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HR decision maker guide

DWP/BB/108/06

Principles for decisions

DWP agreed to retain and publish basic principles for decision making in a decision makers guide. This guide merges the test of reasonableness from the previous grievance procedures and the disciplinary guidance into a single document. This document should support DWP managers in the delivery of fair and reasonable decisions. You can access the decision makers guide from the tools menu on the right hand side of the intranet HR home page. This circular outlines key issues from the guidance.

Making fair decisions

A major problem with previous guidance was that decision making principles were mainly published in the grievance procedures. This led some managers to believe that the basic principles only applied after the decision was made and when a grievance was raised. The decision makers guide now provides the clarity needed that certain basic principles apply when making decisions. These are listed under paragraph 2.2. Managers are expected to make decisions that:

  • comply with policy
  • are procedurally correct
  • take account of the employee’s circumstances
  • are legal
  • satisfy the principles of natural justice
  • are reasonable and fair (this does not mean always giving people what they want)
  • are your responsibility
  • can be clearly explained and justified.

A glossary of HR terms is provided to help managers understand the terms used in decision making. Decision making criteria are provided for managers as decision makers (para 4) and appeal managers when reviewing decisions (para 5).

Decision making criteria

When making a decision managers are advised under para 4.2 that they should:

  • Define the objective – what are you trying to achieve?
  • Identify the options – if there are no options there is no decision to make.
  • Consider the options – what are the pros and cons?
  • Weigh the options – the ‘what if?’ stage.
  • Consider the impact – ask yourself what is the impact of decisions on others and the business?
  • Make the decision – assemble facts and decide.
  • Implement the decision – carry out the chosen option.
  • Monitor – have you made the best decision?
  • Take any remedial action – do you need to change your mind?
  • Provide a clear written audit trail – does it fully support the decision making process?
  • Communicate decisions without delay to relevant interested parties.

Review/appeal criteria

Appeal managers when reviewing a decision are advised under para 5.2 that they should consider:

  • Did the manager making the decision take into account all circumstances when making the decision?
  • Was the decision properly founded on good reason, was it fair, rational and sound?
  • Was the decision properly explained to the employee?
  • Did the employee have full opportunity to put their case to the decision maker?
  • Was the employee treated less fairly than others?
  • Has consideration been given to any new evidence?

Appeal managers are also advised that if the appeal is against disciplinary penalties they must also be satisfied that:

  • the principles of natural justice have been followed
  • the penalty imposed was consistent
  • that they have made an unbiased review of the original decision. A fair review process corrects procedural defects.

Glossary of HR terms

The glossary provides an alphbetical list of 16 definitions of HR terms:

  1. Balance of probabilities
  2. Bullying
  3. Condoning the offence
  4. Constructive dismissal
  5. Decision to dismiss
  6. Discretion
  7. Discrimination
  8. Double jeopardy
  9. Harassment
  10. Legality
  11. Natural justice
  12. Objectivity
  13. Prejudgement
  14. Procedural correctness
  15. Reasonableness
  16. Victimisation

There is room for improvement in the way some of these terms are defined, for example natural justice is not narrowly confined to determining disputes or the disciplinary process but should be a fundamental requirement of all administrative decision making that affects an employee’s personal case. The two principal rules of natural justice are:

  • No-one should be a decision maker in their own cause. This means that any decision, however fair it may seem, should be deemed invalid if made by a person with any financial or other interest in the outcome or any known bias that may have affected their impartiality.
  • A decision cannot stand unless the person directly affected by it was given a fair opportunity both to state their case and to know and answer the other side’s case.

The first requirement of natural justice is covered in the definition of objectivity (item 12) in the glossary.

When employees challenge decisions using the grievance procedures, the requirements of natural justice, objectivity, procedural correctness and reasonableness may have a decisive influence in favour of the employee.

Evidence for review

All DWP HR decisions must be fair and reasonable, clearly explained and justified, comply with policy, be legal, procedurally correct and satisfy the principles of natural justice.

Evidence of problems with the application of the decision makers guide should be provided to group office. Evidence from branches will be essential for PCS to achieve improvements.