1. IACCAC Fall Training Institute November 8, 2012 Indianapolis, Indiana
Prison Rape Elimination Act (PREA)
An Introduction to the Law
Kevin Mulroony, IDOC PREA Coordinator
Office:
IACCAC Fall Training Institute
November 8, 2012 
Indianapolis, Indiana

2. PREA What is it? What does this mean for my facility?
How is my facility going to become compliant?

3. We’re all in this together.
DON’T WORRY!
We’re all in this together.

4. PREA The final PREA standards are new to everyone.
Many agencies across the country have questions too! (Even IDOC)
IDOC will strongly support your efforts in achieving and maintaining compliance.
IDOC wants to be a resource for you.

5. Today Standards review and open discussion
Collective questions to be compiled and sent to DOJ for clarification.

6. Indiana PREA Resource Workgroup IOT conversion underway
Coming Soon:
Indiana PREA Resource Workgroup IOT conversion underway

7. Why Does PREA Matter? Numbers Behind the Law
Former state prisoners reporting sexual victimization in a community-based correctional facility
Percent of former inmates who served time in a community-based facility
Type of incident Before release (a) After release (b)
Number of former inmates 65, ,400
Total % %
Inmate-on-inmate % %
Staff sexual misconduct % %
Includes pre-release community-based facilities, such as halfway houses, residential treatment centers, restitution centers and other pre-release centers.
Includes post-release community-based treatment facilities only.
Source: BJS, National Former Prisoner Survey, 2008.

8. Why Does PREA Matter? Numbers Behind the Law
4.4% of prison inmates reported experiencing one or more incidents of sexual victimization by another inmate or facility staff in the past 12 months. Nationwide, these percentages suggest that approximately 88,500 adults held in prisons and jails at the time of the survey had been sexually victimized.
About 2.1% of prison inmates reported an incident involving another inmate. An estimated 1.0% of prison inmates said they had nonconsensual sex with another inmate (the most serious type of acts), including unwilling manual stimulation and oral, anal, or vaginal penetration.
About 2.8% of prison inmates reported having had sex or sexual contact with staff. At least half of the inmates who experienced staff sexual misconduct (1.8% in prison) said that they willingly had sex or sexual contact with staff.

9. Variations in Victimization Rates
Female inmates in prison (4.7%) were more than twice as likely as male inmates in prison (1.9%) to report experiencing inmate-on-inmate sexual victimization.
Sexual activity with facility staff was reported by 2.9% of male prisoners compared to 2.1% of female prisoners.
Rates of inmate-on-inmate sexual victimization in prisons and jails were significantly higher among inmates who were white or multi-racial compared to blacks, inmates with a college degree or more (compared to those who had not completed high school), a sexual orientation other than heterosexual compared to heterosexual, and who had experienced a sexual victimization before coming to the facility compared to those who had not.

10. Circumstances Surrounding Victimization
Among inmates who reported inmate-on-inmate sexual victimization, 13% of male prison inmates said they were victimized within the first 24 hours after admission, compared to 4% of female inmates in prison.
Inmate-on-inmate victimization in prisons was most commonly reported to have occurred between 6 pm and midnight: more than 40% of victims reported this time period.
Most victims of staff sexual misconduct were males; most perpetrators were females. Among male victims of staff sexual misconduct, 69% of those in prison reported sexual activity with female staff. An additional 16% of prison inmates reported sexual activity with both female and male staff.

11. Why do Prison Incidents Matter to CC?
These victims are going to be under your care at your facilities.
CC facilities need to be prepared to handle incidents of sexual assault as well as the long term emotional aftermath of an assault.
Victims reintegrating into society may be faced with emotional triggers when out on a work assignment. People may joke with them about prison rape stereotypes and ultimately they have to return to your facility and staff may need to be prepared.

12. PREA = Safer Work Environment
High incidence of prison rape exists =
Increases the costs incurred by Federal, State, and local jurisdictions to administer their prison systems;
Increases the levels of violence, directed at inmates and at staff, within prisons;
Increases health care expenditures, both inside and outside of prison systems, and reduces the effectiveness of disease prevention programs by substantially increasing the incidence and spread of HIV, AIDS, tuberculosis, hepatitis B and C, and other diseases;
Increases mental health care expenditures, both inside and outside of prison systems, by substantially increasing the rate of post-traumatic stress disorder, depression, suicide, and the exacerbation of existing mental illnesses among current and former inmates;
Increases the risks of recidivism, civil strife, and violent crime by individuals who have been brutalized by prison rape; and
Increases the level of interracial tensions and strife within prisons and, upon release of perpetrators and victims, in the community at large.

