University of Chichester
PROTOCOLS FOR THE WRITING OF ACADEMIC REFERENCES:
For all staff required to provide references for students
The guidance set out below is drafted with reference to Anti-discrimination legislation including the Disability Discrimination Act 1995 (DDA), the Data Protection Act 1998 (DPA) and the Freedom of Information Act 2000 (FOIA)and Section 60 of the Equality Act 2010.
What follows relates to references written on behalf of students by members of staff acting in their capacity as employees of the University. It does NOT cover references for staff colleaguesor students seeking a reference from the University as their employer (in this connection advice and guidance should be sought from the University’s Human Resources Department), or to references written in a private capacity (although there may be similar legal implications).
Staff have a general duty of care when preparing references for students and such duty of care also has a legal dimension i.e. a referee may be liable for damages to the subject of a reference if loss is caused to that person through negligence, i.e. carelessness on matters of fact or opinion. The following guidance outlines good practice and if followed, it should protect both the referee and the University from legal action.
(This short paper does not cover all questions relating to the writing of references. For further information and advice contact the Data Protection Officer or Head of Careers.)
1. Points of guidance when writing references for students:
The principal aims of providing a reference are firstly to confirm facts (e.g. the accuracy of the statements made in an application), and secondly to providefair and relevant opinion (e.g. opinion as to the candidate's suitability for a post, a further programme of study, or general potential).
Accordingly, you should:
- Ensure that the reference is factually accurate and complete. It is strongly recommended that, as appropriate, you read the contents of the current Student files held within Academic Registry and/or the Department Administrative office or request the archived file from Academic Registry (Student Records) as an aid to checkingthe facts.
- Clearly distinguish between statements of factand opinion. ('Based upon performance to date, he is likely to get a first class degree' is a clearly stated expression of opinion, but 'he will get a first class degree' might be construed as a factual statement.) In predicting outcomes, guard against expressing them as facts.
- Only express opinions that are relevant, and that you are competent to give. ("I believe that X is well-suited to the post", is appropriate, whereas, "X will be successful in the role" is probably not.)
- Try to be fair, bearing in mind the duty of care owed to both the subject and the recipient of the reference.
- Avoid ambiguous or coded language. If your knowledge of the candidate leads you to a definite opinion, then this can be expressed, however, less certain feelings (negative or positive) should not be conveyed, or hinted at.
- You should not supply any 'sensitive personal data' (defined in the University’s Data Protection Policy requires the express written permission of the candidate. This includes for example health related matters. In additionthe purpose of Section 60 of the Equality Act 2010 is to prevent disability or health information being used to filter out job applicants without first giving them the opportunity to show they have the skills to do the job. Section 60 therefore prohibits enquiries by or on behalf of an employer about a job applicant's disability and health during the recruitment process up to the point that a job offer is made. An employer seeking a reference in advance of an offer being made should not ask for information about sickness absence. A job offer can be unconditional or it can be conditional on medical checks. In this latter scenario asking health-related questions would not be in breach of Section 60 but the employer is likely to require the student applicant to seek professional medical confirmation i.e.you should not offer such information.
- All reference correspondence should be written on University headed paper and marked “Private and Confidential (on both letter and envelope) and should state that the reference is for the addressee only for the specific purposes intended. Notwithstanding this, having regard to the DPA, it is not possible to prevent references supplied by the University from being legally accessible, following a data request by students or former students.
A student is, however, less likely to be allowed access if the confidential circumstances surrounding the reference request have been made clear i.e. that the referee does not expect or agree to disclosure of the reference to the data subject. Notwithstanding the above, it is good practice to draft a reference in the knowledge that the subject may have sight of it at some point and indeed some referees may themselves be happy to share this information with the student concerned.
- All references should include, at the end, the following disclaimer:
“Reference Disclaimer: This reference is given in good faith and all reasonable efforts have been taken to ensure its accuracy. However, we do not guarantee that the reference is accurate and if loss is caused by relying on the reference then neither the author, nor the University, nor the recipient, nor the individual who is the subject of the reference will be liable.”
Place a copy of the reference you write on the central record. For both current students and ex-students send it to Academic Registry (Student Records) to be filed or archived, as appropriate.
