Internal Investigations: Looking Back to Move Toward a Safer Future

Understanding the root cause of a boundary violation or incident is crucial for preventing further escalation or future occurrences. Internal investigations play a key role in understanding the details of reported incidents, identifying policy or procedural improvement areas, and recognizing any deficiencies within an organization’s operations. These investigations enable organizations to fulfill their duty to safeguard the individuals they serve. They also facilitate an examination of potential shortcomings across various facets of the Praesidium Safety Equation®, including policies, screening and selection processes, training programs, and monitoring and supervision protocols. Despite the challenging nature of confronting an incident, taking an open and unbiased look at what could be handled differently presents an opportunity for the organization to showcase its unwavering commitment to zero-tolerance of abuse and to acknowledge needed improvements.

Having a procedure to conduct an internal investigation prepares an organization to respond quickly and consistently to a policy violation, red-flag behavior, or incident in high-stress situations. When an organization is aware of some level of problematic behavior and ignores it or does not report an allegation of abuse to the authorities, the result can be a finding of negligent retention or investigation in litigation cases. According to our 2024 Praesidium Report, of approximately 400 large losses analyzed when an organization did not respond swiftly to the abuse incident, the average payout for negligent retention and investigation was $13.7 million. 46% of the large losses involved more than one victim, which indicates that the longer an organization takes to respond, the more consumers are at risk of abuse. These numbers illustrate how critical a detailed review is to prevent further harm to consumers and the organization’s financial future.

Internal investigations are crucial in navigating the gray areas of response to various red flags or inappropriate behaviors. They are instrumental in assisting an organization to initiate a progressive discipline policy and corrective action plan that directly addresses the identified risks. This proactive approach allows the organization to transparently communicate what will be done to address the concerns or risk of future incidents, demonstrating a commitment to accountability and risk management.

A key component of written procedures for internal investigations is ensuring that an internal investigation does not replace or interfere with an external investigation. Mandated reporters must follow local laws to alert protective service agencies, law enforcement, or licensing authorities. External investigations are the priority in cases where a crime may have occurred, such as in the case of an allegation of sexual abuse of a youth or vulnerable adult within the organization. To ensure that an internal investigation does not interfere with an external investigation, the organization should consider consulting with legal counsel on steps to take until an external investigation is complete. It is essential for organizations to cooperate with authorities.

Organizations should also be mindful of how information is obtained and documented. A detailed report of what was reported by the victim/survivor is critical. Developing a form that can be filled out for a reported boundary violation or incident should include who, what, when, and where the incident occurred.

Developing a procedure for conducting an internal investigation gives clear instructions when needed.

There are several additional best practices your organization can put in place now to prepare for an internal investigation. These include:

• Determine methods for the organization to receive concerns.
  • Ensure that the organization’s policies and procedures clearly indicate a method for all employees and volunteers to report red flags, policy violations, or suspected abuse within the organization. This may include listing the chain of command and a time frame for reporting concerns. When a manager is the policy violator, outline who an employee could report to without fear of reprisal.
  • Consider providing an anonymous internal reporting method.
  • Provide the documentation an individual should complete for an initial concern or report. The report should include minimum details such as who was involved, when the incident occurred, how this person knows about the incident, and what happened immediately after. Ensure that employees know how to submit the initial concern.
• Identify who will conduct internal investigations.
  • Ideally, this person or group would be outside of the program of services in which the violation or incident occurred. Typically, someone within Human Resources may conduct an internal investigation. Still, other leadership team members with knowledge of abuse prevention may be involved.
  • An employee who conducts internal investigations must understand their role in maintaining the confidentiality of the investigation. They must also communicate with all involved parties that they represent the organization, and conversations are not subject to attorney/client privilege. Provide appropriate training for designated staff members to complete internal investigations.
• Begin the internal investigation.
  • Designated employees should begin an internal investigation after consulting with external authorities. The investigation can start if external authorities are not immediately warranted or decline to investigate. If the investigator discovers a crime may have occurred during the incident, they should follow mandated reporting laws. The internal investigator should pause until external authorities respond.
  • Gather all relevant information, including the initial report, additional documents such as personnel files, documentation completed by others related to the incident, training records, disciplinary records, and video footage.
  • Interview key individuals such as the accused, supervisors, and witnesses. Do not re-interview the victim/survivor or accused if they are youths.
  • Examine policies and training content provided that relates to the incident or concern.
• Examine the information.
  • Ask why this situation occurred. Use the Praesidium Safety Equation as your guide. Was there a training or supervision issue? Are the policies for the organization clear, leaving no room for using personal judgment? Was the person adequately screened before working with the organization? Did reporting methods work as intended?
  • Outline all elements that allowed the situation to occur. Several areas, even if minor, most likely did not work as intended.
• Identify corrective actions.
  • What recommendations could be made that would prevent this action from happening again?
  • What resources does your organization need to implement the best practices identified?
  • How will the organization implement and measure compliance?
• Complete a written report with the findings and corrective actions recommended.
• Implement the necessary solutions.

Consider taking time in this process. Often, when there is a need to examine why an incident occurred, it can be easy to jump into solutions. Solutions are essential, but evaluating every facet of the incident at hand may yield additional areas of improvement.

Download our checklist to help your team prepare for an internal investigation.

Ensuring your organization has internal investigation procedures in place helps communicate your commitment to your mission to employees, consumers, insurance carriers, and funders. Approaching these situations strategically and consistently will help you implement practices to mitigate future incidents.