstrated competence in performing
the duties described in (a) following specific incidents of sexual
abuse?
• If no, please explain in the box below.
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

72

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

C. Agency duty to protect against retaliation
Compliance Checklist 33: Agency duty to protect against retaliation (AD-1)
YES

NO

(a) Does the agency employ the following measures, when appropriate,
to protect inmates and staff from retaliation for reporting sexual
abuse?
• Housing changes or transfers for inmate victims or abusers
• Removal of alleged staff or inmate abusers from contact with
victims
• Employee assistance services or other resources for staff who may
need psychological or emotional support
• Available support services for inmates who may need psychological
or emotional support
(b) Are staff members required to report any knowledge or suspicion of
retaliation by inmates or staff?
(c) Has the agency notified staff members of their rights under relevant
whistleblower protection laws?
(d) Has the agency notified staff members of their rights under relevant
crime victim rights laws?
(e) Following a report of sexual abuse, does an appropriate agency
official follow up periodically with the complainant to make sure he
or she is not being subjected to or threatened with retaliation?
(f) Do agency decisions to employ measures to protect inmates or staff
members from retaliation take into account their concerns and
perceptions about their safety?
(g) Has the agency notified staff of how to report concerns about
retaliation?
(h) Has the agency notified inmates of how to report concerns about
retaliation?
(i) Does the agency impose disciplinary sanctions on anyone who
retaliates against a staff member or inmate who reports sexual
abuse?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

73

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

D. Investigations and Discipline
Compliance Checklist 34: Investigations (IN-1)
YES

NO

Initial

(a) Are investigators trained according to the requirements listed in TR-5,
Compliance Checklist 24, (a)–(k)?
(b) Do investigators follow the steps in the agency’s uniform evidence
protocol (RP-2, Compliance Checklist 12)?
(c) Does one or more of the highest-ranking officials within the
administrative or investigative chain of command have the authority to
initiate and close investigations and approve final investigative
reports?
(d) Do investigators adhere to established time frames for status and final
reviews of investigations by one or more of the highest-ranking
officials responsible for initiating and closing investigations?
(e) Does the highest-ranking official responsible for initiating and closing
investigations adhere to established time frames for status and final
reviews of investigations?
(f) Do investigators interview all potential victims, perpetrators, and
witnesses?
(g) During the course of an investigation, does the investigator check in
with the complainant to make sure he or she is not being subjected to
or threatened with retaliation?
(h) Before conducting any compelled interviews of witnesses and/or
targets of investigation, do investigators contact relevant prosecution
authorities to determine whether compelled interviews may impose
difficulties for subsequent criminal prosecutions?
(i) Are investigations referred for criminal prosecution according to
objective criteria?
(j) Do investigations include a review of any and all prior complaints
reports of sexual abuse involving the same accused perpetrator?
(k) Do investigators review information gathered during initial screening
and classification to determine whether the alleged victim was
considered vulnerable and/or the alleged perpetrator was considered
potentially abusive (CL-1 and CL-2)?
(l) Does the scope of every investigation include an effort to determine
whether any potential staff negligence or collusion enabled the abuse
or harassment to occur?
(m) Are all investigations of staff-on-inmate sexual abuse and harassment
carried through to completion, regardless of whether the subject of the
investigation transfers, resigns, or retires before a finding has been
reached and regardless of whether the inmate continues to be
incarcerated at the facility?
(n) Are all investigations of inmate-on-inmate sexual abuse carried
through to completion, regardless of whether the subject of the
investigation is transferred or released before a finding has been
reached?
(o) Do investigators inform victims of the outcome of the investigation?
(p) Does the agency require investigators or other staff to track repeated
unsubstantiated allegations involving the following?
• The same alleged perpetrator
• The same work shift
• The same area of the facility

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

74

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

Date

(q) Has the agency notified investigators or other staff responsible for
tracking patterns of unsubstantiated allegations that they are required
to report any identified patterns to the highest-ranking investigator
and/or the facility head?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

Compliance Checklist 35: Level of proof required to substantiate sexual abuse allegations for disciplinary
action (IN-2)
YES

NO

Initial

Date

(a) Are investigators required to weigh all evidence collected in a sexual
abuse investigation, including statements from interviews and prior
reports of sexual abuse against the accused perpetrator, before
determining whether the allegation is substantiated, unsubstantiated, or
unfounded (IN-1, Compliance Checklist 34, (b) and (j))?
(b) Do investigators consider factors other than proof of physical injury
when making credibility assessments?
(c) Are investigators required to detail the basis for their findings in final
investigation reports, addressing all evidence, including determinations
of witnesses’ credibility?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

