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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 outline {{org_field_name}}’s approach to obtaining, verifying, and providing staff references in compliance with Care Inspectorate Wales (CIW) regulations, employment laws, and best practices in safe recruitment. Ensuring accurate and reliable staff references is vital for safeguarding service users and maintaining high standards of care.

Our objectives are to:

• Ensure all new employees provide satisfactory references before commencing employment.
• Verify the authenticity of references to prevent fraudulent applications.
• Provide fair, accurate, and legally compliant references for former employees.
• Comply with CIW and employment legislation regarding staff recruitment and reference checking.
• Maintain a robust and transparent reference-checking system.

2. Scope

This policy applies to:

• All employees, including care workers, administrative staff, and managers.
• The Registered Manager and Responsible Individual, responsible for compliance and oversight.
• Job applicants, including internal promotions and external hires.
• Third-party recruitment agencies, where applicable.
• External organisations requesting references for former employees.

3. Legal and Regulatory Framework

This policy aligns with, and should be read alongside:

• Regulation and Inspection of Social Care (Wales) Act 2016.
• Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 (as amended), including Regulation 35 (Fitness of staff) and the requirement to obtain full and satisfactory information and documentation (including references) and keep it available for inspection.
• Welsh Ministers’ Statutory Guidance for care home and domiciliary suppliers (2024), which expects providers to have robust recruitment, selection and vetting systems, including checking the authenticity (veracity) of references and employment history, and applying the same standards where agency staff are used.
• Social Services and Well-being (Wales) Act 2014, including safeguarding and well-being duties.
• Social Care Wales – Code of Professional Practice for Social Care Employers (current version), and any successor guidance, to ensure workforce practices support safe recruitment, ongoing competence and appropriate supervision.
• Data Protection Act 2018 / UK GDPR, covering lawful processing, retention and disclosure of information contained in references.
• Equality Act 2010, to ensure fair and non-discriminatory recruitment practices.
• Employment Rights Act 1996 and relevant case law/guidance on providing fair, accurate and non-misleading references.

4. Obtaining References for New Employees

4.1 Reference Requirements

All prospective employees must provide:

• A minimum of two professional references, including one from their most recent employer.
• References covering at least the last five years of employment (if applicable).
• A character reference if they have limited employment history.
• Additional references for internal promotions, if relevant.

In addition, reference requests must, where relevant and lawful, seek confirmation of:

• The applicant’s suitability to work with adults and/or children who may be vulnerable, including whether the referee is aware of any safeguarding concerns, restrictions, disciplinary outcomes, investigations, or ongoing management concerns that would be relevant to safe practice.
• The applicant’s conduct, disciplinary history, and capability/performance, and the reason for leaving employment.
• Whether the referee would re-employ the applicant (where the referee is able to answer this).
• Any explanation for gaps in employment, repeated short periods of employment, or discrepancies between the reference, the application form and the CV.

4.2 Verification Process

Before hiring, {{org_field_name}} will:

• Directly contact referees via phone or email to verify references.
• Ensure references are from legitimate sources, including employers, supervisors, or academic institutions.
• Cross-check employment dates and job roles for accuracy.
• Follow up on any inconsistencies or concerns identified in the references.

Reference authenticity (“veracity”) controls

• Referees’ contact details must be obtained independently where possible (for example, from the organisation’s official website, HR department, or main switchboard) and not solely from contact details provided by the applicant.
• References submitted from a personal email address (for example Gmail, Hotmail or Yahoo) must not be accepted unless the referee’s identity, role and organisation can be independently verified and the verification steps are recorded.
• The person receiving the reference must confirm the referee’s name, job role, organisation, relationship to the applicant, and that they are appropriately authorised to provide the reference (for example, line manager or HR).
• An audit trail must be kept of the verification steps, including the date, method (email/telephone), who completed the check, what was verified, and the outcome.

How we manage this efficiently:

• A structured reference request template ensures consistency.
• All references are verified before confirming employment offers.
• Digital records of references are securely stored for auditing purposes.

4.3 Conditional Employment Offers

All offers of employment are conditional upon receipt of satisfactory references.

Where references are delayed and there is an exceptional operational need to commence induction, the individual must not undertake lone working and must not be deployed to provide care and support unless and until:

• A documented risk assessment is completed and authorised by the Registered Manager (and, where required, the Responsible Individual); and
• Duties are strictly limited to supernumerary shadowing, induction activity, and non-direct care tasks, with continuous oversight; and
• A clear timescale is set for receipt of references, including escalation steps and a decision point to pause deployment if references are not received.

If references are later found to be unsatisfactory, inconsistent, or fraudulent, the conditional offer will be withdrawn and/or employment ended in line with disciplinary and safeguarding procedures, and any required referrals/notifications will be made.

Where the applicant is subscribed to the DBS Update Service, {{org_field_name}} will obtain consent and complete a DBS Update Service status check in line with CIW guidance, and will record the outcome on the staff file.