13. United States Court of Appeals, Fifth Circuit. - 385 F
United States Court of Appeals, Fifth Circuit F.3d 503 Mississippi
Johnson sought help from guards, filed numerous "life-endangerment" forms, and wrote letters to prison administrators. Prison officers who investigated Johnson's complaints generally determined that they could not be corroborated; the officers usually did not interview any of the inmates mentioned in Johnson's complaints, purportedly out of a concern to protect the "integrity of the investigation" or to protect Johnson. Johnson's life-endangerment forms triggered a number of appearances before UCCs composed of various prison officials and employees. Johnson asked the UCCs to place him in safekeeping status, place him in protective custody (which entails a significant loss of privileges), or transfer him to a different prison on multiple occasions: December 13, 2000; February 14, 2001; February 21, 2001; March 16, 2001; September 5, 2001; December 13, 2001; and January 17, Each time the committee refused Johnson's requests, ostensibly because there was no concrete evidence of victimization. The members of the committees repeatedly told him that he either had to fight off his attackers or submit to being used for sex. The comments made by the UCC members include statements such as: "You need to get down there and fight or get you a man," "There's no reason why Black punks can't fight and survive in general population if they don't want to f***," and remarks to the effect that, since Johnson was homosexual, he probably liked the sexual assaults he was experiencing.

14. Common Themes Among Juvenile Facilities
Culture
Institutional culture plays a very important part in creating a safe environment. Facilities that foster a therapeutic model, emphasizing rehabilitation, were more likely to have less prevalence of sexual victimization than facilities that rely on a corrections model, emphasizing punishment.
What is the current PREA culture at your facility?
New and important, old and forgotten or a part of everyday routines?
Identify areas in your facility culture in need of attention.
Staff Training
The administrators of all of the selected facilities agreed that the need to train staff on the perils of crossing professional boundaries that lead to inappropriate relationships with youth.
Facility Size
Small facilities tend to have less prevalence of sexual victimization.

15. What is Institutional Culture?
Culture is the shared assumptions, values, beliefs, attitudes, norms, and practices of an organization or group.
Culture dictates “how things are done around here,” what is expected of people, and what is important to staff and leadership.
Culture is communicated to people formally but more often through observation.
Zero tolerance policy, yet sexual jokes are common and accepted.

16. How do we identify an institution’s culture?
There are a number of models for identifying your facility’s or agency’s culture:
NIC and People in Charge program - Achieving Performance Excellence (APEX) specifically for corrections.
Screener Tool, Organizational Profile and Inventory
Cameron and Quinn Organizational Culture Assessment Instrument (OCAI)

18. How do we change an institution’s culture?
Create a positive tone in the organizational climate.
Promote positive interpersonal relationships with and between staff.
Stress positive communication at all levels of the organization.
Infuse purpose and meaning into the work life of all staff.
Strong leadership is key.
Staff buy-in is also a necessity.
Use mid-level managers to get the message out and monitor implementation.
Find a way to connect – safer facilities.
Residents must also receive the message.

19. Addressing a Sexualized Environment
Emphasize professionalism.
Proper communication with youth and other staff.
Frisks are uncomfortable – they should be conducted in a manner least degrading to all involved while fulfilling the objective of the search.
Voyeurism and intentionally degrading conduct.
Unauthorized relationships – letters, cards, telephone calls, etc.

20. Addressing a Sexualized Environment
Breaking the cultural stereotypes

21. National Headlines

24. Movie: Let’s Go To Prison

25. Standards Update
CC standards are substantively the same as Prisons and Jail standards.
Exceptions with medical/mental health services
No requirement for protective custody

26. Standards of Significant Note
§ Contracting with other entities for the confinement of residents.
(a) A public agency that contracts for the confinement of its residents with private agencies or other entities, including other government agencies, shall include in any new contract or contract renewal the entity’s obligation to adopt and comply with the PREA standards.
(b) Any new contract or contract renewal shall provide for agency contract monitoring to ensure that the contractor is complying with the PREA standards.
(c) Only in emergency circumstances in which all reasonable attempts to find a private agency or other entity in compliance with the PREA standards have failed, may the agency enter into a contract with an entity that fails to comply with these standards. In such a case, the public agency shall document its unsuccessful attempts to find an entity in compliance with the standards.

27. Standards of Significant Note
§ Limits to cross-gender viewing and searches.
(a) The facility shall not conduct cross-gender strip searches or cross-gender visual body cavity searches (meaning a search of the anal or genital opening) except in exigent circumstances or when performed by medical practitioners.
(b) As of [INSERT DATE 3 YEARS PLUS 60 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER], or [INSERT DATE 5 YEARS PLUS 60 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]for a facility whose rated capacity does not exceed 50 residents, the facility shall not permit cross-gender pat-down searches of female residents, absent exigent circumstances. Facilities shall not restrict female residents’ access to regularly available programming or other outside opportunities in order to comply with this provision.

