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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Staff References Policy

1. Purpose

The purpose of this policy is to establish a clear and consistent approach to obtaining and providing staff references within {{org_field_name}}. This policy ensures that all reference checks are conducted in compliance with the latest Care Inspectorate Wales (CIW) regulations, the Regulation and Inspection of Social Care (Wales) Act 2016, and relevant employment legislation. By implementing a robust reference-checking process, we aim to ensure the suitability, integrity, and competence of all staff members, thereby maintaining a high standard of care for residents.

2. Scope

This policy applies to all persons who are being considered for, or who undertake, work at {{org_field_name}} where the requirements of Regulation 35 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, apply.

This includes:

• permanent, fixed-term, full-time and part-time employees;
• workers and persons engaged under a contract for services;
• temporary and agency workers;
• volunteers; and
• any other person working at the service in a position in which they may, in the course of their duties, have regular contact with individuals receiving care and support or with other persons who are vulnerable.

The policy covers the requesting, obtaining, checking, verifying, recording and secure retention of references and associated employment-history information required to establish a person’s fitness to work at the service.

Where agency staff are used, {{org_field_name}} will obtain evidence that the required recruitment and vetting checks have been completed to the same required standard and will have arrangements in place to assure itself that the supplying agency operates reliable and robust checking procedures.

This policy also applies where {{org_field_name}} receives a request to provide an employment reference concerning a current or former worker. Any reference provided by {{org_field_name}} will be handled in accordance with applicable employment and data-protection legislation and will not replace any separate safeguarding, regulatory or statutory reporting obligation.

3. Related Policies

This policy should be read alongside the following policies:

• CHW26 – Recruitment, Selection, and Retention Policy: Ensuring robust hiring procedures that include reference checks.
• CHW27 – Staff Supervision, Training, and Development Policy: Verifying past experience for role suitability.
• CHW31 – Disciplinary and Grievance Policy: Considering past disciplinary records in reference checks.
• CHW30 – Equality, Diversity, and Inclusion Policy: Preventing bias in hiring and reference provision.
• CHW34 – Confidentiality and Data Protection (GDPR) – Service User Policy: Ensuring secure handling of reference information.

4. Policy Statement

{{org_field_name}} is committed to ensuring that all employees are appropriately vetted through a transparent and legally compliant reference-checking process. We recognise that employment references play a critical role in confirming an individual’s suitability for a role in the care sector, where safety, trust, and professionalism are paramount. As such, we maintain rigorous procedures to obtain, verify, and provide references that reflect a candidate’s past performance, reliability, and conduct.

5. Obtaining References

{{org_field_name}} will operate a rigorous reference and employment-verification process as part of determining whether a person is fit to work at the service in accordance with Regulation 35 and Schedule 1 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

The following requirements apply:

• Two written references: Two written references must be obtained in respect of each person to whom the Regulation 35 fitness requirements apply. Where the person has a previous employer, one of the two references must be from their last employer.
• Last employer: Where an applicant has previously been employed, a reference from the last employer must not be replaced by a character reference simply because another referee is easier to obtain.
• Applicants without previous employment: Where an applicant has no previous employer, appropriate written references must still be obtained. These may include references from a suitable person who is able to provide relevant and reliable information about the applicant’s character, conduct, reliability or suitability.
• Verification of previous work with children or vulnerable adults: Where an applicant has previously worked in a position whose duties involved work with children or vulnerable adults, {{org_field_name}} will, so far as reasonably practicable, verify the reason why that employment, engagement or position ended. This verification will be recorded as part of the recruitment record.
• Employment history: A full employment history must be obtained from the applicant together with a satisfactory written explanation of any gaps in employment. Information contained within references will be checked against the employment history supplied by the applicant and any unexplained discrepancy will be investigated before the person is accepted as fit to work at the service.
• Verification of references: References must be checked for authenticity and veracity. Wherever reasonably practicable, references will be obtained directly from the referee or organisation using independently verified contact details rather than relying solely on contact information supplied by the applicant. The identity and authority of the person providing the reference will be checked where necessary.
• Content relevant to fitness: Reference information will be considered alongside the other information required under Regulation 35 and Schedule 1 when determining whether the person is of suitable integrity and good character and has the qualifications, skills, competence and experience necessary for the work they are to perform.
• Safeguarding and previous conduct: Where relevant to the person’s previous work with children or vulnerable adults, enquiries will seek sufficient information to enable {{org_field_name}} to verify the reason the previous employment or position ended and to identify information relevant to the person’s suitability and fitness to undertake the proposed role.
• Discrepancies or concerns: Any discrepancy, inconsistency, unexplained omission, adverse information or concern identified through a reference or employment-history check must be considered and resolved, so far as reasonably practicable, before a final decision is made that the person is fit to work at the service. The decision and the reasons for it must be documented where a concern has required assessment.
• Completion before work begins: A person must not be employed, engaged or allowed to work in a role to which Regulation 35 applies until {{org_field_name}} is satisfied that the applicable fitness requirements have been met and the full and satisfactory information or documentation required by Schedule 1 is available at the service for inspection by Care Inspectorate Wales.
• Agency workers: Where an agency worker is deployed, {{org_field_name}} will ensure that the worker has been subject to the required checks and will retain appropriate evidence demonstrating that those checks have been undertaken. {{org_field_name}} will also have a process for assuring itself that the supplying agency is reliable and robust in carrying out the required checks.
• Volunteers and other relevant persons: The applicable reference and fitness requirements will also be applied to volunteers and any other person covered by Regulation 35. A person will not be permitted to commence relevant duties merely because they are unpaid or are engaged under an arrangement other than a contract of employment.