Compliance Checklist 36: Disciplinary sanctions for staff (DI-1)
YES

NO

(a) Does the agency inform staff members of their rights and
responsibilities during the disciplinary process, including how to
appeal sanctions?
(b) Does the agency terminate staff members following an administrative
ruling that the staff member engaged in actual or attempted staff-oninmate sexual abuse or a criminal finding of guilt for staff-on-inmate
sexual abuse or staff-on-inmate sexual harassment?
(c) Does the range of sanctions imposed for other violations of agency
rules or sexual abuse policies include administrative leave without pay
and reassignment?
(d) Does the agency have a process for ensuring that disciplinary
sanctions for other violations of agency rules or sexual abuse policies
are fair and proportional to the offense committed, the staff member’s
disciplinary history, and the sanctions imposed on other staff members
with comparable offenses and disciplinary histories?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

75

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Compliance Checklist 37: Disciplinary sanctions for inmates (DI-2)
YES

NO

(a) Does the agency inform inmates of their rights and responsibilities
during the disciplinary process, including how to appeal sanctions?
(b) Does the agency inform inmates that they will not face sanctions for
instances of staff-on-inmate sexual abuse?
(c) Does the agency give special consideration during the disciplinary
process to inmates whose mental illness, mental retardation, or other
cognitive deficiencies were found to have contributed to their abusive
behavior?
(d) Does the agency ensure that inmates with serious mental illness are
not punished with prolonged isolation/disciplinary segregation that
would limit their access to needed mental health services or impose
conditions otherwise inconsistent with their mental health needs?
(e) Does the agency have a process for ensuring that disciplinary
sanctions imposed for inmate-on-inmate sexual abuse are fair and
proportional to the offense committed, the inmate’s disciplinary
history, and the sanctions imposed on other inmates with comparable
offenses and disciplinary histories?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

76

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

E. Medical and Mental Health Care
Compliance Checklist 38: Access to medical and mental health services (MM-1)
YES

NO

Initial

Date

(a) Has the agency notified inmates of how to access medical and mental
health services if they have experienced sexual abuse (TR-4)?
(b) Has the agency notified inmates that if they need medical or mental
health treatment following an incident of sexual abuse, those services
will be provided free of charge?
(c) Is information about accessing medical and mental health services
following an incident of sexual abuse posted in common areas
throughout the facility?
(d) Are inmates able to request a medical or mental health visit to discuss
sexual abuse or harassment without having to disclose the abuse to an
officer or other staff member?
(e) Are inmates treated by qualified medical and mental health
practitioners who have undergone specialized training, including
sensitivity and cultural competency training, for treating sexual abuse
victims (TR-5)?
(f) Does the agency have a medical and mental health care quality
improvement program that assesses the services delivered to sexual
abuse victims and ensures that these services are equal to those
provided to sexual abuse victims in the community?
• If yes, please list all of the measures taken to improve the delivery of
medical and mental health services to sexual abuse victims in the box
below.
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 39: Medical and mental health intake screenings—history of sexual victimization
(MM-2)
YES

NO

Initial

(a) Do qualified medical and mental health practitioners who have
successfully completed sensitivity training ask questions about prior
sexual victimization during medical and mental health reception and
intake screenings (TR-5)?
(b) Does staff use a standardized medical and mental health screening
form with questions about previous sexual victimization including
when and where incidents occurred?
(c) If an inmate discloses an incident of sexual abuse that occurred within
the previous 96 hours, do medical and mental health practitioners
perform the following actions (RP-1, RP-2, and MM-4)?
• Assess the inmate’s acute medical or mental health needs
• Provide emergency treatment
• Follow the agency’s evidence protocol
(d) If an inmate discloses an incident of sexual abuse that occurred more
than 96 hours prior to the screening, do medical and mental health
practitioners perform the following actions (MM-4)?
• Provide, or refer the inmate for, an immediate mental health
evaluation
• Or when necessary, for medical evaluation and treatment

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

77

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

Date

Prisons

Jails

√

√

√

√

(e) Have medical and mental health practitioners and classification staff
been informed of the following?
• That they are required to use information related to previous inmate
sexual victimization only to develop inmate treatment and
management plans
• That they are prohibited from sharing that information with anyone
else for any other purpose
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Compliance Checklist 40: Detection (MM-3)
YES

NO

Initial

Date

(a) Have medical practitioners been trained in how to identify signs of
sexual abuse during routine medical or dental exams (TR-5,
Compliance Checklist 24, (o))?
(b) Have medical practitioners been trained in how to obtain informed
consent from inmates before reporting sexual abuse (TR-5,
Compliance Checklist 24, (r))?
(c) Has the agency notified inmates that medical practitioners must obtain
their informed consent before they can report sexual abuse disclosed
to them by inmates (TR-4, Compliance Checklist 20, (u)?
(d) Do medical practitioners provide services regardless of whether an
inmate confirms the abuse or names an abuser?
(e) Has the agency notified medical practitioners of their reporting
requirements (TR-5 and SD-1)?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 41: Medical and mental health care for sexual abuse victims (MM-4)
YES

