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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Staff References Policy

1. Purpose

This policy sets out the arrangements of {{org_field_name}} for obtaining, verifying, considering, providing and retaining employment reference information in connection with the recruitment and continued suitability of persons engaged to work in the service.

The policy supports compliance with Regulation 19 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, including the information requirements contained in Schedule 3. {{org_field_name}} will operate effective recruitment procedures and will take appropriate steps to establish that persons employed for the purposes of carrying on a regulated activity are of good character, have the qualifications, competence, skills and experience necessary for the work they are to perform and are able, after any reasonable adjustments have been made, to perform tasks intrinsic to their role.

Reference checks form part of the wider safer recruitment process and must not be considered in isolation. They will be considered alongside the applicant’s full employment history, satisfactory written explanations for relevant gaps in employment, appropriate Disclosure and Barring Service checks where the role is eligible, identity and qualification checks, professional registration where required and other information required by Schedule 3 or by other applicable legislation.

Where a person has previously worked in health or social care, or in work involving children or vulnerable adults, {{org_field_name}} will obtain satisfactory evidence of their conduct in that employment so far as required by Schedule 3. Where previous duties involved work with children or vulnerable adults, {{org_field_name}} will also seek satisfactory verification, so far as reasonably practicable, of the reason why that employment or position ended.

The requirement in Schedule 3 to obtain a full employment history does not apply to an ordinary volunteer, unless the volunteer is also a person to whom the applicable requirements concerning a service provider, director or registered manager apply. {{org_field_name}} may nevertheless request employment history from a volunteer where this is considered necessary and proportionate to assess suitability for the particular role.

The purpose of these arrangements is to prevent unsuitable persons from being engaged, protect people using the service from avoidable harm and ensure that recruitment and ongoing employment decisions are evidence based, lawful, fair and properly recorded.

2. Scope

This policy applies to persons employed or engaged for the purposes of carrying on a regulated activity at {{org_field_name}}, including:

• permanent and fixed-term employees;
• full-time and part-time employees;
• bank and temporary workers;
• agency workers;
• contractors and other persons engaged to provide services; and
• volunteers, subject to the specific statutory provisions applying to volunteer employment histories.

For the purposes of Regulation 19, the meaning of employment is wider than employment under a contract of employment and can include agency workers, contractors and persons providing their services voluntarily.

Where recruitment or pre-employment checks are undertaken on behalf of {{org_field_name}} by an employment agency, recruitment organisation or other third party, responsibility for compliance is not transferred to that third party. {{org_field_name}} must obtain sufficient assurance that all checks required for the person’s role have been completed and are satisfactory before the person is permitted to undertake work for which those checks are required.

This policy covers both the obtaining and assessment of information relating to applicants and workers and the provision of employment references by {{org_field_name}} concerning current or former workers.

3. Legal and Regulatory Framework

{{org_field_name}} will apply this policy with regard to the following legislation and regulatory requirements, as applicable:

• Health and Social Care Act 2008: This establishes the statutory framework for the regulation of health and adult social care services in England.
• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 19: Fit and Proper Persons Employed: Persons employed for the purposes of carrying on a regulated activity must be of good character; have the necessary qualifications, competence, skills and experience; and be able, after reasonable adjustments are made, to properly perform tasks intrinsic to their work. Effective recruitment procedures must be established and operated, and prescribed information must be available in relation to persons employed.
• Schedule 3 to the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014: This specifies information that must be available in relation to persons employed, subject to the statutory exceptions. Relevant requirements include proof of identity, appropriate criminal-record information where required, satisfactory evidence of conduct in specified previous employment, verification of the reason relevant previous employment ended, relevant qualification evidence, a full employment history with satisfactory written explanations of gaps, and relevant information concerning capability to perform intrinsic tasks after reasonable adjustments.
• Regulation 19(5): Where a person employed no longer satisfies the fitness requirements in Regulation 19(1), {{org_field_name}} must take necessary and proportionate action. Where the person is a healthcare professional, social worker or other professional registered with a health or social care regulator, the relevant regulator must be informed where Regulation 19(5) requires this.
• Safeguarding Vulnerable Groups Act 2006, Police Act 1997 and associated Disclosure and Barring Service legislation: Criminal-record and barred-list checks will only be requested at the level for which the particular role and activities are legally eligible. Where {{org_field_name}} is under a statutory duty to make a referral to the Disclosure and Barring Service, the referral will be made in accordance with the applicable legal requirements.
• Equality Act 2010: Recruitment, reference checking and employment decisions must not unlawfully discriminate because of a protected characteristic. Health information and reasonable adjustments will be considered in accordance with the Equality Act 2010, and decisions will focus on the person’s ability to carry out tasks intrinsic to the role after reasonable adjustments have been considered.
• Data Protection Act 2018 and UK General Data Protection Regulation: Personal information obtained, recorded, used or disclosed through reference and recruitment processes must be processed lawfully, fairly and transparently; limited to what is necessary; accurate; retained for no longer than necessary; and protected by appropriate security measures.

