An Executive-Scrutiny Protocol is basically an agreement that sets out how the people making decisions and the people checking those decisions work together, so everything is clearer, fairer, and more accountable.
Introduction
What this guide offers
This guide supports councils in developing or refreshing an executive scrutiny protocol that sets clear, shared expectations for working together. The guide will help you to think through how you would structure your local scrutiny protocol, how to develop it, how to adopt and implement it and what key areas to include.
Please note that this guide is for local authority scrutiny and not combined authority scrutiny committees.
What is a scrutiny protocol?
By setting clear expectations of how overview and scrutiny work with the executive, scrutiny protocols can provide a useful framework to guide constructive relationships, support effective challenge, and ensure that scrutiny activity is carried out in a transparent, collaborative and well understood way.
An executive scrutiny protocol is a best practice tool – and whilst not mandatory, they are a means to enhancing the effectiveness of overview and scrutiny. They can;
- clarify relationships
- ensure early engagement
- improve information flow
- support effective work programming
- strengthen behavioural expectations
- embed a culture where scrutiny is respected and part of the council’s culture.
- formalise accountability arrangements
Why have a protocol?
Protocols can sometimes feel like documents that sit quietly in the background, unnoticed while everything is running smoothly. And when relationships are positive and processes are working well, that may not seem like a problem. However, in local government, circumstances can shift quickly, and what feels “rosy” one week can become challenging the next. A well designed protocol provides a shared reference point – clear statement of expectations, behaviours and ways of working that everyone has already agreed to.
To be a success, scrutiny is dependent on commitment from across the council, in particular those in leadership roles whose mindset towards feedback and challenge sets the tone and culture. An executive scrutiny protocol acts as a statement of intent about the culture of governance a council aims to promote.
When pressure builds or tensions emerge, the protocol becomes an important anchor. It sets out how the executive and scrutiny should interact, helps prevent misunderstandings, and offers a constructive framework to return if things get difficult. In this way, a protocol is not just a document – it is a safeguard for maintaining effective governance when it matters most.
The process for developing and adopting a protocol
It is important that a protocol is not drafted in isolation and then presented to scrutiny members and the executive as a fait accompli. The value of a protocol lies in the process of developing it, not only in the final text. The act of drafting it as a collective, exploring expectations, discussing how relationships should work, and identifying where clarity is needed – is itself a crucial part of strengthening governance.
To ensure that the protocol has formal recognition it is important to obtain agreement from both scrutiny and the Cabinet on the adoption of the protocol and to include the protocol into the council’s constitution, typically at the next AGM.
There is no single “perfect” protocol. Just as scrutiny structures should be tailored to local context (while remaining aligned with national guidance), protocols must also reflect the culture, political dynamics and governance needs of each authority. A well designed protocol emerges from local dialogue, not generic templates.
Authorities that already have a protocol in place should review it on a regular basis. This can form part of an annual evaluation, or it may be prompted by significant political change, shifts in organisational culture, or a wider review of the constitution or corporate governance framework.
To ensure joint ownership and alignment with local governance arrangements it is suggested that the development of the protocol is collaborative and informed by facilitated discussion, for example:
- workshops with scrutiny members, senior officers, and Cabinet members
- the possible use of an external facilitator to provide independence and constructive challenge
- CfGS can help with this – do get in touch to find out more
While each authority’s protocol will differ to reflect local context, certain core elements are commonly included. These help provide clarity, strengthen relationships, and ensure scrutiny can operate effectively within the wider governance framework.
What should you consider including in your protocol?
A protocol should set out the respective roles of scrutiny and the executive, outlining what each does and how they contribute. This can also extend to the role of officers – including the Statutory Scrutiny Officer (SSO) and Monitoring Officer (MO) – in supporting both functions.
Expectations around attendance should be explicit, including when executive members, senior officers, or external partners may be asked to contribute to scrutiny activity. This might extend to where they are expected to sit and when they are able to speak.
Protocols can describe how the executive and officers will engage with a range of scrutiny methods. This may include task and finish groups, which often undertake deeper or more thematic inquiry, (see Running effective reviews – a practice guide – CfGS).