NO

(1) Requirements for immediate medical and mental health treatment:
(a) Do qualified facility or outside medical practitioners perform the
following actions?
• Assess the victim’s acute medical needs as soon as possible
following the report
• Obtain consent for treatment from the victim
• Treat the victim’s acute medical needs as soon as possible following
the report
• Document the victim’s acute medical needs and treatment provided
as soon as possible following the report (RP-2 and TR-5)?
(b) Is the coordinated response team used by the facility notified as soon
as possible following the report (RP-1)?
(c) Does a qualified mental health practitioner on the response team do
the following?:
• Assess the victim’s mental health needs
• Provide support and crisis intervention services (RP-1 and TR-5)

Initial

Date

78

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

(d) Do all medical practitioners follow the agency’s protocol for
preserving evidence (RP-2 and TR-5)?
(e) Is the victim offered a forensic medical exam whenever there may be
physical evidence of sexual abuse, particularly if the abuse occurred
within 96 hours of reporting (RP-2 and TR-5)?
(f) If the victim consents to a forensic medical exam, is the exam
performed by a specially educated and clinically prepared forensic
medical examiner who is not employed by the agency (RP-8)?
(g) If the victim consents to a forensic medical exam, is he or she
offered the services of the mental health practitioner on the response
team or a victim advocate throughout the exam process (RP-1, RP-2,
and TR-5)?
(2) Requirements for follow-up medical and mental health treatment:
(h) Does the victim receive a thorough follow-up medical and mental
health evaluation that includes the following?
• Reviewing any medical and mental health treatment provided
immediately following the incident, including whether a forensic
medical exam was performed
• Diagnosing any lingering acute or nonacute physical injuries
including oral trauma
• Counseling and testing for sexually transmitted infections and for
risk of pregnancy, if appropriate
• Assessing the effects of trauma and determining the inmate’s risk for
suicide or self-harm
(i) Does the inmate receive a treatment plan for ongoing care for any
injuries, conditions, or trauma identified during the follow-up
medical and mental health evaluation?
(j) Do medical and/or mental health practitioners review victim
treatment plans at regular intervals that are clinically appropriate for
as long as treatment requires?
(k) As necessary and with signed consent from the victim, do medical
and/or mental health practitioners communicate with classification
staff when a victim needs or requests a housing change because of
injuries and/or trauma resulting from the incident?
(l) Does the agency offer assistance with or referrals for continued care
for sexual abuse victims following their release from custody?
• If yes, please list all of the agency’s efforts to ensure continued care
for sexual abuse victims in the box below.
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

79

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

IV. MONITORING COMPLIANCE CHECKLISTS
A. Data Collection
Compliance Checklist 42: Incident-based data collection for every reported incident of sexual abuse
(regardless of investigative outcome) (DC-1)
YES

NO

Initial

(a) Do the incident-based data include the following characteristics of
the victim at the time of the incident?
• Sex and gender identity
• Race/ethnicity
• Age
• Custody level
• Height and weight
• Classification assignment
• Sexual orientation
• Diagnosis of any mental illness
• Any physical or mental disability
• Previous sexual victimization in confinement
• Previous sexually abusive behavior in confinement
• Prior relationship with the alleged perpetrator
• Gang affiliation outside and/or inside the facility
• Prior history of contraband, gambling, extortion, or drugs in
confinement
(b) If the alleged perpetrator is an inmate, do the incident-based data
include the following characteristics of the alleged perpetrator at
the time of incident?
• Sex and gender identity
• Race/ethnicity
• Age
• Custody level
• Height and weight
• Classification assignment
• Sexual orientation
• Diagnosis of any mental illness
• Any physical or mental disability
• Previous sexual victimization in confinement
• Previous sexually abusive behavior in confinement
• Prior relationship with the victim
• Gang affiliation outside and/or inside the facility
• Prior history of contraband, gambling, extortion, or drugs in
confinement
(c) If alleged perpetrator is a staff member, do the incident-based data
include the following characteristics of the staff member at the time
of the incident?
• Sex and gender identity
• Race/ethnicity
• Age
• Sexual orientation
• Position held within the agency
• Length of service with agency
• History of alcoholism or drug use

