Protocol on Councillors' personal conduct/behaviour

Introduction

This Protocol supplements the National Code of Conduct for Councillors (external website) and is intended to promote high standards of personal conduct and behaviour within the Council.

The principles set out in the Code of Conduct for Councillors are:

Duty
Openness
Selflessness
Honesty
Integrity
Leadership
Objectivity
Respect
Accountability & Stewardship

In addition the Council has agreed four 'Values' which describe behaviour and how Councillors and employees will act in meeting the Council's objectives and working towards achieving the Council's aim of improving the quality of life for all people in the Scottish Borders.

The four values are:

"Accessibility" convenient, user friendly for all and easy to deal with.
"Courtesy" means treating everyone politely and with consideration, respecting the other person's viewpoint even when not sharing it.
"Openness" means dealing with people honestly, admitting mistakes and informing people of what we do and the reasons why.
"Responsiveness" listening, taking account of all the facts and circumstances, making a decision and informing those affected within an appropriate time scale.

The Protocol

This protocol provides examples of personal conduct/behaviour which will assist Councillors in complying with the principles and values set out above. Examples are also provided of personal conduct/behaviour which are contrary to acceptable standards.

Positive examples:

Treat everyone fairly and consistently
Let the others speak/explain their position
Listen actively
Criticise reports/actions/outcomes constructively (specifically what requires to be changed, how?)
Ensure that any criticism is well founded - what are the facts?
Contact the relevant Head of Service first if you have any concerns about an employee e.g. their conduct/performance/reports/response times (Contact the Director in the case of criticism against a Head of Service and the Chief Executive in cases of criticism of a Director)
Challenge unacceptable behaviour in others e.g. intervene if you witness intimidating behaviour
Keep confidential matters, confidential (If in doubt check)
Be aware that your body language can appear intimidating to others

Negative examples:

Do not prejudge issues
Do not use bullying or harassment or any behaviour that another person finds intimidating e.g. do not shout, point or otherwise communicate in an aggressive manner
Do not interrupt (unless you need to do so for the efficient conduct of the meeting)
Do not criticise employees, or former employees, in public, in the media or in private meetings. (Employees are unable to respond in defence. Councillors have a legal responsibility as the employer.)
Do not use first names or informal language at Committee/public meetings.

Breach of Protocol - Employees as Complainants (against Councillors)

Stage 1 (Informal)

All Employees (except Directors and the Chief Executive)
1. When an employee (except the Chief Executive or a Director) alleges that a Councillor has breached this protocol, the matter shall be dealt with informally as follows:

1.1 If the Complainant is not able or willing to speak to the Defendant directly, he/she will ask the Head of Service, through their line manager if they so wish, (or Director if the Complainant is the Head of Service) who will assist in resolving the issue through discussion with both parties, first separately and then together.

1.2 If the Complainant, with the Head of Service (or Director), is not satisfied with the outcome of the meeting(s), he/she, with the Head of Service (or Director) will raise the matter with either the Civic Head or the Leader of the Council, who will try to resolve the complaint by speaking to both parties separately and then together.

1.3 The Defendant may request his/her group leader to assist.

1.4 If the Civic Head or the Leader of the Council is the subject of the allegation, the Civic Head/Leader of the Council (whoever is not the subject of the allegation) will try to resolve the issue in accordance with para 1.2 above.

1.5 If the Complainant is not satisfied after the intervention of the Civic Head or the Leader of the Council, he/she may proceed to Stage 2.

Directors
2. Where a Director alleges a breach of this protocol, the Chief Executive will assist the Complainant during the informal stage.

2.1 If the Complainant is not able or willing to speak to the Defendant directly, he/she will approach the Chief Executive who will try to resolve the issue through discussion with both parties, first separately and then together.

2.2 If the Complainant, after meeting the Defendant, is not satisfied with the outcome of the meeting(s), he/she, with the Chief Executive, will raise the matter with either the Civic Head or the Leader of the Council, who will try to resolve the complaint by speaking to both parties separately and then together.

2.3 The Defendant may request his/her group leader to assist.

2.4 If the Civic Head or the Leader of the Council is the subject of the allegation, the Civic Head/Leader of the Council (whoever is not the subject of the allegation) will try to resolve the issue in accordance with para 2.2 above.

2.5 If the Complainant is not satisfied after the intervention of the Civic Head/Leader of the Council, he/she may proceed to Stage 2.

Stage 2 (Formal)

1. The Complainant will raise the matter formally with the Council's Chief Executive in accordance with the Complaints Procedure for the Standards Committee.
Note: Nothing in this Protocol shall affect the right of any person to refer the matter to the Standards Commission for Scotland..