The protocol should outline how scrutiny will have early visibility of the executive’s forthcoming decisions, enabling consideration of where scrutiny involvement could add value before such decisions are taken.
While independence is essential to scrutiny’s statutory role, a protocol might describe how the executive may invite scrutiny to examine areas where its involvement could strengthen policy development or improve outcomes.
Effective arrangements for making and responding to recommendations are vital. Protocols typically set out how scrutiny will make formal recommendations, the timescales and format for executive responses, and how progress on agreed actions will be monitored, (see Demonstrating impact – a practice guide – CfGS).
The protocol might set out expectations in relation to executive attendance at call-in and any process for deputisation. It could also outline specific procedure for call in (who speaks etc), (see The use of call-in – a practice guide – CfGS ).
Clarity around information rights is essential. The protocol should describe how the executive will respond to scrutiny requests for information and set expectations for timeliness, transparency, and handling of confidential or sensitive material.
Some councils establish formal or informal communication forums, such as routine meetings between scrutiny chairs and portfolio holders or discussions ahead of each meeting cycle. Such meetings can support information sharing and forward planning while maintaining the independence of scrutiny. A protocol can outline the expectations for these interactions.
It is important to recognise how those councillors not involved in scrutiny may be kept informed in relation to activities and impact. This could be via annual reports, sharing highlights from agenda packs/minutes and task and finish reports.
Embed and revisit!
Establishing your protocol is only the starting point. Its real value comes from how it is used – and how regularly it is revisited.
Protocols should also build in a commitment to learning and development, including induction for new scrutiny members and ongoing skills development for those already in role.
To remain effective, protocols should not be static. Regular review is essential to ensure they reflect the evolving political, organisational and cultural context of the authority. This may take place as part of an annual governance review, or be triggered by significant changes in political leadership, organisational priorities, or a broader refresh of the constitution or corporate governance framework.
Finally, the annual scrutiny report can be a valuable tool for demonstrating how the protocol is being used in practice — highlighting where it is working well, identifying areas for improvement, and evidencing its contribution to effective decision making and service delivery.
Some of our favourite examples
Blackpool Council constitution – Part 5e – Executive scrutiny protocol
Read here
Examples for each of the roles
Scrutiny members will:
- Hold the executive to account for decisions and performance.
- Review policy implementation and assess the impact of decisions on local people.
- Undertake pre-decision scrutiny where appropriate.
- Represent the voice and concerns of the public.
Executive members will:
- Attend scrutiny when requested.
- Provide timely, accurate information.
- Consider scrutiny recommendations seriously and responding fully.
- Engage openly with scrutiny on policy development.
Officers will:
- Support both functions impartially and professionally.
- Provide high quality information and advice to scrutiny.
- Ensure reports to Cabinet demonstrate how scrutiny has influenced and shaped service delivery.
- Statutory Scrutiny Officer, who may oversee this protocol.
- Monitoring Officer, who may oversee the protocol, code of conduct etc.
Purpose and expectations against these roles
Whether you are a Cabinet member, scrutiny member or officer it is vital that you consider your purpose and the expectations you place on yourself and others.
- Purpose – consider how you would describe your overall purpose within the scrutiny system
- Information flow – think about what you need from others, what you could offer to others and how you can ensue this is clear, timely and useful
- Recommendations – reflect on how you make, receive, record and/or respond to recommendations (this is role dependent/may need further explanation)
- Public voice – consider how to recognise public voice /engage with others
- Policy development – consider what role you play in testing proposals and policy implications.
Helpful tips
It is helpful for protocols to include detail on scrutiny’s statutory right to information. Often this includes statements such as:
- Scrutiny should receive information it reasonably requires to discharge its functions.
- Executive members should provide responsive, timely information and should keep scrutiny informed about major emerging decisions. (early sight of forward plan)
- Performance and financial monitoring information should be available for scrutineers
- Late or withheld information should be justified in accordance with access rules.
- Processes should be in place to ensure that sensitive and confidential information is shared securely and handled in accordance with the organisation’s policy.
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