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

80

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

•
•
•
•
•
•

•

(d)
•
•
•

(e)
•
•
•
•
•
•
(f)
•
•
•
•
•
•
•
(g)
•
•
•
•
•
•
(h)
•
•
•
•

History of mental illness
Relationship status: single, married, divorced
Relationship with victim
Prior history of allegations and/or substantiated incidents of sexual
abuse or harassment in current and prior employment
Prior history of failure to comply with the agency’s sexual abuse
policies
Prior history of allegations and/or substantiated incidents of
involvement with contraband, improper fraternization with inmates,
extortion or gambling within the agency or prior employment
within corrections
Recent, nonsexual abuse-related, disciplinary infractions
Do the incident-based data include the following information about
the incident?
The name of the facility where the incident occurred
Date, time, and location of the incident
Number of witnesses and their identification information
Do the incident-based data include the victim’s self-report of the
following details about the nature of the incident?
A description of the abuse (fondling, penetration, verbal
harassment, etc.)
The reason/motivation for the perpetrator’s actions
Any coercion or physical force by the perpetrator
Involvement of other inmates or staff members besides the
perpetrator during the incident
Special favors or privileges promised to the inmate for participating
in the behavior
Threats by staff members to withdraw privileges if a report of the
incident was made
Do the incident-based data include the following details about how
the incident was reported?
The date and time of the report
The reporting mechanism used
Who made the report
To whom the report was made
The time lapse between when the incident took place and when the
report was made
The inmate’s explanation of why reporting was delayed
The time lapse between the report and when the inmate received
medical/mental health care
Do the incident-based data include the following details about the
medical and mental health care provided to victims?
Forensic medical exam
Mental health evaluation
If necessary, treatment of physical injuries
If necessary, treatment for oral trauma
STI/HIV testing and/or treatment
Pregnancy testing
Do the incident-based data include the following details about the
medical and mental health care provided to alleged perpetrators?
Mental health evaluation
If necessary, treatment of physical injuries
If necessary, treatment for oral trauma
STI/HIV testing and/or treatment

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

81

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

Date

(i) Do the incident-based data include the following details about the
incident investigation?
• Type of investigation pursued: criminal and/or administrative
• Name of investigator(s)
• Dates of the initiation and conclusion of the investigation(s)
• Outcome of the investigation(s)
• Violations of administrative and/or criminal codes
(j) If the case is referred for prosecution, do the incident-based data
include the following details of the referral?
• Date of prosecution referral
• Whether the case was accepted or declined
• The date the case was accepted or declined
• Case disposition
(k) If administrative actions against staff member(s) or inmate(s) are
brought, do the incident-based data include the following details
about the sanctions?
• Description of the administrative action
• Description of the imposed sanction
• Target of administrative action/sanction: staff member or inmate
• Dates of the initiation and conclusion of the process for
administrative sanction
• Outcome of administrative proceedings, including appeals
(l) Do the incident-based data include the following details about the
victim intervention?
• Any changes to his/her classification status
• Any changes to his/her custody level
• Any changes to his/her housing assignment
(m) Do the incident-based data for incidents of inmate-on-inmate sexual
abuse include the following details about the alleged perpetrator
intervention?
• Any changes to his/her classification status
• Any changes to his/her custody level
• Any changes to his/her housing assignment
(n) Does a review of the collected data reveal any inconsistencies in
information given by the alleged victim and/or perpetrator?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

Compliance Checklist 43: Aggregate data (DC-1)
YES

NO

Initial

(a) At least annually, does the agency aggregate all of the data from
checklist 1 above?
(b) Are unique identifiers removed from aggregate data?
(c) Are the aggregate data collated in a spreadsheet or database?
(d) Are the aggregate data reviewed as part of the facility’s annual
internal assessment to determine any sexual abuse patterns or
trends (SA-3, Compliance Checklist 3, (2)(q))?
(e) Are the aggregate data compared to aggregate data from prior
years?

Date

82

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Compliance Checklist 44: Data storage, retention, protection, and destruction (DC-2)
YES

NO

(a) Does the agency assign responsibility for maintaining the
integrity of the sexual abuse data to a specially trained staff
member?
(b) Does the agency retain and protect the data for a minimum length
of time, no less than 10 years?
(c) Does the agency publish all aggregate data at least annually?
(d) Has the agency established a process for responding to public
requests for access to aggregate and incident–based data?
(e) With regard to requests by individuals or organizations for
incident-based data, does the agency document the following?
• The individual or organization’s name
• The individual’s position
• The data requested
• The purpose for seeking access to the data
• Whether the request was denied or granted
• If denied, the specific reasons for the denial
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