2.VerbalReferences
Resist requests to provide a verbal reference e.g. telephone references, other than in exceptional circumstances (e.g. the Ministry of Defence can request references via lengthy personal interview, in person with referees). Verbal references are easily mis-heard, mis-transcribed or misinterpreted and there is no audit trail of the request and what has been said. Also, a written reference usually demands more consideration than a telephone call allows. Where deemed unavoidable (and only then in the candidate's interest), a statement could be provided that is limited to the facts and this should be followed up directly in writing. If staffare approached by the Ministry of Defence for a verbal reference, they are encouraged to speak with the PVC (Student Experience), before doing so.
3.Unsolicited References
This relates to references requests which fall outside formal mechanisms, e.g. where the subject has not, to your knowledge, cited you as a referee, or where an employer is contacting you just to “sound you out”. It is recommended that such requests are resisted as no University audit trail of the reference will exist and this could have legal implications for both the University and the member of staff approached. In these instances theenquirer should be referred to Academic Registry (Student Records) for appropriate action.
4.Requests where a job has been offered 'subject to references'
Such requests can cause confusion. General advice would be to interpret them as seeking to verify facts about the candidate - rather than as requesting opinion regarding suitability or potential. Although the response provided will be a matter of judgement, in the best interests of the student concerned, normally, the referee should decline to provide opinion in such cases, as a matter of University policy.
5.Who should (and should not) provide references?
The most appropriate referee for a student is either the current/ex-academic adviser, or a tutor nominated by the programme who is deemed to be best placed to write the reference. The reference should be limited to matters of fact, or opinion that are directly supported by material on file. Where no-one identified above is available to provide a reference it becomes the responsibility of the relevant Head of Departmentto write the student reference.
6.Data Confidentiality
As a matter of general data confidentiality, Academic Registry (Student Records) is instructed not to provide archive files on past students to members of staff, where the academic connection with the student is unclear. Department offices thatmay also hold files of current students should observe the same policy.
7.Reference requests for past students
Requests for references for past students addressed to 'the University' will be vetted by Academic Registry (Student Records). Where a purely factual response is appropriate, it will be provided directly. Otherwise, the request will be passed to the most appropriate member of staff inthe Faculty.
- Complex Cases
If unsure what to say in an instance where you have been asked to write a reference for a student who you know is (or was) in bad standing with the University (e.g. for disciplinary or financial reasons), general guidance is not to mention such a matter unless you believe it to be directly relevant to the duty of care that you owe to the recipient of the reference (i.e. relevant to the job, course, etc. the student has applied for). If the job or course assumes a high level of responsibility and/or personal integrity, then it may be appropriate to refer to the student's poor standing. However, before doing so you are advised to discuss the matter with the Data Protection Officer, as disclosure of such information where it is not warranted must also be avoided, as part of our duty of care to the student.
- Refusing a reference request
Although institutions do not have a legal obligation to supply a reference they do need to bear in mind anti-discrimination laws. If the institution is unwilling or unable to supply a reference this needs to be communicated sensitively i.e. without giving a negative message. An extreme example might be a student with a poor academic record, and serious behaviour problems, who also has an underlying medical/mental health condition, which constitutes a disability under the DDA and is the cause of the behavioural issues. In such a scenario the University needs to be careful that in refusing a reference it is not complying with its duties under the DDA i.e. ensuring the student is not disadvantaged and that reasonable adjustments are made
NB This duty does not apply if the University is not aware or could not have reasonably been expected to know of the student’s disability.
If you judge it appropriate to refuse a reference request you are advised to consult with your Head of Department before confirming the refusal. The Head of Departmentshould in turn discuss a proposed refusal to provide a reference with their line manager.
- Challenges and Liability
All staff who may have occasion to provide references for students need to be aware of good practice and the possibility of liability of the University or, potentially, themselves, i.e. negligence through lack of attention to matters of fact or opinion may result in loss to the subject of the reference or to the employer requesting such reference. If you are challenged over a reference you have given, do not admit liability, and refer the matter immediately to the University’s Data Protection Officer () in the first instance.
All student reference enquiries should be directed to Academic Registry in writing or via the following generic email:
or, if appropriate, students should be directed to aDepartment contact. It is crucial for students/ex-students that such a contact is able to process the reference requests in 24-48 hours of receipt of request. Generic emails should be used to ensure that staff absence/leave does not disrupt the provision of a reference in a timely fashion.
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SL/Academic References.- Guidance Note (V5.0 – minor update 2016)