4. Obtaining References and Employment Information for New Workers

{{org_field_name}} will obtain and verify sufficient information before a person commences employment or engagement to demonstrate compliance with Regulation 19 and the applicable requirements of Schedule 3.

The following requirements will apply:

• Applicants for paid employment will normally be required to provide a minimum of two references, including a reference from their most recent employer. This is an organisational safer recruitment requirement and does not replace any specific evidence required under Schedule 3.
• A full employment history must be obtained for persons to whom the Schedule 3 employment-history requirement applies. The history must account for the person’s employment and self-employment history and must include sufficient dates to identify the relevant periods.
• Any gaps in the employment history must be identified and a satisfactory written explanation obtained and retained. Explanations must be considered as part of the assessment of the person’s suitability rather than being accepted without appropriate scrutiny where concerns arise.
• The Schedule 3 requirement for a full employment history does not apply to an ordinary volunteer unless the volunteer is also within a category for which the regulations retain that requirement. {{org_field_name}} may request employment history from other volunteers where necessary and proportionate to the role.
• Where an applicant has previously been employed in work concerned with the provision of health or social care, or work involving children or vulnerable adults, satisfactory evidence of the applicant’s conduct in that employment must be obtained so far as required by Schedule 3. A conventional employer reference may provide this evidence, but other reliable documentary evidence may also be considered where appropriate.
• Where an applicant has previously been employed in a position whose duties involved work with children or vulnerable adults, {{org_field_name}} must obtain, so far as reasonably practicable, satisfactory verification of the reason why that employment or position ended.
• Where information required by Schedule 3 cannot be obtained, the Recruitment Team must record the reasonable attempts made to obtain it, the reason it was unavailable, any alternative evidence considered and the assessment undertaken before any decision is made to permit the person to work.
• Where there is no previous employment history, appropriate alternative evidence may be sought to assist with the assessment of good character and suitability. This may include information from an educational establishment or another appropriate professional source. Alternative information must not be treated as replacing a statutory Schedule 3 requirement where that requirement is applicable.
• References and other evidence must be checked for authenticity and consistency. Where appropriate, the referee’s identity, position and relationship to the applicant must be confirmed using independently obtained contact information rather than relying solely on contact details supplied by the applicant.
• References must be considered against the information given in the application, employment history and interview. Material discrepancies, unexplained omissions, conflicting dates, unexplained gaps or concerns about conduct must be investigated and resolved satisfactorily before the recruitment decision is finalised.
• Relevant qualifications must be supported, so far as reasonably practicable, by satisfactory documentary evidence where required by Schedule 3. Where professional registration is legally required for the work or professional title, its current status must be checked with the relevant professional regulator.
• The appropriate Disclosure and Barring Service check must be obtained where required and where the role is legally eligible for that level of check. The level of DBS check will be determined by the duties and legal eligibility of the role and will not be increased simply because a reference is unsatisfactory.
• Where the person’s role requires information about their ability, after reasonable adjustments, to perform tasks intrinsic to the role, this information will be considered in accordance with Regulation 19, Schedule 3 and the Equality Act 2010.
• All information required by Schedule 3 that applies to the person must be confirmed before the person is employed or deployed, subject only to any lawful exception or process permitted by the applicable legislation and CQC requirements.
• Where a reference, employment-history check or other pre-employment information raises concerns, the Registered Manager or other authorised senior manager must assess the information before a final decision is made. The assessment and reasons for the decision must be recorded.

5. Providing References for Current and Former Workers

Employment references issued by {{org_field_name}} must be lawful, accurate, fair and not misleading.

All formal reference requests must be handled by persons authorised by {{org_field_name}} to provide employment references.

Personal information contained in a reference will only be processed and disclosed where there is an appropriate lawful basis under UK data protection legislation. Consent will not automatically be treated as the only lawful basis for providing a reference. Where consent is relied upon, it must meet the applicable legal requirements for valid consent.