Initial

Date

Prisons

Jails

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

83

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

STANDARDS FOR FACILITIES WITH IMMIGRATION
DETAINEES
I. Compliance with the PREA Standards
Adult immigrants who are detained pending resolution of their immigration status are in the
custody of Immigration and Customs Enforcement (ICE), but they are held in a wide variety of
settings including local jails, state and federal prisons, privately run prisons, facilities run by ICE
called detention facilities and service processing centers, and short-term detention settings run by
Customs and Border Patrol. Families with children who are detained together are currently held
in one of two family facilities that operate under contract with ICE.
Unaccompanied immigrant and refugee minors are the only group of immigration detainees who
are not in ICE custody, but rather under the care and custody of the Department of Health and
Human Services’ Office of Refugee Resettlement (ORR) Division of Unaccompanied Children’s
Services. ORR places these minors in a variety of settings, including foster care, shelters, group
homes, and secure juvenile detention facilities.
Standards developed pursuant to the Prison Rape Elimination Act must be enforced on behalf of
immigration detainees according to the settings where they are detained. The standards that apply
to inmates in lockups, jails, and prisons apply to all immigration detainees in those settings.
ICE-run detention facilities and service processing centers must comply with the standards for
adult prisons. Customs and Border Patrol facilities must comply with the standards for lockups
as long as detainees are held there for less than 72 hours, but must comply with standards for
jails whenever detainees are held beyond 72 hours. Shelters under contract with ORR to house
unaccompanied minors must comply with the standards for juveniles in community corrections
(to be released for public comment in June 2008.) Finally, secure juvenile detention facilities that
house unaccompanied minors for ORR must comply with the juvenile detention standards (to be
released for public comment in June 2008.)
Standards Compliance Grid
Detention setting
Adult prison (federal, state, or private) or adult jail or other
pre-trial detention setting (federal, state, or private)
Police lockup
ICE detention facilities and Service Processing Centers (SPCs)
Border Patrol facilities housing detainees for less than 72 hours
Border Patrol facilities housing detainees for 72 hours or more
ICE family facilities

ORR contract shelters
ORR juvenile detention facilities

PREA Standards that apply
Adult prison and jail standards
Lockup standards
Adult prison standards
Lockup standards
Adult jail standards
The two family facilities that hold both adults and their
children in custody together are such distinct
environments that the Commission is still considering
which set of standards are most appropriate for this
setting. The Commission welcomes feedback during
the public comment period regarding the appropriate
application of standards to these settings.
Juveniles in community corrections standards (to be
released for public comment in June 2008)
Juvenile detention standards (to be released for public
comment in June 2008)

84

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

II. Supplemental PREA Standards
While immigrants are detained in many different settings, preventing and responding to sexual
abuse of immigration detainees in confinement requires special attention to the particular
vulnerabilities of this population. In addition to meeting the appropriate standards in a given
confinement setting, facilities that house immigration detainees must meet the following
supplemental standards.
ID-1: Compliance with Immigration and Customs Enforcement detention standards
Every facility that houses immigration detainees complies with all of the ICE (formerly INS)
Detention Standards that address the safety and security of detainees, as well as their access to
legal material and advice and contact with family, volunteers, and advocates.
Discussion
The INS, now ICE, set standards that apply to its Service Processing Centers (SPCs), Contract
Detention Facilities (CDFs), and all state or local government facilities used by ICE through
Intergovernmental Service Agreements (IGSAs) to hold detainees for more than 72 hours.
However, these standards are not mandatory and not every facility that houses immigration
detainees meets these standards. The safety and security of immigration detainees from sexual
abuse is jeopardized by the failure to meet some of these standards. In particular, standards that
ensure access to medical care, provide for proper screening and classification, protect detainees
during transportation, reduce the isolation of immigration detainees, give them greater access to
legal advocates, and greater knowledge of their rights, all can help to protect them from
becoming victims of sexual abuse while detained and increase the likelihood that they will feel
safe to report sexual abuse when it does occur. Every facility that houses immigration detainees,
regardless the length of detention, must comply with the ICE Detention Standards listed in
Compliance Checklist 1.
Compliance Checklist 1: Compliance with ICE detention standards (ID-1)
YES

NO

Initial

Date

(a) Is the facility in full compliance with the following ICE Detention Standards?
• Access to Legal Materials
• Admission and Release
• Correspondence and Other Mail
• Detainee Classification System
• Detainee Grievance Procedures
• Group Presentation on Legal Rights
• Medical Care
• Suicide Prevention and Intervention
• Telephone Access
• Transportation (Land Transportation)
• Visitation
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

85

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
ID-2: Supplement to PP-2: Heightened protection for vulnerable inmates
Any facility that houses both inmates and immigration detainees houses all immigration
detainees separately from other inmates in the facility.
Discussion
Immigration detainees are particularly vulnerable and should not be housed with inmates in
general population. Many immigration detainees have no criminal history, some are refugees
who are seeking asylum from war or persecution, and even those with criminal histories may be
vulnerable due to cultural and linguistic isolation within the correctional setting. Furthermore,
fear of removal and the uncertainty of their immigration status can make many immigration
detainees, with or without criminal histories, reluctant to speak out about any abuse they
experience in custody. ICE currently classifies immigration detainees into three security
categories and does not house the highest security detainees, those with significant criminal
histories, with the lowest security detainees. While it is appropriate to make security distinctions
among immigration detainees, it is not appropriate to house any immigration detainees with
general population inmates. As with any vulnerable population within the facility, it is important
that separate housing for immigration detainees does not lead to isolation or a lack of access to
the privileges that would be available to them in general population.
Compliance Checklist 2: Supplement to PP-2: Heightened protection for vulnerable inmates (ID-2)
YES