6. Providing References

{{org_field_name}} will ensure that any reference it provides concerning a current or former worker is fair, accurate, relevant and based upon information that the organisation can substantiate.

The following requirements apply:

• Authorisation: References may only be issued by persons authorised by {{org_field_name}}, such as the Registered Manager, Responsible Individual or authorised HR personnel, in accordance with the organisation’s arrangements.
• Accuracy: Information included in a reference must be accurate and must not give a misleading impression. Factual information will be checked against the organisation’s records before the reference is issued.
• Content: Where {{org_field_name}} provides a reference, the information provided may include factual employment information such as dates of employment or engagement, position held and other information which {{org_field_name}} has decided it is appropriate and lawful to disclose.
• Conduct or disciplinary information: Conduct, disciplinary, safeguarding or other adverse information will only be included where its disclosure is lawful, relevant, fair, accurate and capable of being substantiated. Information must not be presented in a misleading manner and appropriate account must be taken of the outcome and status of any investigation or disciplinary process.
• Data protection: Personal information contained in, or processed for the purpose of providing, a reference will be handled in accordance with applicable data-protection legislation, including the UK General Data Protection Regulation and the Data Protection Act 2018, as amended. {{org_field_name}} will identify an appropriate lawful basis for the processing and disclosure of personal information. Consent will not be treated as the only possible lawful basis where another lawful basis properly applies.
• Confidential references: Where a reference is requested or provided on a confidential basis, this will be made clear, and confidential references will be handled in accordance with the applicable provisions of data-protection legislation.
• Safeguarding and statutory referrals: Providing an employment reference does not replace any separate legal obligation to make a safeguarding referral, a referral to the Disclosure and Barring Service, a referral to Social Care Wales or another professional regulator, or a notification to Care Inspectorate Wales. Where a statutory or regulatory referral or notification is required, {{org_field_name}} will make that referral or notification separately and within the applicable requirements.
• Safeguarding information in references: Where a reference request seeks information concerning safeguarding or the circumstances in which previous employment or engagement ended, {{org_field_name}} will consider what information it is lawful, fair, relevant and necessary to disclose, taking account of the facts and outcome of any relevant process and any applicable statutory or regulatory obligation.
• Record of references provided: {{org_field_name}} will maintain an appropriate record of references issued in accordance with its data-protection and record-management arrangements.

7. Managing and Recording the Reference Process

To ensure compliance with the requirements applicable to recruitment, fitness of staff and regulatory records, {{org_field_name}} will maintain clear and secure arrangements for managing the reference process.

These arrangements include:

• Standardised reference requests: A consistent reference-request process will be used to obtain the information required to support the assessment of a person’s fitness and suitability to work at the service.
• Tracking: {{org_field_name}} will maintain a record showing references requested, references received, verification undertaken, outstanding enquiries and any action required before a person is permitted to commence relevant duties.
• Verification records: Where the authenticity or content of a reference has been verified, including verification of the reason why previous employment or a position involving children or vulnerable adults ended, an appropriate record of the verification and its outcome will be retained.
• Copies of references: A copy of each reference obtained in respect of a person working at the service must be retained as part of the records required for persons working at the service.
• Employment-history information: The person’s full employment history, written explanations for employment gaps and relevant records showing how discrepancies or concerns were considered will be maintained with the recruitment documentation as appropriate.
• Agency-worker evidence: Where an agency worker is used, evidence that the required checks have been undertaken will be retained or otherwise be available to {{org_field_name}} so that the service can demonstrate that it has assured itself of the worker’s suitability and of the robustness of the agency’s checking arrangements.
• Security: References and associated recruitment information contain personal information and will be kept securely, with access limited to authorised persons in accordance with the organisation’s data-protection and records-management arrangements.
• Regulatory availability: Information and documentation required under Regulation 35 and Schedule 1 must be available at the service for inspection by Care Inspectorate Wales, and records required under Regulation 59 and Schedule 2 will be made available to the service regulator on request.
• Review: Reference and recruitment procedures will be reviewed when relevant legislation, statutory guidance or regulatory requirements change so that the service continues to comply with its legal obligations.

8. Responsibilities

• Prospective Employees: Must provide accurate referee details and consent to reference checks.
• Recruitment Team: Responsible for requesting, verifying, and securely storing references.
• Registered Manager: Ensures compliance with CIW standards and oversees any safeguarding-related disclosures.
• HR Department: Manages reference requests from external organisations regarding former employees and ensures GDPR compliance.

9. Compliance with CIW Regulations

This policy aligns with CIW’s expectations, including:

• Ensuring a robust vetting process to confirm the suitability of all employees.
• Maintaining records of all reference checks for inspection purposes.
• Providing accurate and lawful references that reflect an employee’s conduct and history in the care sector.
• Supporting safeguarding by disclosing relevant concerns in line with regulatory requirements.

10. Policy Review

This policy will be reviewed annually or in response to changes in legislation, CIW guidelines, or operational needs. Any updates will be communicated to all relevant staff to ensure continued adherence to best practices.

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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}}
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