References
Policy
Contents
PageOverview
1Summary
2Further Information
2.1Staff References
2.2Student References
3Consultation
4Review
5Impact on Student / 1
1
1
1
1
1
1
1
Key Information
For all staff
1If You Require a Reference
2If You are Quoted as a Referee
2.1For Staff
2.2For Students / 2
2
2
2
2
Primary Information
For staff writing references
1Guidance on Reference Writing
2Responsibility to the Employee or Learner
3Seeking Consent
4Requests for Telephone, Fax or E-mail References
5Giving a Personal Reference
6Providing References for Staff
6.1Normal Requests
6.2Unexpected Requests
7Providing References for Learners
7.1Procedure for handling requests for references for learners / 3
3
4
4
5
5
5
5
6
6
6
Supporting Information
For Personnel
1Confidentiality
2Reference Request Letter
3Interpreting References
4External Private Organisations
This document is available in large print or in an alternative format that meets your needs. Please contact the HR Manager. / 8
8
8
8
9
May 2014 / Ref:POL0009
References
Policy
Overview
1 Summary
This document states the College's policy and gives staff guidance on providing references for existing and past staff and learners.
2Further Information
2.1Staff References
- Principal
- Deputy Principal
- Personnel Department
2.2Student References
- Assistant Principal Quality Improvement & Student Support
- Assistant Principal Curriculum
- Assistant Principal Higher Education
3Consultation
- Senior Management Team
- Personnel Department
- UNISON and UCU
4Review
The policy will be reviewed annually.
5Impact on the Student
This policy ensures the safeguarding of all students and staff.
May 2014 / Page - 1 - / Ref:POL0009References
Policy
Key Information
For all staff
The College will provide a reference on request for any past or present member of staff or learner.
The College wishes to support past and present members of staff and learners by providing references on request. The College has a responsibility to exercise reasonable care when providing a reference and to ensure that all subjects are treated equally and fairly. Any reference on College headed paper is official and the reference of the employer in the case of staff. Staff requiring or providing references must adhere to the following procedure.
1If You Require a Reference
If you require a factual reference for purposes such as opening accounts, obtaining credit or renting property you should quote the HR Manager. Personnel will not disclose any such information without your knowledge and consent. You are permitted to quote the HR Manager’s name in this context; there is no need to ask permission.
References in connection with job applications or any other circumstances which call for a character reference can quote any Assistant Principal/Head with their prior agreement.
You are permitted to quote the Principal’s name as a referee without theirexpress permission. However, unless the Principal has personal knowledge of your work, they will ask your Assistant Principal/Headto draft the response.
A copy of any reference written will be stored in your personal file. This reference will be used after you have left the College's employment if a reference is subsequently requested.
2If You Are Quoted as a Referee
2.1For Staff (managers only)
If you are asked to give a reference for staff, past or present, or anyone else who has worked here, for example through PN, you are permitted to do so as an employee of the College – only with the permission of your Assistant Principal/Head .
If you subsequently receive a request for a reference you should prepare a response following the guidance given inthe Primary Information section of this document. The content must be approved by anAssistant Principal/Head before being sent. Normally the approval should be obtained from your own Head but in the case of absence, any other member of the Senior Leadership Team can be approached. Copy of this reference must be filed in Personnel.
You can give a reference without Assistant Principal/Head approval but it would be a personal reference. In that case you must not use any OfficialCollege stationery and you must state clearly that it is only a personal reference. Please be aware that you will be personally responsible for this reference if challenged by the employer or employee.
2.2For Students
Learners should be encouraged to quote the Principal's name or the Head of the Area. This will ensure that any request is dealt with immediately and follows the procedure outlined in the Primary Information section. The College is under an obligation to provide a reference for learners and care should be taken regarding content as under the Data Protection Act, learners have a right to access their file and read the reference. Any reference should therefore be written with this in mind. A copy of the reference should be held in the learner’s file.
A procedure exists for handling any reference request as detailed in the Primary Information section. This procedure should be followed at all times.
May 2014 / Page - 1 - / Ref:POL0009References
Policy
Primary Information
For staff writing references
1.Guidance on Reference Writing
Any reference for a member of staff, past or present, on College headed paper is a reference by the employer.
The employer has a duty to exercise reasonable care when providing a reference for an existing or former employee.
An employer is not legally obliged to provide a reference for a former employee.
References must be accurate. The employer is liable for damages for negligent statements resulting in an economic loss on the part of the employee. Equally an unduly favourable reference could leave the College vulnerable to a claim for damages from the recipient of the reference.If such a reference is provided by a staff member without permission they will be held liable in the case of a challenge.