NO

Initial

Date

(a) Does the facility identify all immigration detainees upon admission and house them
separately from general population inmates?
(b) Does the facility provide heightened protection for immigration detainees identified as
particularly vulnerable to sexual abuse by other detainees and staff?
(c) Do immigration detainees have full access to the opportunities and privileges available to
inmates in general population?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

ID-3: Supplement to RP-5: Agreements with outside agencies
Any facility that houses immigration detainees maintains memoranda of understanding (MOUs)
or other agreements with one or more local or, if not available, national organizations that
provide advocacy and/or confidential emotional support services for immigrant victims of crime
(RE-1, RE-2, MM-4).
Discussion
Immigration detainees face a unique set of challenges when they are victims of a crime in
custody. They do not have access to legal representation, they very often have been cut off from
family support, and they are being prosecuted for removal from the country by ICE, which is
also responsible for their care in custody. Furthermore, they may be linguistically and culturally
isolated in the detention setting. While special training requirements for staff who interact with
immigration detainees, including medical and mental health staff, are intended to ensure that
staff have some understanding about the attitudes and perceptions that people from different
cultures have toward sexual abuse, it is still very likely that detainees who are victims of crime

86

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
will not feel comfortable talking about abuse to anyone inside the facility. Providing interpretive
services can overcome language barriers, but mental health practitioners in the facility will not
be able to communicate adequately with detainees if they must rely on an interpreter and if they
do not share similar cultural understandings about sex and sexual abuse. It is also likely that
prisoner advocacy groups in the community do not have the cultural competency to adequately
assist and counsel immigration detainees. For these reasons, it is essential that any facility
housing immigration detainees have an existing agreement with an organization that has
experience providing advocacy and support for immigration detainees or immigrants who are
victims of crime.
Compliance Checklist 3: Supplement to RP-5: Agreements with outside agencies (ID-3)
YES

NO

Initial

Date

(a) Does the facility maintain at least one MOU or other agreement with a local or
national organization that provides advocacy and/or confidential emotional support
services for immigration detainees or immigrant victims of crime?
(b) Do all agreements specify the purpose of the agreement? (e.g., outside reporting,
confidential support services, discharge planning services)
(c) Do all agreements specify the respective roles and responsibilities of the correctional
agency and outside agency?
(d) Do all agreements specify procedures for how and when community service providers
are able to gain entry into a facility?
(e) Do all agreements specify any laws, rules, and/or regulations relevant to the service
being provided, including laws granting privilege and facility rules governing
confidentiality for disclosures about sexual abuse made to community service
providers?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

ID-4: Supplement to TR-1 through TR-5: Training section of adult prison and jail
standards
Any facility that holds immigration detainees provides special additional training to staff and
volunteers, including medical and mental health practitioners, classification staff, and
investigators. The facility must also provide educational programming or materials tailored to
immigration detainees.
Discussion
While language is a significant barrier to communication with many immigration detainees, it
can be easier to overcome than the cultural differences in perceptions about sexual abuse,
understandings about what kinds of behavior are acceptable or unacceptable, and even the
terminology and concepts that are used to describe different kinds of sexual behavior. In
addition, many immigrants in detention have fled war or persecution or have suffered some kind
of trauma in their travels to this country. The combination of cultural isolation with the impact of
previous traumas can make it extremely unlikely that immigrant detainees will feel comfortable
reporting or discussing sexual abuse that happens to them in custody. Staff and volunteers who
interact with immigration detainees must receive training that is developed by someone who has
experience working with people from the cultures represented among detainees. The training

87

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
should provide explicit guidance about the appropriate terms and concepts to use and ways of
communicating when discussing sex and sexual abuse with immigration detainees. It is
particularly important that medical and mental health practitioners, classification staff, and
investigators who interact with immigration detainees receive this special training since
communication is essential to their ability to do their jobs. Staff who are culturally competent
and have access to appropriate interpretive or language translation services will be better
equipped to protect the safety of immigration detainees.
The education that is provided to immigration detainees must likewise be tailored to this
population, not only through interpretation of the languages spoken by detainees but through
adaptation to appropriate terminology and concepts that address cultural differences in
understanding about sex and sexual abuse. Immigration detainees must be informed of the
support services that are available to them in the event they become victims of a crime in custody
and given explicit instructions on how to access those services. The facility must be very clear
about its zero-tolerance policy toward sexual abuse. Many immigration detainees are disoriented
when they first enter custody and focused on learning about their immigration status, and so it is
important that notification about the zero-tolerance policy and more detailed education about
sexual abuse be provided at times and in a manner that they can absorb and appreciate.
Compliance Checklist 4: Supplement to TR-1 through TR-5: Training section of adult prison and jail
standards (ID-4)
YES