The information provided will be limited to information that is relevant, appropriate and capable of being supported by the organisation’s records. References may include dates of employment, positions held and other appropriate factual information in accordance with the reference request and organisational procedure.

Where information about conduct, performance, disciplinary matters, safeguarding matters or other concerns is included, it must be based on accurate records and presented fairly. Allegations must not be presented as established facts, and relevant context must be provided where omission of that context would make the reference misleading.

Information about sickness absence, disability or health will not be disclosed routinely. Any disclosure of such information must have a lawful basis, be necessary and proportionate and comply with data protection and equality legislation.

{{org_field_name}} will not provide information that it knows to be false, inaccurate or misleading and will not deliberately omit material information where the omission would make information that is provided misleading.

Safeguarding information will only be disclosed where disclosure is lawful, necessary and proportionate, including where a statutory safeguarding, regulatory or Disclosure and Barring Service obligation requires information to be supplied. The fact that a safeguarding concern or allegation was raised will not, by itself, be treated as proof that misconduct occurred.

Where {{org_field_name}} has a statutory duty to refer a person to the Disclosure and Barring Service or to notify a professional regulator or safeguarding authority, this will be dealt with through the applicable safeguarding, disciplinary and regulatory procedures and will not depend upon receipt of a future employment reference request.

A record of significant reference information provided by {{org_field_name}} will be retained in accordance with the organisation’s data retention arrangements.

6. Managing Reference Requests

• All reference requests must be directed to the Management to ensure consistency and compliance with legal standards.
• Verbal references are not permitted; all references must be provided in writing to maintain accuracy and accountability.
• Confidentiality and data protection laws will be adhered to, ensuring that references are shared securely and only with authorised parties.
• {{org_field_name}} reserves the right to refuse reference requests that do not comply with legal or organisational guidelines. If a reference is denied, the requesting party will be informed in writing.

7. Staff Responsibilities

Recruitment Team

The Recruitment Team is responsible for:

• obtaining references and other employment information required by this policy;
• obtaining the full employment history and satisfactory written explanations for gaps where the Schedule 3 requirement applies;
• identifying previous employment in health or social care or work involving children or vulnerable adults;
• obtaining satisfactory evidence of conduct in relevant previous employment;
• seeking verification, so far as reasonably practicable, of why previous employment involving children or vulnerable adults ended;
• checking information for consistency and authenticity;
• escalating discrepancies, adverse information or information that cannot be verified; and
• maintaining clear records demonstrating that required checks were completed before employment or deployment.

Human Resources

The HR Department is responsible for:

• managing formal outgoing reference requests;
• ensuring that personal information used in references is processed and disclosed lawfully;
• ensuring references provided on behalf of {{org_field_name}} are accurate, fair and not misleading;
• supporting risk assessment and employment processes where adverse information is identified; and
• maintaining reference information in accordance with applicable confidentiality and retention requirements.

Registered Manager

The Registered Manager is responsible for:

• ensuring that effective recruitment arrangements are operated in the service;
• reviewing and deciding upon cases where references, employment history or other suitability information raises concerns;
• ensuring that the reasons for decisions are documented, particularly where a person is considered suitable despite adverse or potentially adverse information;
• ensuring appropriate interim or permanent action is taken where information received after appointment calls a person’s continuing fitness into question; and
• ensuring required referrals or notifications to professional regulators, safeguarding authorities or the Disclosure and Barring Service are made where applicable.

Managers Engaging Agency Workers or Contractors

Managers who engage agency workers, contractors or other externally supplied personnel must ensure that {{org_field_name}} receives sufficient assurance that all checks required for the role are complete and satisfactory before the person is deployed.

All Staff

Staff involved in recruitment or reference processes must:

• provide and record information honestly and accurately;
• maintain confidentiality;
• immediately report suspected falsification, material discrepancies or safeguarding concerns; and
• comply with this policy and related recruitment, safeguarding, disciplinary and data protection procedures.

8. Reference Storage and Confidentiality

• References will be stored in secure personnel files for the duration of employment and in line with data retention policies. Access will be limited to authorised personnel only.
• References will be retained for a period of six years post-employment to comply with legal and regulatory requirements, after which they will be securely destroyed.
• Access to reference information is restricted to authorised personnel only, ensuring confidentiality and protection against misuse.

9. Addressing Unsatisfactory References or Other Adverse Information

A reference that contains adverse information, is incomplete or conflicts materially with other recruitment information must not automatically result in either rejection or appointment. The information must be assessed objectively in the context of the requirements of the role, Regulation 19 and the protection of people using the service.