Chief Executive
4. Where the Chief Executive alleges a breach of this protocol, he/she will approach the Civic Head or the Leader of the Council who will try to resolve the issue through discussion with both parties first separately and then together.

4.1 If the Chief Executive alleges that the Civic Head or the Leader of the Council is in breach of the protocol, he/she should raise the matter first with the Civic Head or the Leader of the Council, whoever is not the subject of the allegation.

4.2 If the Chief Executive is not satisfied after these meetings, he/she may proceed to Stage 2 by referring the matter to the Standards Committee in accordance with the Complaints Procedure for Standards Committee with the substitution of the Monitoring Officer for the Chief Executive in that procedure.

Note: Nothing in this Protocol shall affect the right of any person to refer the matter to the Standards Commission for Scotland.

Breach of Protocol - Councillors as Complainants (against Councillors)

Where any Councillor is alleged to have breached this protocol the following procedure will apply. The procedure is in two stages with the aim of achieving a satisfactory outcome for:

the person alleging the breach of the protocol
the Councillor alleged to have breached the protocol.

The informal stage must always be used and only if this fails to produce a satisfactory outcome will the second, formal, stage be invoked.

Stage 1 (Informal)

1. The Councillor who alleges the breach of protocol (the Complainant) will discuss the issue with the Councillor who is alleged to be in breach of this protocol (the Defendant).

2. If the Complainant is not able or willing to speak to the Defendant directly, he/she will approach the leader of his/her political group who will try to resolve the issue through discussion with both parties, first separately and then together. It must be recognised by the Leader of the political group and the two parties that more than one meeting may be required to achieve a satisfactory outcome.

3. If the Complainant is not satisfied with the outcome of the meeting(s), he/she will raise the matter with either the Civic Head or the Leader of the Council, who will try to resolve the complaint by speaking to both parties separately and then together.

4. The Defendant may request his/her group leader to assist. If the Complainant is a member of the same political group as the Defendant, either party may request the assistance of any other elected member.

5. If the political group leader is the subject of the allegation, the Civic Head or Leader of the Council will assist the Complainant to achieve an informal resolution of the complaint.

6. If a resolution has not been achieved in accordance with para 2, the Complainant will raise the matter with either the Civic Head or the Leader of the Council (whoever was not previously involved) and the process in para 3 above will apply:

7. If the Complainant is not satisfied after the intervention of the Civic Head/Leader of the Council, he/she may proceed to Stage 2.

8. If the Civic Head/Leader of the Council finds that there has been a breach of protocol, but this is disputed by the Defendant, Stage 2 will be invoked.

9. If it is alleged that the Civic Head or the Leader of the Council are in breach of the protocol:

a) informal discussions will take place between both parties, accompanied by their political group leaders.

b) if the complaint against the Civic Head/Leader of the Council is not resolved in accordance with para 9 a) a final attempt at informal resolution will be facilitated by either the Civic Head or Leader of the Council, whoever is not the subject of the complaint.

c) if the complaint against the Civic Head/Leader of the Council is not resolved in accordance with para 9 b) the matter will proceed to Stage 2.

Stage 2 (Formal)

2. The Complainant will raise the matter formally with the Council's Chief Executive in accordance with the Complaints Procedure for the Standards Committee.

Note: Nothing in this Protocol shall affect the right of any person to refer the matter to the Standards Commission for Scotland.

Concerns/complaints by Councillors about Employees

1. If a Councillor has a concern/complaint about any employee (other than Heads of Service, Directors and the Chief Executive) he/she will raise it with the Head of Service who will deal with it in accordance with the appropriate Council procedure.

2. If a Councillor has a concern/complaint about a Head of Service he/she will raise it with the Director who will deal with it in accordance with the appropriate Council procedure.

3. If a Councillor has a concern/complaint about a Director he/she will raise it with the Chief Executive who will deal with it in accordance with the appropriate Council procedure.

4. If a Councillor has a concern/complaint about the Chief Executive he/she will raise the matter with the Leader of the Council who will appoint a group of three Councillors to carry out preliminary and careful investigation. As part of the investigation the Councillors will:

interview the Chief Executive who has the right to be represented by his/her trade union or some other person of his/her choice;
interview the Councillor who has raised the concern/complaint who may be accompanied by a person of his/her choice.

Following this preliminary investigation, the investigating Councillors will report back to the Leader of the Council recommending either:

(a) That the matter be dealt with in accordance with the nationally agreed disciplinary procedure for Chief Executives or other locally agreed disciplinary procedure
or
(b) That no further action be taken.

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