NO

Initial

Date

(a) Does staff and volunteer training, as well as specialized training for medical and mental
health practitioners, classification staff, and investigators, include a component that
addresses the following topics (see TR-1)?
• Cultural sensitivity toward diverse understandings of acceptable and unacceptable sexual
behavior
• Appropriate terms and concepts to use when discussing sex and sexual abuse with a
culturally diverse population
• Sensitivity and awareness regarding past traumas that may have been experienced by
immigration detainees
• Knowledge of all existing resources for immigration detainees both inside and outside the
facility that provide treatment and counseling for trauma, and legal advocacy for victims
(b) Are immigration detainees notified of the agency’s zero-tolerance policy during intake in
their own language and using terms that are culturally appropriate?
(c) Are immigration detainees educated on the topics listed in the compliance checklist for
TR-1 in their own language and using terms that are culturally appropriate?
(d) Does the agency provide sexual abuse education for immigration detainees at a time and
in a manner that is separate from information it provides about their immigration cases?
(e) Does the agency inform immigration detainees of how to access the following
community resources?
• Sexual abuse counseling
• Legal advocacy for immigrant victims of sexual abuse
(f) Is the sexual abuse education component for immigration detainees developed and
conducted by a qualified individual with experience communicating about these issues
with a diverse immigrant population?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

88

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

ID-5: Supplement to CL-1, CL2, and CL-3: Classification section of adult prison and jail
standards
The facility makes every reasonable effort to obtain institutional and criminal records of
detainees in its custody prior to making a classification assessment. Classification assessments of
immigration detainees are conducted by culturally competent staff members.
Discussion
ID-2 requires that all immigration detainees be housed separately from the general inmate
population. This separation should happen at intake, and the classification assessment should be
used to make more specific housing assignments within the area of the facility where
immigration detainees are held. Often there are little or no records of an immigration detainee’s
history, including criminal history, available to the facility or agency. Immigration detainees can
have extremely different backgrounds and experiences, none of which may be immediately
obvious to classification staff. For instance, asylum seekers likely have no criminal history and
may have suffered terrible violence or other trauma in their countries of origin. Other
immigration detainees who have been in this country for a period of time may have significant
criminal histories and spent time in prison or jail. ICE separates immigration detainees based on
its own security classification. However, it is important that classification staff at the facility that
receives immigration detainees conduct its own thorough assessment of the likelihood that a
particular detainee is vulnerable to sexual abuse or likely to engage in sexually abusive behavior.
Those detainees who are the lowest security risk should not be placed in settings with the least
surveillance or supervision, which may put them at greater risk for abuse. When staff members
identify vulnerable detainees, they place them in settings with intense sight and sound
supervision (PP-2).
Facilities that house immigration detainees must make every effort to gather information about
detainees’ histories by requesting records from any institutions where they are known to have
been previously detained or incarcerated. There are not currently validated criteria to determine
vulnerability to sexual abuse or likelihood of engaging in sexually abusive behavior that are
specific to immigration detainees, and so classification staff must base their determinations on
generally established criteria. However, it is important that classification staff be educated about
cultural differences in the ways that people perceive and express their experiences and learn how
to communicate effectively with a culturally diverse population. Classification staff must know
how to ask immigration detainees about experiences with past sexual abuse in a manner that is
culturally appropriate and with an understanding of the types of abuse that are more commonly
experienced by immigrants who may have fled war, persecution, or have been trafficked for sex
work.
Compliance Checklist 5: Supplement to CL-1, CL-2, and CL-3: Classification section of adult prison and jail
standards (ID-5)
YES

NO

Initial

Date

(a) Has the facility or agency made every reasonable effort to obtain institutional or
criminal records of all immigration detainees in its custody?
(b) Are the classification assessments of immigration detainees conducted by a culturally
competent staff member?
(c) If no records or criminal history is available, does the classification assessment include
questions about the detainee’s institutional and criminal history?

89

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
(d) Does the facility update immigrant detainees’ classification assessments whenever
new information or records become available?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

ID-6: Supplement to RE-1: Inmate reporting
The Department of Homeland Security’s Office of Inspector General (OIG) is prepared to
receive reports of sexual abuse by immigration detainees in custody and investigate all such
reports. The agency must provide immigration detainees with access to telephones with free,
preprogrammed numbers to the OIG’s office designated to receive and investigate reports of
sexual abuse.
Discussion
Immigration detainees must be able to report sexual abuse directly to the Office of the Inspector
General (OIG) of the Department of Homeland Security (DHS). While immigration detainees are
held by a wide variety of facilities all over the country, the OIG has centralized authority to
investigate all manners of abuse in the operations of DHS. This does not preclude immigration
detainees from reporting sexual abuse through any of the internal avenues provided for by the
adult prison and jail standards. However, the standards require that every facility give inmates
the ability to report sexual abuse to an independent governmental agency, and the OIG for DHS
is the appropriate governmental office to receive and respond to reports by immigration
detainees. Providing immigration detainees with a direct telephone line to the OIG’s office will
ensure that when they do not feel safe using other reporting mechanisms within the facility, they
will have the ability to report directly to a centralized governmental office with direct authority
to investigate the report. In order for this reporting mechanism to be effective, the OIG’s office
must be prepared to receive such reports and initiate investigations immediately upon receiving
them.
Compliance Checklist 6: Supplement to RE-1: Inmate reporting (ID-6)
YES

