DC93-Staff References Policy

Registration Number: {{org_field_registration_no}}

Staff References Policy

1. Purpose and Commitment

The purpose of this policy is to outline how {{org_field_name}} manages staff references accurately, fairly, consistently and responsibly. References form an important part of safe recruitment and help the organisation assess the suitability of individuals employed to provide care and support.

{{org_field_name}} is committed to obtaining appropriate employment information during recruitment and to ensuring that any references it provides are fair, accurate and based on information that can be substantiated.

This policy supports compliance with the Health and Social Care Act 2008, the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, including Regulation 19 and Schedule 3, Care Quality Commission (CQC) requirements, the UK General Data Protection Regulation (UK GDPR) and the Data Protection Act 2018, as amended by the Data (Use and Access) Act 2025.

Our approach is designed to:

Support safe and effective recruitment.
Obtain appropriate evidence of an applicant’s previous employment and conduct where required.
Identify and appropriately investigate concerns or discrepancies arising from references.
Ensure that references provided by {{org_field_name}} are fair, accurate and not misleading.
Protect personal information and maintain appropriate confidentiality.
Support the recruitment of fit and proper persons in accordance with CQC requirements.

2. Scope

This policy applies to all employees, including care staff, administrative staff, volunteers, and contractors associated with {{org_field_name}}. It covers:

Requests for references from prospective employers of current or former staff.
References requested by {{org_field_name}} during recruitment.
Verbal and written references.
Confidentiality and data protection practices related to reference management.

The policy applies across all areas of the organisation and ensures consistency in providing and obtaining references while adhering to best practices and legal frameworks.

3. Policy Statement

{{org_field_name}} is committed to managing staff references in a way that upholds integrity, accuracy, and confidentiality. We will:

Provide factual, job-related references that reflect an individual’s employment history and conduct.
Ensure references requested from external employers are verified and reliable.
Protect the privacy and confidentiality of staff when handling reference information.
Address any issues of concern identified through references in a fair and transparent manner.

We believe that a robust reference process supports safe recruitment, protects service users, and promotes a trustworthy care environment.

4. Providing References

4.1 Types of References Provided

{{org_field_name}} provides two types of references:

Basic Reference: Confirms dates of employment, job title, and, if requested, reason for leaving.
Detailed Reference: Includes additional information such as job performance, conduct, reliability, and suitability for future roles. This type of reference is provided only with written consent from the employee.

4.2 Process for Providing References To ensure consistency and accuracy:

All reference requests must be directed to the HR department.
HR verifies the identity of the requesting organisation before providing a reference.
References are provided in writing, using company letterhead, to maintain professionalism and traceability.
Verbal references are discouraged but, if necessary, must be documented.

4.3 Fairness and Accuracy

We ensure that all references:

Are based on factual information from employment records.
Reflect the employee’s conduct and performance without personal opinions.
Avoid misleading or incomplete information that could unfairly disadvantage the individual.

4.4 Consent

We only provide detailed references with the written consent of the employee. This ensures compliance with GDPR and protects employee rights.

5. Requesting References During Recruitment

5.1 Reference Requirements

During recruitment, we request at least two references for all prospective employees. These include:

One reference from the most recent employer.
A second reference from a previous employer or character reference if employment history is limited.

5.2 Verification Process

To ensure authenticity and accuracy:

HR verifies the referee’s identity and organisation.
References are requested in writing using a standardised template.
Any discrepancies or concerns are followed up with the referee for clarification.

5.3 Reference Content

Requested references cover:

Employment dates and job role.
Attendance and reliability.
Conduct, professionalism, and adherence to policies.
Any safeguarding concerns or disciplinary actions.

6. Managing Unsatisfactory References

6.1 Identifying Concerns

If a reference raises concerns about a candidate’s suitability, HR will:

Review the information thoroughly.
Discuss concerns with the candidate, allowing them to provide context.
Conduct further checks if necessary.

6.2 Decision-Making

Employment decisions are based on:

The nature and seriousness of concerns.
The relevance to the job role.
The candidate’s explanation and any supporting evidence.

If concerns remain unresolved, the job offer may be withdrawn to protect service users and the organisation.

7. Confidentiality and Data Protection

7.1 Privacy and Security

Reference information contains personal information and must be handled securely and confidentially in accordance with the UK GDPR and the Data Protection Act 2018, as amended by the Data (Use and Access) Act 2025.

{{org_field_name}} will ensure that:

Reference information is processed lawfully, fairly and transparently.
References and associated correspondence are stored securely.
Access is restricted to authorised personnel who require the information for legitimate recruitment, employment or management purposes.
Personal information obtained through references is only used for appropriate purposes.
Reference information is accurate and, where necessary, kept up to date.
Information is not retained for longer than necessary in accordance with the organisation’s retention arrangements.
References containing special category personal data are subject to the additional protections required by data protection legislation.

7.2 Access to Reference Information

Individuals have rights in relation to their personal information under data protection legislation. However, these rights are subject to applicable exemptions and restrictions.

Confidential employment references may be exempt from the right of access where the relevant statutory conditions are met. This exemption can apply to confidential references both provided and received by {{org_field_name}}.

Any request for access to reference information will therefore be considered individually in accordance with current data protection legislation and the organisation’s data protection procedures.

Individuals may raise concerns regarding information they believe to be inaccurate or misleading, and these concerns will be considered appropriately.

8. Record-Keeping and Documentation

8.1 Retention Period We retain reference records for six years after employment ends, in line with statutory requirements. This includes:

Copies of references provided and received.
Correspondence related to reference requests.

8.2 Disposal After the retention period, reference records are securely destroyed to protect personal data.

9. Training and Awareness

9.1 Staff Training All HR staff and managers involved in recruitment and reference management receive training on:

Providing accurate, fair references.
Requesting and verifying references during recruitment.
Data protection and confidentiality practices.

9.2 Ongoing Awareness Regular updates are provided to ensure staff remain informed about best practices, legal changes, and company policies related to references.

10. Addressing Disputes and Complaints

10.1 Handling Complaints If an employee disputes the content of a reference:

They can submit a formal complaint to HR.
HR will investigate, review records, and consult with the referee if needed.

10.2 Resolution If inaccuracies are identified, HR will:

Correct the reference.
Issue an updated reference to the requesting party.

If the dispute cannot be resolved internally, employees can seek advice from external bodies such as ACAS or their trade union.

11. Monitoring and Continuous Improvement

11.1 Audits and Reviews We conduct regular audits to ensure:

Compliance with this policy.
Consistency and accuracy in reference provision.
Protection of employee privacy and rights.

11.2 Policy Review This policy is reviewed annually and updated based on:

Changes in legislation.
Feedback from staff and stakeholders.
Lessons learned from incidents or complaints.

12. Compliance and Legal Considerations

12.1 Legal Framework This policy aligns with:

The Health and Social Care Act 2008.
The Equality Act 2010.
The Data Protection Act 2018 and GDPR.
CQC standards for safe recruitment.

12.2 Avoiding Liability To avoid liability when providing references, we ensure:

Reference content is consistent with internal records.

Information is factual, job-related, and non-discriminatory.

Opinions or unverifiable information are excluded.

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.