Such claims have already been brought elsewhere by employees. Although a learner has yet to bring such a claim it is generally considered to be only a matter of time.
To prevent negligence the reference must be
- dated
- prompt
- fair and accurate in both factual content and opinions expressed
- opinion should be substantiated with objective evidence.
If specific questions are asked they do not have to be answered.
A reference can simply contain factual information there is no obligation to express judgments.
The reference must not give an unfair or misleading impression overall, even if its discrete components are factually correct. However, this does not mean that a reference must be comprehensive. But should not be negligent or misleading by any omittance.
A failure to provide a reference within a reasonable timescale could result in a claim of victimisation. This applies equally to ex-employees.
The College is entitled to keep such references confidential from the subject, however the subject can require under the Data Protection Act, 1998, that the recipient disclose the reference. Effectively, therefore, there is no longer any such thing as a confidential reference.
College references can be provided by any manager but the content must be approved by anAssistant Principal/Head.
If you are in any doubt about providing a reference, please speak to the HR Manager for guidance.
May 2014 / Page - 1 - / Ref:POL0009References
Policy
Primary Information
For staff writing references
2. Responsibility to the Employee or Learner
It is the duty of the reference writer to exercise reasonable care and skill in providing a reference. The writer should take reasonable steps to:
i)Ascertain that the information on which the reference is based is factually correct.
Even if the reference writer honestly believes the inaccurate statements to be true, he may still be negligent if he has not taken reasonable steps to check the veracity of statements.
ii)Express opinions (if the writer chooses to do so) about the subject of the reference which are reasonable in the circumstances and can be justified.
Opinions are, by their very nature, subjective but they must be arrived at reasonably. The person expressing the opinion should always ask whether, if called upon to do so, he could justify why he holds those opinions, that is, whether the opinion has a proper basis in fact.
iii)Create a fair impression overall. This might mean putting certain factual matters into context where not to do so would create a misleading impression.
Having checked the factual accuracy of statements and the reasonableness of opinions contained in the reference, the reference writer should then "stand back" and ensure that the effect of the whole reference is fair and not misleading.
A reference writer who is negligent in the above respects will render the College liable for any loss, which the employee/learners incur as a direct result of inaccurate statements, opinions, or impressions.
a)Where the person providing the reference has limited knowledge of the subject, this should be clearly stated.
b)In appropriate cases the College may make the provision of a reference conditional upon a disclaimer of liability to the subject and to the recipient.
Whilst it may sometimes be tempting to provide a reference that portrays the employee/learner in a better light than is justified this should not be done since a reference which is unduly favourable could potentially leave the College vulnerable to a claim for damages from the recipient of the reference.
3. Seeking Consent
Due to the fact that the Data Protection Act prohibits the use or disclosure of personal data without the individual's consent, the reference writer should make sure that s/he has the individual's consent to provide the reference. This will usually be the case but not, for example, if the prospective employer has made a speculative inquiry on its own initiative. In either case, the reference writer should ask the employer requesting the reference to confirm that the employee has consented to the reference being given. Consent should be sought by the reference provider direct from the individual employee if there are any reasons to doubt that consent has been given.
May 2014 / Page - 1 - / Ref:POL0009References
Policy
Primary Information
For staff writing references
4. Requests for Telephone, Fax or E-mail References
You should never give a reference by telephone, fax or e-mail. All such requests should be refused or referred to Personnel or the Principal as appropriate.
In extreme circumstances, where information is required urgently, you may be called upon to give a telephone reference. This should be approached with caution but should not be unreasonably refused. If the person requesting the reference is unknown, ask for their workplace telephone number then call them back to ensure you are speaking to the right person at the right organisation. Do not be hurried or harassed into replying. Reserve the right not to answer specific questions but be as helpful as possible. Take notes of the questions asked and the answers given. It is advisable to follow up in writing with a summary of the facts discussed on the telephone.
5.Giving a Personal Reference
You are free to give a personal reference for any member of staff, past or present, learner or anyone else connected with the College. However, you must not use official College stationery. You are not permitted to access information from Personnel. You must make it clear that it is a personal reference. You must take full responsibility if there is a subsequent complaint arising from the reference.
6.Providing References for Staff
6.1Normal Requests
With anAssistant Principal/Head’s approval, Personnel will provide factual information from the member of staff's file. This will include:
- start date
- dates of any changes of contract
- job titles
- current grade
- recent staff development
- any other relevant factual information.
If a reference has already been prepared under this procedure then Personnel will provide a copy along with any changes to the above information.
