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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Staff References Policy

1. Purpose

At {{org_field_name}}, we are committed to maintaining a safe, fair, transparent and legally compliant recruitment process. We will take appropriate steps to ensure that people employed or otherwise engaged 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 properly perform tasks that are intrinsic to their role.

Our recruitment and reference-checking arrangements are designed to support compliance with Regulation 19 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, including the requirement for the information specified in Schedule 3 to those Regulations to be available in relation to persons employed for the purposes of carrying on a regulated activity.

This policy sets out how {{org_field_name}} requests, obtains, verifies, records and provides employment references and related employment-history information. It also explains how concerns identified through the referencing process will be managed in accordance with safeguarding requirements, the Equality Act 2010, the UK General Data Protection Regulation, the Data Protection Act 2018 and other applicable legislation.

References form part of the organisation’s wider safer recruitment arrangements and must be considered alongside all other required pre-employment checks. A reference alone will not be relied upon as evidence that a person is fit and suitable for employment.

2. Scope

This policy applies to persons involved in recruitment and reference checking at {{org_field_name}}, including managers and members of staff responsible for recruitment, human resources or personnel administration.

It applies, where relevant, to:

• applicants for employment;
• employees;
• bank and casual workers;
• agency workers where {{org_field_name}} is responsible for obtaining or assuring itself of the required recruitment information;
• volunteers where applicable;
• apprentices where applicable;
• persons engaged under contracts for services where they fall within the scope of the regulatory requirements; and
• former employees or workers for whom {{org_field_name}} is asked to provide a reference.

Where recruitment or pre-employment checks are undertaken by another organisation, employment business or agency, {{org_field_name}} must obtain sufficient assurance that all information and checks required for the person’s role have been completed satisfactorily before the person is permitted to undertake work for which the checks are required.

For persons employed for the purposes of carrying on a regulated activity, the information required by Regulation 19 and Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 must be obtained and available as required by law.

Where a person is engaged as a volunteer, the requirements applying to volunteers will be determined in accordance with Regulation 19, including the statutory exception from the Schedule 3 requirement for a full employment history where that exception applies.

This policy covers:

• requesting, obtaining and verifying references;
• checking relevant previous employment and employment history;
• verifying reasons for leaving relevant previous employment;
• providing references for former employees and workers;
• identifying and responding to discrepancies or safeguarding concerns;
• confidentiality and data protection; and
• retention and secure management of reference information.

3. Related Policies

• SL19 – Fit and Proper Persons Employed Policy
• SL07 – Recruitment and Selection Policy
• SL12 – Safe Care and Treatment Policy
• SL34 – Confidentiality and Data Protection (GDPR) Policy
• SL13 – Safeguarding Adults from Abuse and Improper Treatment Policy

4. Legal and Regulatory Framework

The organisation will operate this policy in accordance with applicable legislation and regulatory requirements, including:

• the Health and Social Care Act 2008;
• the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, in particular Regulation 19: Fit and Proper Persons Employed and Schedule 3: Information Required in Respect of Persons Employed or Appointed for the Purposes of a Regulated Activity;
• the Equality Act 2010, including requirements relating to non-discrimination, reasonable adjustments and restrictions on health enquiries during recruitment;
• the Safeguarding Vulnerable Groups Act 2006, including the legal duty to make a referral to the Disclosure and Barring Service where the statutory referral conditions are met;
• the Police Act 1997 and applicable Disclosure and Barring Service requirements;
• the UK General Data Protection Regulation;
• the Data Protection Act 2018, as amended;
• the Data (Use and Access) Act 2025, insofar as its provisions amend or affect the organisation’s data-protection obligations; and
• current Care Quality Commission guidance relating to Regulation 19 and safe and effective staffing.

For persons employed for the purposes of carrying on a regulated activity, {{org_field_name}} must ensure that the information required under Schedule 3 is available as required by Regulation 19.

Reference checking forms part of, but does not replace, the organisation’s obligation to complete all other required safer recruitment checks, including identity, Disclosure and Barring Service checks where legally applicable, relevant qualifications, professional registration, employment history and health-related fitness for the intrinsic functions of the role after reasonable adjustments.

5. Requesting and Verifying References for New Employees

5.1 Number and Type of References Required

A minimum of two satisfactory references will normally be obtained for new employees before they commence unsupervised duties or otherwise undertake work for which the required pre-employment checks have not been satisfactorily completed.