Where concerns arise:

• the concern and its relevance to the role must be identified;
• reasonable steps must be taken to verify the information;
• the applicant should normally be given an appropriate opportunity to provide relevant clarification or evidence, subject to any overriding safeguarding or legal restriction;
• further references or other lawful evidence may be sought where necessary to resolve the concern;
• any additional Disclosure and Barring Service check must only be requested where the role is legally eligible for that level of check and must not be requested at a higher level merely because a reference has raised concerns;
• where required information cannot be obtained, the attempts made to obtain it and any alternative evidence considered must be documented;
• the potential risk to people using the service must be assessed;
• the Registered Manager or authorised senior manager must make and document the final suitability decision; and
• where the applicant is appointed despite adverse or potentially adverse information, the record must clearly explain why the information does not prevent the person from meeting the fitness requirements of Regulation 19 and must identify any proportionate safeguards or monitoring arrangements required.

A person must not be appointed or deployed where the available information establishes that they do not meet the applicable requirements of Regulation 19 and the risk cannot be addressed through lawful and proportionate action.

10. Agency Workers, Contractors and Checks Undertaken by Third Parties

Where an employment agency, recruitment business, contractor or other third party carries out recruitment or pre-employment checks on behalf of {{org_field_name}}, {{org_field_name}} remains responsible for assuring itself that the person supplied is suitable to undertake the work.

Before deployment, {{org_field_name}} must obtain sufficient confirmation that all checks applicable to the individual’s role have been completed and are satisfactory, including relevant Schedule 3 information and the appropriate Disclosure and Barring Service and professional-registration checks where applicable.

Assurance must be sufficiently detailed to enable {{org_field_name}} to demonstrate compliance with Regulation 19. A general statement that an individual has been “fully vetted” will not be relied upon where it does not provide sufficient assurance about the checks required for the role.

Where information supplied by a third party is incomplete, inconsistent or raises concerns, the person must not be deployed in circumstances requiring the outstanding assurance until the concern has been appropriately resolved.

Records of the assurance obtained and any action taken must be retained in accordance with {{org_field_name}}’s record-keeping arrangements.

11. Ongoing Fitness and Information Received After Appointment

Compliance with Regulation 19 continues after recruitment.

{{org_field_name}} must respond appropriately where information received after appointment indicates that a member of staff, agency worker, contractor or other person employed for the purposes of the regulated activity may no longer:

• be of good character;
• have the qualifications, competence, skills or experience necessary for their work; or
• be able, after reasonable adjustments, to properly perform tasks intrinsic to their role.

Information relevant to continuing fitness may arise through a subsequent employment reference enquiry, disclosure by the worker, safeguarding concern, disciplinary process, professional-regulator information, criminal investigation, DBS information, complaint or another reliable source.

Concerns must be considered without unnecessary delay. Where there may be an immediate risk to people using the service, appropriate interim measures must be taken immediately to protect them while the matter is investigated.

Any investigation or employment action must be fair, proportionate and carried out in accordance with the applicable disciplinary, safeguarding, whistleblowing and employment procedures.

Where the person no longer meets the requirements of Regulation 19(1), {{org_field_name}} must take such action as is necessary and proportionate to ensure compliance.

Where the person is a healthcare professional, social worker or other professional registered with a health or social care regulator, {{org_field_name}} must inform the relevant regulator where required by Regulation 19(5) or other applicable legislation or professional requirements.

Where the statutory conditions for a referral to the Disclosure and Barring Service are met, {{org_field_name}} must make the required referral. Ending employment, accepting a resignation or the person leaving before a disciplinary process is completed does not remove a statutory duty to make a DBS referral where the legal referral conditions are satisfied.

Decisions, investigations, risk assessments, referrals and actions arising under this section must be appropriately documented.

12. Related Policies

• CH02-Fit and Proper Persons: Employed Staff Policy
• CH26-Recruitment, Selection, and Retention Policy
• CH27-Staff Supervision, Training, and Development Policy
• CH31-Disciplinary and Grievance Policy
• CH34-Confidentiality and Data Protection (GDPR) Policy

13. Policy Review

• This policy will be reviewed annually or sooner if legislation changes or business needs require updates.
• Amendments will be made to ensure ongoing compliance with CQC regulations, employment law, and best recruitment practices.
• Regular audits will be conducted to ensure the effectiveness of reference checks and their role in safeguarding individuals in our care.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.