28. Standards of Significant Note
§ (continued)
(c) The facility shall document all cross-gender strip searches and cross-gender visual body cavity searches, and shall document all cross-gender pat-down searches of female residents.
(d) The facility shall implement policies and procedures that enable residents to shower, perform bodily functions, and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia, except in exigent circumstances or when such viewing is incidental to routine cell checks. Such policies and procedures shall require staff of the opposite gender to announce their presence when entering an area where residents are likely to be showering, performing bodily functions, or changing clothing.

29. Standards of Significant Note
§ (continued)
(e) The facility shall not search or physically examine a transgender or intersex resident for the sole purpose of determining the resident’s genital status. If the resident’s genital status is unknown, it may be determined during conversations with the resident, by reviewing medical records, or, if necessary, by learning that information as part of a broader medical examination conducted in private by a medical practitioner.
(f) The agency shall train security staff in how to conduct cross-gender pat-down searches, and searches of transgender and intersex residents, in a professional and respectful manner, and in the least intrusive manner possible, consistent with security needs.

30. Standards of Significant Note
§ Hiring and promotion decisions.
(a) The agency shall not hire or promote anyone who may have contact with residents, and shall not enlist the services of any contractor who may have contact with residents, who—
(1) Has engaged in sexual abuse in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution (as defined in 42 U.S.C. § 1997);
(2) Has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or
(3) Has been civilly or administratively adjudicated to have engaged in the activity described in paragraph (a)(2) of this section.

31. Standards of Significant Note
§ Hiring and promotion decisions. (continued)
…(1) Perform a criminal background records check; and
(2) Consistent with Federal, State, and local law, make its best efforts to contact all prior institutional employers for information on substantiated allegations of sexual abuse or any resignation during a pending investigation of an allegation of sexual abuse.
(d) The agency shall also perform a criminal background records check before enlisting the services of any contractor who may have contact with residents.
(e) The agency shall either conduct criminal background records checks at least every five years of current employees and contractors who may have contact with residents or have in place a system for otherwise capturing such information for current employees.

32. Standards of Significant Note
§ Employee training.
(a) The agency shall train all employees who may have contact with residents on:
(1) Its zero-tolerance policy for sexual abuse and sexual harassment;
(2) How to fulfill their responsibilities under agency sexual abuse and sexual harassment prevention, detection, reporting, and response policies and procedures;
(3) Residents’ right to be free from sexual abuse and sexual harassment;
(4) The right of residents and employees to be free from retaliation for reporting sexual abuse and sexual harassment;
(5) The dynamics of sexual abuse and sexual harassment in confinement;
(6) The common reactions of sexual abuse and sexual harassment victims;
(7) How to detect and respond to signs of threatened and actual sexual abuse;
(8) How to avoid inappropriate relationships with residents;
(9) How to communicate effectively and professionally with residents, including lesbian, gay, bisexual, transgender, intersex, or gender nonconforming residents; and
(10) How to comply with relevant laws related to mandatory reporting of sexual abuse to outside authorities. DOCUMENTATION

33. Standards of Significant Note
§ Volunteer and contractor training.
(a) The agency shall ensure that all volunteers and contractors who have contact with residents have been trained on their responsibilities under the agency’s sexual abuse and sexual harassment prevention, detection, and response policies and procedures.
(b) The level and type of training provided to volunteers and contractors shall be based on the services they provide and level of contact they have with residents, but all volunteers and contractors who have contact with residents shall be notified of the agency’s zero-tolerance policy regarding sexual abuse and sexual harassment and informed how to report such incidents.
(c) The agency shall maintain documentation confirming that volunteers and contractors understand the training they have received

34. Standards of Significant Note
§ Resident education.
(a) During the intake process, residents shall receive information explaining the agency’s zero-tolerance policy regarding sexual abuse and sexual harassment, how to report incidents or suspicions of sexual abuse or sexual harassment, their rights to be free from sexual abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding agency policies and procedures for responding to such incidents.
(b) The agency shall provide refresher information whenever a resident is transferred to a different facility.
(c) The agency shall provide resident education in formats accessible to all residents, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as residents who have limited reading skills.
(d) The agency shall maintain documentation of resident participation in these education sessions.
(e) In addition to providing such education, the agency shall ensure that key information is continuously and readily available or visible to residents through posters, resident handbooks, or other written formats.