At least one reference must normally be obtained from the applicant’s most recent employer. Where the applicant has previously worked in health or social care, or in employment concerned with children or vulnerable adults, {{org_field_name}} must obtain satisfactory evidence, so far as required by Regulation 19 and Schedule 3, of the applicant’s conduct in relevant previous employment.

Where a person has previously been employed in a position whose duties involved work with children or vulnerable adults, satisfactory verification must, so far as reasonably practicable, be obtained of the reason why that employment ended.

A full employment history must be obtained for each person where required by Schedule 3. Any gaps in employment must be identified and supported by a satisfactory written explanation.

The employment history provided by the applicant must be compared with information obtained from referees and other recruitment checks. Any unexplained discrepancy, omission or inconsistency must be investigated and resolved to the satisfaction of the recruiting manager before appointment is confirmed.

Where an applicant has no previous employment history, alternative evidence may be sought from an educational institution, volunteering placement or other suitable source capable of providing relevant and reliable information about the applicant.

Personal references from relatives or close personal friends must not be used as substitutes for required employment references or other evidence required under Schedule 3.

The obtaining of two references does not remove the requirement to obtain any additional evidence necessary to meet Regulation 19 and Schedule 3.

5.2 Reference Verification Process

References must be obtained from an appropriate and identifiable source and must be checked for authenticity and consistency with the information provided by the applicant.

Where an employment reference is obtained, it should normally be provided by an authorised representative of the previous employer, such as a human resources representative, manager or another person authorised by that organisation to provide references.

The organisation must take reasonable steps to verify the identity and authority of the referee. Where there is doubt about the authenticity of a reference, the previous employer or referee must be contacted using independently verified contact information wherever reasonably practicable.

For applicants who have previously worked in health or social care, or in work involving children or vulnerable adults, the organisation must obtain satisfactory evidence of their conduct in that relevant previous employment.

Where a person has previously been employed in a position whose duties involved work with children or vulnerable adults, {{org_field_name}} must, so far as reasonably practicable, obtain satisfactory verification of the reason why that employment ended.

Reference and employment verification should, where relevant and reasonably available, establish or corroborate:

• the applicant’s identity;
• dates of employment;
• position or job title;
• the nature of the applicant’s duties and responsibilities;
• evidence concerning conduct in previous relevant employment;
• the reason why relevant previous employment ended, where this is required by Schedule 3;
• whether information supplied by the applicant about their employment history is accurate; and
• any information lawfully disclosed by the referee that is materially relevant to the applicant’s suitability to undertake the proposed role.

References must not routinely require disclosure of sickness absence records as a condition of satisfying the reference process. Any health information obtained or requested during recruitment must be limited to what is lawful, necessary and relevant to determining whether the applicant can properly perform functions intrinsic to the role after reasonable adjustments have been made.

Where a referee provides only a factual reference, or declines to answer particular questions, this will not automatically prevent appointment. The recruiting manager must determine whether sufficient satisfactory evidence is available from the reference and other lawful sources to meet the requirements of Regulation 19 and Schedule 3.

Where satisfactory evidence cannot be obtained from a previous employer, reasonable attempts to obtain the required information must be documented. Alternative reliable evidence may be considered where legally permissible, but the organisation must not appoint or deploy a person unless it is satisfied that all mandatory recruitment requirements have been met.

Any discrepancy between the application, employment history and information provided by a referee must be investigated and satisfactorily resolved before appointment is confirmed.

5.3 References for Overseas Applicants

• For applicants who have worked outside the UK, we will request references from previous overseas employers.
• If references are unavailable, we may require a Certificate of Good Conduct or an equivalent police check.

6. Providing References for Former Employees

6.1 Responding to Reference Requests

• All reference requests must be managed by the HR department to ensure accuracy and compliance with GDPR.
• References must be factual and objective, confirming:
  • Job title, start and end dates.
  • Summary of duties and responsibilities.
  • Whether the employee left in good standing.
• We do not provide subjective opinions on performance or personal character.
• If an employee was dismissed due to misconduct, this must be factually stated with reference to disciplinary records.

6.2 Confidentiality and Legal Considerations

Reference information constitutes personal information and must be processed in accordance with the UK General Data Protection Regulation, the Data Protection Act 2018 and the organisation’s data-protection policies.

Before requesting, receiving, retaining or disclosing reference information, {{org_field_name}} must ensure that it has an appropriate lawful basis for the processing. Where special-category personal data or criminal-offence data is processed, the organisation must also ensure that the additional legal conditions applicable to that information are satisfied.