You should draft the reference. This will include an overview of the roles and responsibilities held and an objective appraisal of contribution and performance. If a person specification or job description is provided the reference should make direct comment.
Your Assistant Principal’s/Head’s approval should be obtained before the reference is sent. College references should be on letter headed paper and conform to College standards in regards presentation.
A copy of the reference must be sent to Personnel where it will be stored in the subject's personal file.
May 2014 / Page - 1 - / Ref:POL0009References
Policy
Primary Information
For staff writing references
6.2Unexpected Requests
Sometimes an unanticipated request for reference is received. A reference should not be sent without the subject's knowledge and consent. Where it is not possible to obtain that consent, for example in the case of an ex-employee who has failed to keep contact with the College, then a brief response confirming only the dates of employment should be sent. However a reasonable attempt should be made to contact the ex-employee first and a note kept in their personal file of those attempts.
7.Providing References for Learners
Colleges may be under a legal obligation to provide references for learners arising from an express or implied term in the contract between the College and the learner. Further, as it is the College's policy to provide references for ex-learners a failure to do so could result in a claim of discrimination.
The College has the same duty of care when providing references for existing or ex-learners as for staff.
The following points should be considered in order to help minimise the risk of liability arising from giving references:-
- A purely factual account of a learner (restricted to relevant dates, academic records, time keeping, and so forth) is less likely to lead to liability, if the circumstances will permit such a reference.
- If any element of descriptive analysis is required, a statement at the outset of the parameters within which the reference is given (outlining, for example, the knowledge of the personal circumstances of the learner which the writer has) may be helpful. A descriptive reference should also be complete.
- Ensure that information provided is capable of substantiation, by written evidence, if at all possible.
- To ensure that references are handled in accordance with this procedure, learners should be asked that the Principal be quoted as their referee.
7.1Procedure for handling request for references for learners
1. Reference request will be forwarded to the relevant Assistant Principal/Head where the ex-learner attended.
2. The Assistant Principal/Head will, upon receipt determine the most appropriate person responsible for completion of the reference.
3.The appropriate Administrative Assistant will record the reference request on a database detailing key issues such as date received, person responsible for compilation etc.
4. References will be treated as urgent and returned within 5 working days.
5. The appropriate member of staff will then complete the reference, if it is not a simple 'tick box' approach. The reference should be typed within the Faculty.
6. Completed references should then be returned to the Administrative Assistant who will record the details.
7.Completed references will be mailed by theAssistant Principal/Head with a copy kept in the learner’s record file.
8. Wherever possible a copy should be give/sent to the learner.
May 2014 / Page - 1 - / Ref:POL0009References
Policy
Primary Information
For staff writing references
Additional notes
1. Requests sent to the Principal in the first instance will be forwarded to the appropriate Assistant Principal/Headso that points 1 to 8 still apply.
2. Tutors receiving reference requests direct should inform their Area Administrative Assistant so that points 3 to 8 apply.
May 2014 / Page - 1 - / Ref:POL0009References
Policy
Supporting Information
For Personnel
It is essential that references are taken up as part of the recruitment and selection process. There is no ideal time to call for references but it is strongly recommended that the reference should be used as part of the selection process. Therefore they should be available for all short listed candidates prior to the appointment being made as they will be useful in determining who is the best person for the job. References must therefore be taken up for all appointments and available for the selection panel unless exceptional circumstances prevent this.
1Confidentiality
References are usually given in confidence and must therefore be received and retained in a confidential place with restricted access. References for unsuccessful candidates should be retained with the recruitment papers for 6 months, in order to successfully defend Tribunal claims should they arise. The reference for the successful candidate should be retained on file e.g. the new employee's personnel file.
If a person requests to see a reference received about him/her by the College, (as opposed to written by the College) the College will be obliged under the Data Protection Act, to provide access to it. However, if the College cannot comply without disclosing information relating to another individual who can be identified from that information, then the college is not obliged to disclose it unless that person has consented to the disclosure or it is reasonable in any event to comply with the request. Deleting reference to the identity of the third party, where this will genuinely protect the identity of the third party, should be considered. Failure to do so, where this is possible, will amount to non-compliance with the Act.
2Reference Request Letter
The quality of the reference received will depend in part on the motive of the referee when answering. If a broad general letter asking no specific questions is sent out, it is probable that a vague reference will be received containing information of limited value. However, if specific questions are asked relating to the job description, the information received will be more useful and relevant. Questions asked should be based on the job description and person specification for the post. The letter should contain the following:
(i)Where to send the reference and who to call with questions.
(ii)Check how long the referee has known the person and in what capacity.
(iii)Ask whether the referee would re-employ the person, and if not, why?