35. Standards of Significant Note
§ Screening for risk of victimization and abusiveness.
(a) All residents shall be assessed during an intake screening and upon transfer to another facility for their risk of being sexually abused by other residents or sexually abusive toward other residents.
(b) Intake screening shall ordinarily take place within 72 hours of arrival at the facility.
(c) Such assessments shall be conducted using an objective screening instrument.
(d) The intake screening shall consider, at a minimum, the following criteria to assess residents for risk of sexual victimization:
(1) Whether the resident has a mental, physical, or developmental disability;
(2) The age of the resident;
(3) The physical build of the resident;
(4) Whether the resident has previously been incarcerated;

36. Standards of Significant Note
§ Screening for risk of victimization and abusiveness. Cont.
(5) Whether the resident’s criminal history is exclusively nonviolent;
(6) Whether the resident has prior convictions for sex offenses against an adult or child;
(7) Whether the resident is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming;
(8) Whether the resident has previously experienced sexual victimization; and
(9) The resident’s own perception of vulnerability.
(e) The intake screening shall consider prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence or sexual abuse, as known to the agency, in assessing residents for risk of being sexually abusive.
(f) Within a set time period, not to exceed 30 days from the resident’s arrival at the facility, the facility will reassess the resident’s risk of victimization or abusiveness based upon any additional, relevant information received by the facility since the intake screening.

37. Standards of Significant Note
§ Screening for risk of victimization and abusiveness. Cont.
(g) A resident’s risk level shall be reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the resident’s risk of sexual victimization or abusiveness.
(h) Residents may not be disciplined for refusing to answer, or for not disclosing complete information in response to, questions asked pursuant to paragraphs (d)(1), (d)(7), (d)(8), or (d)(9) of this section.
(i) The agency shall implement appropriate controls on the dissemination within the facility of responses to questions asked pursuant to this standard in order to ensure that sensitive information is not exploited to the resident’s detriment by staff or other residents.

43. Standards of Significant Note
§ Resident reporting.
(a) The agency shall provide multiple internal ways for residents to privately report sexual abuse and sexual harassment, retaliation by other residents or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.
(b) The agency shall also inform residents of at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency and that is able to receive and immediately forward resident reports of sexual abuse and sexual harassment to agency officials, allowing the resident to remain anonymous upon request.
(c) Staff shall accept reports made verbally, in writing, anonymously, and from third parties and shall promptly document any verbal reports.
(d) The agency shall provide a method for staff to privately report sexual abuse and sexual harassment of residents.

44. Standards of Significant Note
§ Staff first responder duties.
(a) Upon learning of an allegation that a resident was sexually abused, the first security staff member to respond to the report shall be required to:
(1) Separate the alleged victim and abuser;
(2) Preserve and protect any crime scene until appropriate steps can be taken to collect any evidence;
(3) If the abuse occurred within a time period that still allows for the collection of physical evidence, request that the alleged victim not take any actions that could destroy physical evidence, including, as appropriate, washing, brushing teeth, changing clothes, urinating, defecating, smoking, drinking, or eating; and
(4) If the abuse occurred within a time period that still allows for the collection of physical evidence, ensure that the alleged abuser does not take any actions that could destroy physical evidence, including, as appropriate, washing, brushing teeth, changing clothes, urinating, defecating, smoking, drinking, or eating.
(b) If the first staff responder is not a security staff member, the responder shall be required to request that the alleged victim not take any actions that could destroy physical evidence and then notify security staff.

45. Standards of Significant Note
§ Evidentiary standard for administrative investigations.
The agency shall impose no standard higher than a preponderance of the evidence in determining whether allegations of sexual abuse or sexual harassment are substantiated.

46. Standards of Significant Note
§ Reporting to residents.
(a) Following an investigation into a resident’s allegation of sexual abuse suffered in an agency facility, the agency shall inform the resident as to whether the allegation has been determined to be substantiated, unsubstantiated, or unfounded.
(b) If the agency did not conduct the investigation, it shall request the relevant information from the investigative agency in order to inform the resident.
(c) Following a resident’s allegation that a staff member has committed sexual abuse against the resident, the agency shall subsequently inform the resident (unless the agency has determined that the allegation is unfounded) whenever:
(1) The staff member is no longer posted within the resident’s unit;
(2) The staff member is no longer employed at the facility;
(3) The agency learns that the staff member has been indicted on a charge related to sexual abuse within the facility; or

47. Standards of Significant Note
§ Reporting to residents. (continued)
(4) The agency learns that the staff member has been convicted on a charge related to sexual abuse within the facility.
(d) Following a resident’s allegation that he or she has been sexually abused by another resident, the agency shall subsequently inform the alleged victim whenever:
(1) The agency learns that the alleged abuser has been indicted on a charge related to sexual abuse within the facility; or
(2) The agency learns that the alleged abuser has been convicted on a charge related to sexual abuse within the facility.
(e) All such notifications or attempted notifications shall be documented.
(f) An agency’s obligation to report under this standard shall terminate if the resident is released from the agency’s custody.