Written consent will not be treated as the only lawful basis upon which a reference may be requested or provided. Where consent is relied upon, it must meet the legal requirements for valid consent. In other circumstances, the organisation will rely upon the lawful basis and, where relevant, additional processing condition identified for the particular purpose.

Applicants and workers must be provided with appropriate privacy information explaining how their personal information, including recruitment and reference information, will be used.

Any reference provided by {{org_field_name}} must be accurate, fair and not misleading. Statements of fact must be supported by appropriate records, and opinions must not be presented as facts.

Only information that is relevant, proportionate and lawful to disclose for the purpose of the reference will be provided.

Reference information must be shared only with authorised recipients and through appropriately secure means.

7. Safeguarding and Preventing Misrepresentation

7.1 Identifying False or Misleading References

• If a reference appears fraudulent or inconsistent, further checks must be conducted, including direct phone verification.
• Any discrepancies must be investigated thoroughly before employment confirmation.
• Providing false reference information will result in immediate disqualification from employment.

7.2 Reporting Safeguarding Concerns

Where information obtained through a reference or employment-history check raises a safeguarding concern, the concern must not be ignored and the appointment must not be confirmed until the information has been assessed and any necessary action has been taken.

The recruiting manager and the person responsible for safeguarding must consider the information promptly and determine what action is required in accordance with the organisation’s safeguarding procedures and applicable legislation.

Depending on the nature and seriousness of the information, action may include:

• seeking clarification or further evidence from the referee or previous employer;
• discussing relevant information with the applicant where it is lawful and appropriate to do so;
• undertaking and documenting a suitability or safeguarding risk assessment;
• referring the concern to the relevant local authority safeguarding team where the safeguarding criteria for a referral are met;
• reporting suspected criminal conduct to the police where appropriate;
• notifying a relevant professional regulator where a legal or professional reporting requirement applies; and
• making a referral to the Disclosure and Barring Service where the statutory referral conditions are met.

Where {{org_field_name}} is a regulated activity provider and the legal conditions for a Disclosure and Barring Service referral are met, the referral must be made in accordance with the Safeguarding Vulnerable Groups Act 2006. A referral to another body, including a local authority safeguarding team, the police or a professional regulator, does not remove a separate legal duty to refer to the Disclosure and Barring Service where that duty applies.

All safeguarding decisions and actions arising from reference information must be documented clearly, including the information considered, the decision reached, the reasons for that decision and any referrals or further checks undertaken.

8. Record-Keeping and Data Protection

All reference information requested, received or provided by {{org_field_name}} must be processed and stored securely in accordance with the UK General Data Protection Regulation, the Data Protection Act 2018, the organisation’s data-protection policies and its records-retention schedule.

Access to reference information must be restricted to people who have a legitimate and authorised need to access it.

Reference and recruitment records must be accurate, relevant and limited to what is necessary for the purpose for which they are held.

Reference records relating to successful applicants will normally be retained in accordance with the organisation’s employment-record retention schedule. Where the organisation applies a six-year retention period following the end of employment, that period must be kept under review and must remain necessary and justifiable for the purpose for which the information is retained.

Information must not be retained for longer than is necessary unless continued retention is required or permitted by law.

Applicants, employees and former employees may exercise their data-subject rights in relation to personal information held by {{org_field_name}}, subject to any applicable statutory exemptions or restrictions.

A person does not have an automatic right to receive a copy of every employment reference. Confidential references given or to be given for employment, prospective employment, volunteering or other purposes specified in data-protection legislation may fall within the confidential-reference exemption in Schedule 2 to the Data Protection Act 2018. Any request for access to reference information must therefore be considered individually in accordance with current data-protection legislation and the organisation’s subject access procedure.

Where a reference contains personal information relating to another individual, the rights and interests of that individual must also be considered before any disclosure is made.

Reference information must be securely disposed of when the applicable retention period expires.

9. Monitoring and Continuous Improvement

• Quarterly audits will be conducted to ensure reference-checking procedures remain robust.
• Feedback from applicants and employers will inform improvements in reference processes.
• Lessons learned from reference-related disputes or safeguarding cases will be used to strengthen HR practices.

10. Policy Review

This policy will be reviewed annually or sooner if required due to:

• Changes in CQC regulations or employment law.
• Feedback from regulatory inspections or internal audits.
• Lessons learned from recruitment cases.

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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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