Effective Board involvement in senior level workplace investigations

About the training

It is important that when the Board is involved that they are clear of their remit, roles and responsibilities when an organisational investigation is necessary. Two of the key documents are first, the commissioning remit for the Investigating Officer and second, the Terms of Reference. It is important that the Investigation Panel are clear of the plan/process and updated on appropriate progress in a timely manner. Finally, on receipt of the report, they need to be confident in the questions they may need to ask the Investigating Officer. 

This training will therefore cover practical tips, tools, techniques, case studies and lessons learnt across the following areas: 

•            Board members and the Working Groups roles & responsibilities 

•            Commissioning Remit and Terms of reference

•            The investigation process

•            The report and questioning of the Investigation Officer

•            Communication plan

•            Key challenges: such as timing; data protection; counterclaims; third parties; the Regulator and Board members leave of absence for those under investigation and, dealing with anonymous parties.

We look forward to welcoming SFHA members to this new training to ensure RSLs remain fair, effective and compliant.

Training outcomes

• To possess an overview of the legal and regulatory requirements when investigations into senior staff/board members are carried out.
• To be confident in establishing the Terms of Reference when commissioning an investigation.
• To be knowledgeable about the investigation process.
• To be skilled when asking questions about the report and questioning of others.
• To increase awareness of investigation challenges and importance of appropriate communication.

Target audience

This interactive training is aimed at all RSL Boards that may be involved in any decision making. It is particularly relevant for Chairs/Vice Chairs/People Committees/Governance Officers that support Boards and anyone that may sit on a short life working group set up to oversee an investigation. Your RSL may have already experienced such an investigation but feel there are further lessons to be learnt and members may wish to be more knowledgeable and supported. Alternatively, your RSL may not have had such an investigation nor have a live investigation but wish to be proactive and prepared should one be required in future and it’s too late to put the training in to place. 

While it is appreciated that a number of board members may possess relevant experience from a different sector, this training is aimed at the RSL market only and covers the additional compulsory requirements unique to this sector. 

About the trainer

Stephanie possesses a strong history of carrying out high-level and complex whistleblowing/disciplinary/grievance/neutral assessment workplace investigations into allegations against senior staff/other board members on sensitive issues such as: 

• Bullying
• Sexual, racial, gender reassignment and sexual orientation discrimination
• Harassment & Victimisation
• Cybersecurity
• Fraud
• Capability
• Breach of the Standards of Governance and Financial Management for RSLs/Code of Conduct

Her clients are typically repeat RSLs or come from client word-of-mouth recommendations. Stephanie has carried out over 30 investigations up to Supreme Court level, many of which have been for RSLs. She spent 15 years in-house heading up HR for a Registered Social Landlord, as well as having been on the people and management committees of 2 charities and a community-based housing association. In addition, for 7 years she worked for legal firms and continues to remain up-to date with employment law. 

Previously, SFHA commissioned ChangeHR to create and deliver Equality, Diversity and Inclusion Ambassador Training, which has helped maintain her sector knowledge. Stephanie is familiar with the SHR’s Regulatory Standards of Governance and Financial Management having trained Governance Officers on it via the Board Development Agency and through the EDI Ambassador training.  Her inhouse experience has meant that she had to ensure the organisation complied with many people aspects of the framework.