48. Standards of Significant Note
§ Disciplinary sanctions for staff.
(a) Staff shall be subject to disciplinary sanctions up to and including termination for violating agency sexual abuse or sexual harassment policies.
(b) Termination shall be the presumptive disciplinary sanction for staff who have engaged in sexual abuse.
(c) Disciplinary sanctions for violations of agency policies relating to sexual abuse or sexual harassment (other than actually engaging in sexual abuse) shall be commensurate with the nature and circumstances of the acts committed, the staff member’s disciplinary history, and the sanctions imposed for comparable offenses by other staff with similar histories.
(d) All terminations for violations of agency sexual abuse or sexual harassment policies, or resignations by staff who would have been terminated if not for their resignation, shall be reported to law enforcement agencies, unless the activity was clearly not criminal, and to any relevant licensing bodies.

49. Standards of Significant Note
§ Frequency and scope of audits.
DOJ audits are TBD.
Audit instrument expected to be available late spring/early summer 2013.
Must be completed by a certified PREA auditor.
ACA accreditation will serve as dual compliance (value added benefit*).
*Allegedly

50. PREA Audit Timeline
June 20, PREA Standards are published in the Federal Register.
August 20, 2012 PREA Standards are effective for state and local facilities.
Spring/Summer Online auditor training available (goal).
August 20, 2013 First three year audit cycle begins; agencies should audit 1/3rd of facilities within 12 months.
August 20, 2014 First year of audit cycle is complete, 1/3rd of facilities should be audited.
August 20 , 2016 First three year audit cycle is complete, all facilities should have been audited.

51. PREA Resources
PREA Standards Published in Federal Register, 6/20/2012:

55. To What Facilities Does PREA Apply?
The statute defines ‘‘prison’’ as ‘‘any confinement facility,’’ including jails, police lockups, and juvenile facilities
Although PREA applies to ALL correctional facilities, only facilities under Executive Branch of State Government risk financial penalties levied.

56. ILPP Grant Award The Indiana Local PREA Project
$416,610 DOJ grant under the 2012 PREA Demonstration Project to Establish Zero Tolerance Cultures for Sexual Assault in Local Adult and Juvenile Correctional Facilities solicitation for the Indiana Local PREA Project (ILPP), which will support PREA enhancements at the twenty-four local adult correctional facilities, each owned and operated by that county’s Community Corrections agency, that serve as IDOC holding sites.

57. ILPP
Funding will primarily be used to make sub-grants to participating facilities to implement local level PREA-compliance initiatives based on established local priorities and demonstrated needs.
Sub-grants will be eligible for but not limited to enhancement to the following examples creation/enhancement of local community SARTs, sexual assault prevention and reporting literature for staff and offenders, and establishment of PREA hotlines and/or other offender-focused reporting capabilities in local facilities. In compliance with solicitation guidelines, a limited amount of funding may be made available for equipment, particularly surveillance or investigation equipment, if the need for such can be justified through substantiated facility mapping or other documentation.

58. ILPP G. Consultants/Contracts Consultant Service Provided Rate
Quantity
Cost
County sub-grantee
Local PREA enhancements
Per approved budget 24
300,000.00
County facility funding
Local corrections efforts
416,610 1
416,610.00
(IDOC Match-funds)
Funds will be sub-granted to participating county facilities to make improvements based on their sub-grant application. Grant amounts may vary based on each county’s need, but are estimated to be average 12,500 per county. Each county will be contracted with individually

59. ILPP
Bartholomew Cass-Pulaski Clark Daviess Dubois
Elkhart Fayette Gibson Greene Hamilton
Hancock Hendricks Jasper Johnson Lake
LaPorte Madison Marion St Joseph Tippecanoe Vanderburgh Vigo Wabash Valley Regional Whitley
A summary of sub-grant projects and costs will be submitted to BJA for approval prior to awarding of sub-grant funds. Sub-grants project funds will be required to meet all the requirements of BJA grant funds; expenses are expected to fall under the following allowable uses: Policy and Practice Review, Revision, and Implementation; Preventative Infrastructure and Technology Enhancements; Offender Education; Victim Support Services; Data Collection and Performance Measurement; and Planning, Analysis, and Staffing Support.

60. Questions: