Office of the Deputy Prime Minister | The Development of Overview and Scrutiny in Local Government

Office of the Deputy Prime Minister

The Development of Overview and Scrutiny in Local Government

CHAPTER 1
Introduction

1. BACKGROUND

By June 2002 every local authority in England had at least one overview and scrutiny committee in operation. Overview and scrutiny is a feature of each of the four forms of new constitution which authorities were required to introduce by this date: cabinet with executive leader; elected mayor and cabinet; elected mayor and council manager; and alternative arrangements (open to district councils below 85,000 population[1]).

And by June all authorities had a new constitution in place, fully compliant with the Local Government Act 2000 and its associated guidance and regulations. But many authorities determined to experiment with new political management arrangements under the restrictions of the previous legislative framework. Those authorities at the forefront of such experimentation now have between three to four years experience of working with overview and scrutiny.

Such a period of experimentation is relatively short compared to the time in which the previous system of decision-making – the committee system – was operating. The committee system had developed over more than a century into a very familiar way of working for members and officers within local authorities. The introduction of new political management arrangements fundamentally challenges these familiar ways of working. And the introduction of overview and scrutiny is perhaps the greatest challenge to the traditions and culture of the previous system.

Given the relatively short period of experimentation it is not surprising that there has been little research on the development of overview and scrutiny arrangements to date. One of the few pieces of research which did examine the experimental developments – as part of a wider evaluation of new political management arrangements overall – was a DETR and IDeA sponsored evaluation of a study group of six local authorities who had all introduced experimental arrangements prior to May 1999 (Snape, Leach et al, 2000).

There were two key findings from that evaluation in relationship to overview and scrutiny: that the case study authorities were largely struggling to develop effective arrangements, in contrast to setting up cabinet working which was proceeding comparatively effectively; and, that there was tremendous diversity in structuring and operating overview and scrutiny (Snape, Leach et al, 2000, pp.25-29).

Since this research there have been two important research reports on how overview and scrutiny is developing in particular service areas: the Audit Commission’s A Healthy Outlook? Local Authority’s Overview & Scrutiny of Health (Oxtoby, 2001) examining developments in health scrutiny; and the Education Network’s New Democratic Structures – Education, examining developments in Education (Baker, 2001).

And there have also been a number of publications which provide general guidance to local authorities developing overview and scrutiny arrangements: IDeA’s Overview & Scrutiny: A Practitioners Guide (Corrigan, 2000); LGIU’s Open to Scrutiny (Dungey, 2001); and the LGA’s A Hard Nut to Crack: Making Overview & Scrutiny Work (Snape and Taylor, 2001). None of these publications represent or are intended as a substantive evaluation of overview and scrutiny.

However, the picture that emerges from these publications is one in which the majority of overview and scrutiny committees have struggled to find their feet and develop successful scrutiny. Snape and Taylor outline the common pitfalls that have befallen overview and scrutiny committees in their publication, A Hard Nut to Crack (2001).

Table 1 Common pitfalls and risks

  • Conflicting definitions of overview and scrutiny

  • Re-creating the Committee System

  • Under-resourcing overview and scrutiny

  • Unrealistic and unmanageable work programmes

  • Poor management of scrutiny processes

  • Lack of co-ordination of scrutiny committee work

  • Weak links to other new structures

  • Marginalised opposition role

  • Inexperienced chairing

Source: S. Snape and F. Taylor, A Hard Nut to Crack, LGA, 2001, p.6.

And yet there is a wide recognition that the potential for overview and scrutiny is very great. As Snape set out in Chapter 5 of the IDeA’s Councillor Guide 2001 these benefits range from developing evidence-based approaches to decision-making, developing members’ skills, providing more meaningful member oversight of best value; to tackling key cross-cutting issues, supporting partnership working; and, importantly, contributing significantly to local councils’ community leadership role.

Table 2 The potential of overview and scrutiny

Effective overview and scrutiny arrangements can produce the following benefits:

  • Better informed members, who become adept at investigating below the surface of policies and strategies and consequently develop a range of useful skills

  • Complementing the strategic and policy setting work of the executive (or in ‘alternative arrangements’ the policy committees)

  • ‘Re-politicising’ the work of best value within authorities, by providing meaningful member oversight of continuous improvement

  • Overall, providing an interesting and valued role for non-executive councillors

  • Developing deeper, more knowledgeable relationships with partner organisations, through involving them in scrutiny work or through scrutinising their own work

  • Encouraging public involvement in political management arrangements, ultimately contributing to a necessary re-working of local councils’ relationship to its communities

  • Tackling key ‘cross-cutting’ or ‘wicked issues’ such as social exclusion, ill health and poverty and low educational standards

  • Stimulating a more reflective, evaluative and evidence-based culture within local government

  • Contributing significantly to local councils’ community leadership and planning role and giving meaning to the new power of well-being

Source: S. Snape, Chapter Five: Councillors and Overview and Scrutiny, A Councillors Guide 2001, IDeA, 2001, p.49.

Overview and scrutiny is potentially the most exciting and powerful element of the entire modernisation process. It places members at the heart of policy-making and at the heart of the way in which councils respond to the demands of modernisation. In addition, overview and scrutiny is the mechanism by which councils can achieve active community leadership, good governance and by which councillors can become powerful and influential politicians.

2. THE RESEARCH PROJECT

This report is largely about how local authorities can realise this potential, drawing on the positive (and occasionally negative) lessons of developments to date. The project commissioned by the ODPM has been an exploratory study, qualitative in nature, which seeks to identify good practice in the development of overview and scrutiny. It is in essence an implementation evaluation, focusing on the positive lessons from local implementation and ultimately aiming to disseminate practical solutions to on-the-ground barriers and obstacles across local government.

Through this research study we have assembled a range of detailed examples of innovative and good practice in the operation of overview and scrutiny processes and arrangements across English local government. We have also considered, more generally, the changes and inputs necessary to develop overview and scrutiny within any form of constitution and type of authority.

The project was also largely designed to capture the lessons from the period of experimentation ie prior to the development of new constitutions which are fully compliant with the Local Government Act 2000. And, the aim is to improve local operation of scrutiny arrangements.

It is also the case that the project did not represent a comprehensive process and outcome evaluation of overview and scrutiny arrangements. Indeed, this will be part of the work of the large scale evaluation of new council constitutions and the new ethical framework which has recently been commissioned by the Department.

In order to gather information to meet the research objectives, the team undertook case study research in ten authorities (selected using a range of criteria) and wider scanning of good practice examples (more information on the research methods adopted is available in Appendix 1).

3. STRUCTURE OF REPORT

The report is structured according to the following key issues, which were identified early on in the project:

  • Roles for overview and scrutiny;

  • Organisational arrangements;

  • The role of the member;

  • The relationship to the party group;

  • Officer support;

  • Relationship to other internal structures;

  • Developing an outward focus;

  • Outputs, monitoring progress and developing success criteria;

  • Relationship to other elements of modernisation.

Each of the above key issues forms a chapter of the report. The content of each chapter draws on the following:

  • Good practice guidance;

  • Good practice examples.

The final chapter, What is ‘Good Practice’ in Overview and Scrutiny? explores the key issue of how to identify effective overview and scrutiny.

[1] Alternative arrangements can also happen in other authorities, as in the case of Brighton and Hove, where it is selected as the fall-back option to a mayoral referendum.

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Published 17 October 2002
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