4.4 Agency, bank and contracted staff

Where agency, bank, or contracted staff are used, {{org_field_name}} will ensure they are subject to the same reference standards as directly employed staff.

Before deployment, {{org_field_name}} will obtain and retain evidence that reference checks have been completed (for example, written confirmation and/or a completed agency checklist). {{org_field_name}} will have a process to assure itself that the supplying organisation’s recruitment and vetting arrangements are reliable and robust, and will escalate concerns and prevent deployment where evidence is missing, incomplete, or unreliable.

5. Providing References for Former Employees

5.1 Reference Content and Format

• References will be factual, objective, and legally compliant.
• Information provided will typically include:
  • Employee’s job title and dates of employment.
  • Confirmation of role responsibilities.
  • Attendance and disciplinary record (if requested and legally permitted).
  • Whether the employee left on good terms.
• No personal opinions or subjective statements will be included.
• References will not provide confidential or sensitive information without employee consent.

5.2 Who Can Request a Reference?

• Only authorised personnel (e.g., HR, Registered Manager) can provide references.
• References will only be given upon receipt of a formal written request.
• References will not be provided to unauthorised third parties.

5.3 Refusing to Provide a Reference

• References may be declined if:
  • The employee did not complete their probation period.
  • The request is from an unverified or unauthorised source.
  • There are legal reasons preventing disclosure.

How we manage this efficiently:

• A reference request form ensures standardised responses.
• Only trained personnel are authorised to handle reference requests.

6. Confidentiality and Data Protection

6.1 Handling Personal Information

• All reference requests and responses must comply with GDPR.
• Employee consent must be obtained before providing detailed references.
• Personal data in references will be stored securely and only accessed by authorised personnel.

6.2 Retention of Reference Records

• Reference records will be retained for six years after the employee leaves.
• Records will be destroyed securely after the retention period.

How we manage this efficiently:

• A secure digital storage system protects reference documentation.
• All staff handling references receive GDPR compliance training.

Reference records and the audit trail of verification steps will be stored in the staff record in a manner that ensures they are readily retrievable and available for inspection by Care Inspectorate Wales as required.

7. Addressing Unsatisfactory References

7.1 Dealing with Negative References for Applicants

If an applicant receives a negative reference:

• Further clarification will be sought from the referee.
• The applicant will be given an opportunity to explain.
• A risk assessment will determine whether the employment offer should be withdrawn.

7.2 Disputes Over References Given by {{org_field_name}}

If a former employee disputes a reference provided:

• They may request a copy of the reference under GDPR.
• If inaccuracies are identified, a formal complaint can be submitted.
• Corrections will be made if justified, but subjective complaints will not be accommodated.

How we manage this efficiently:

• A clear appeals process ensures fairness and transparency.
• Legal advice is sought where necessary to resolve disputes.

8. Preventing Reference Fraud and Misrepresentation

8.1 Identifying Fake or Altered References

• All references must be verified by direct contact with the issuing organisation.
• Email addresses and phone numbers must match official business records.
• Discrepancies in dates or roles will be investigated before hiring.

8.2 Consequences of Providing False References

• Any applicant found to have provided fraudulent references will have their offer withdrawn.
• Disciplinary action, up to dismissal, will be taken against existing employees who falsify references.
• Where concerns indicate a person may have harmed or posed a risk of harm to an individual, {{org_field_name}} will follow safeguarding procedures and make appropriate referrals without delay, including to the Disclosure and Barring Service (DBS) and any relevant professional body where criteria are met, and will notify Care Inspectorate Wales as required.

How we manage this efficiently:

• A reference fraud checklist is used during the hiring process.
• Staff receive training in identifying fraudulent employment records.

9. Staff Training and Responsibilities

9.1 Staff Training on Reference Procedures

• Recruitment and HR staff receive training on handling references.
• All managers involved in hiring understand reference verification protocols.
• Annual refresher training is provided on GDPR and reference management.

9.2 Responsibilities of Key Personnel

• Recruitment team: Responsible for obtaining and verifying references.
• HR department: Handles reference requests for former employees.
• Registered Manager: Ensures compliance with CIW and employment law.

How we manage this efficiently:

• A structured reference management system tracks all requests and verifications.
• Dedicated HR personnel handle reference-related inquiries to maintain compliance.

10. Related Policies

This policy aligns with:

• Recruitment, Selection, and Retention Policy (DCW31)​.
• Safeguarding Adults Policy (DCW13)​.
• Confidentiality and Data Protection Policy (DCW34)​.
• Whistleblowing (Speaking Up) Policy (DCW27)​.

11. Policy Review

This policy will be reviewed annually or sooner if required due to legislative changes, business needs, or CIW updates. The Registered Manager and Responsible Individual are responsible for ensuring compliance.

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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.