NO

Initial

Date

(a) Does the facility or agency provide all immigration detainees with access to a free,
pre-programmed telephone line to the OIG’s office that is prepared to receive and
investigate reports of sexual abuse in custody?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

ID-7: Supplement to RE-2: External confidential support services for inmates
All immigration detainees have access to outside victim advocates and/or mental health
professionals who have experience working with immigration detainees or immigrant victims of
crime for confidential emotional support services related to sexual abuse, whether or not they
report the abuse, unless state or local laws preclude privileged communications between the
specific service provider and sexual abuse victims.
90

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM

Discussion
Immigration detainees should have access to the same outside advocacy and mental health
professionals for confidential emotional support that is available to inmates, and in order for this
to be meaningful the facility must identify community advocates or mental health professionals
who have experience working with immigration detainees or immigrant victims of crime. Once
the facility has identified appropriate advocates and/or mental health professionals to work with
immigration detainees, it should provide access to those service providers according to the
requirements listed in Compliance Checklist 29 for RE-2 in the adult prison and jail standards.
ID-8: Protection of detainee victims and witnesses
Immigration detainees who report sexual abuse shall not be transferred to another facility or
removed from the country before the investigation of that abuse is completed, except at the
detainee victim’s own request. ICE shall consider releasing detainees who are victims of or
witnesses to abuse and monitoring them in the community in order to protect them from
retaliation or further abuse during the course of the investigation.
Discussion
Immigration detainees are often in detention for short periods of time before they are removed
from the country, and during that time they are often transferred from one facility to another.
Investigators need to be able to speak in person with victims and witnesses in order to complete a
thorough investigation into the alleged sexual abuse. Furthermore, while transfer may seem
necessary to protect a detainee victim, immigration detainees generally cannot defend their
immigration case if they are moved at a distance from their lawyers. Removal proceedings
against detainees who report sexual abuse should be halted at least until the investigation has
been completed and a finding has been made. Immigrants who are victims of certain sex crimes
may be eligible for a special visa that allows them to remain in the country, and so it is important
that an investigative finding be made while the victim still has an opportunity to apply for such a
visa.
It may be very difficult for ICE officials to ensure the safety of detainee victims or witnesses of
sexual abuse in custody, particularly since the majority of detainees are held in local jails and
private contract facilities and are not under the direct control of ICE. ICE should make a case-bycase determination about whether to release victims and witnesses by balancing the danger the
detainee may face in custody, the ability of the facility to protect that detainee without
transferring or isolating him or her, the potential threat the detainee poses to the community, and
the burden of monitoring the individual in the community as an alternative. In many cases it may
be safer and less burdensome to the facility to release the detainee who has been a victim of or
witnessed sexual abuse in custody and for ICE to monitor him or her in the community. ICE has
the capacity to make such determinations on a case-by-case basis, and the merits of the
detainee’s immigration case should not be taken into consideration when doing so.
Compliance Checklist 7: Protection of detainee victims and witnesses (ID-8)
YES

NO

Initial

Date

(a) Does the facility have a plan for ensuring immigration detainees who report sexual
abuse are never transferred to other facilities or deported before the investigation into

91

EMBARGOED UNTIL MAY 5, 2008 AT 7:00AM
YES

NO

Initial

Date

the abuse has been completed, except at the detainee victim’s own request?
(b) Has ICE established objective criteria for determining when protecting the safety of an
immigration detainee victim or witness requires release from custody and community
monitoring?
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

ID-9: Supplement to DC-1: Data collection
The facility collects additional data whenever an immigrant detainee is the victim or perpetrator
of an incident of sexual abuse in custody.
Discussion
Victimization of and by immigration detainees must be tracked as part of a facility’s data
collection efforts pursuant to PREA.
Compliance Checklist 8: Supplement to DC-1: Data collection (ID-9)
YES

NO

Initial

Date

(a) Do the incident based data include the following information?
• Victim and/or perpetrator was an immigration detainee
• If the victim and/or perpetrator was an immigration detainee, his or her status at the
initiation of an investigation (e.g., in custody, released, or removed from the country)
• If the victim and/or perpetrator was an immigration detainee, his or her status at the
conclusion of an investigation (e.g., in custody, released, or removed from the country)
Additional comments
and/or explanation of
steps taken toward
compliance, or reasons
for noncompliance:

92