GUIDANCE ON THE USE AND PROVISION OF REFERENCES AND TESTIMONIALS

1PURPOSE AND SCOPE

1.1Providing and requesting references are common practices in recruitment and selection. There are, however, statutory obligations and caveats for those providing, requesting and acting on referencesreceived.

1.2This document aims to provide guidance on the legal aspects and best practice with regard to the use and provision of references.

1.3This applies to all employment references requested for,or issued by, Keele University staff.

1.4The University recognises that it has a responsibility to both current and ex-employees to provide a fair, factual and timely reference in order to assist their future job prospects.

2GENERAL PRINCIPLES

2.1Request and Use of References

PLEASE NOTE – As from October 2010, the Equality Act makes it unlawful for employers to ask about the health or disability of job applicants either verbally or in writing prior to the offer of employment. University staff are therefore advised not to ask for, or provide, any information on the health, disability or sickness absence of job applicants.

2.1.1Offers of employment should not be confirmed without satisfactory references having been sought and received.

2.1.2Referees must not be contacted without the consent of the candidate.

2.1.2Candidates will be requested to provide details of two referees (three if applying for an academic or research post), including their current or most recent employer.

2.1.3Support Staff Appointments – references should only be requested for the successful candidate. The offer of employment will then be conditional and ‘subject to references deemed to be satisfactory by the University’.

Academic Appointments – references are usually requested for the shortlisted candidates.Keele’s approach is for references to validate a decision made by the appointment panel rather than enforce it. Best practice is to view references after the interview/presentations have taken place. Should you have any concerns with the content of a reference received, contact your Human Resources Advisor.

2.1.4A reference request template can be found in Annex A. It may be appropriate for a different format to be used for academic references. Both academic and non-academic references should only seek to verify factual information.

2.1.5References should be obtained in writing as information received via a phone call cannot be substantiated. Email may be used but for extra security please ask for the reference to be sent as an attachment.

2.1.6All references are confidential and should not be viewed by anyone outside the appointment panel. They should be stored securely in accordance with the Data Protection Act (DPA) 1998.

2.1.7Managers should be mindful that any views or opinions provided in a reference may be biased, prejudiced or discriminatory. A decision based or part-based on such information may be open to challenge. If you have any concerns regarding the content of a reference, please contact your Human Resources Advisor.

2.2Use of Testimonials

2.2.1Candidates may provide testimonials with their applications; however, these should

not be relied upon and references should be taken up as detailed in 2.1.

2.3Providing References

2.3.1Although there is no legal obligation to provide them, it is not University policy to withhold references. To refuse to provide a reference for an ex-employee could, therefore, be viewed as post-employment discrimination.

2.3.2 The standard template for responding to reference requests can be found in Annex B. It’s strongly recommended that references are not given over the phone to avoid being misquoted.

2.3.3All references should be clearly marked as ‘Private and Confidential for the Attention of the Addressee Only’.

2.3.4Email, as a means to send a reference, should be used with care. The sender must be certain that the reference is only sent to the person requesting it. The email should be clearly marked ‘Private and Confidential for the attention of the addressee only’ and the reference should be sent as an attachment. To avoid accidentally sending a reference to someone other than the main addressee (for example, someone who has been ‘blind copied’ into the request) do not email a reference by reply; always send a new and separate email.

2.3.5Anyone who provides a reference owes a duty of care to both the subject and recipient of the reference, that the content is true, accurate and fair and does not give a misleading impression.

2.3.6References should be factual and views and opinions avoided if possible.

2.3.7If opinions or views are sought, referees will need to ensure that the information is clear, concise and evidence based. Care should be taken to avoid interpretations or misunderstandings that may bring liability on either the referee or the University, or bring the University into disrepute.Please note that the applicant may be able to request sight of a reference that has been provided.

2.3.8If an employee has been managed in accordance with any of the Human Resource procedures (e.g. disciplinary, capability processes) please contact your Human Resources Advisor for further advice before submitting the reference.

2.3.9Should the refereeprovide unfavourable information, they must genuinely believe the information to be true, have reasonable grounds for that belief and have investigated the matter. In such instances, please contact your Human Resources Advisor.

2.3.10Managers should forward completed responses to reference requests to Human Resources, to be amalgamated onto the individual’s personal file.

2.3.11Personal references (where an individual has asked you to provide a reference that is not connected with any work at Keele University) may be provided, but must not be issued on behalf of the University or on a University headed document.

2.4Providing Testimonials

2.4.1Testimonials should only be provided by someone who knows the individual sufficiently that they would be able to substantiate any information given.

2.4.2Much of the guidance outlined in 2.3 ‘Providing References’ applies to providing testimonials, including the duty of care and the need to clarify views and opinions.

If you have any concerns about references or testimonials, please do not hesitate to contact your Human ResourcesManager or Advisor.

KEELE UNIVERSITY

REFERENCE REQUEST

Date:

Personal, Private and Confidential

For the intended addressee only

Name and Address of referee

RE – REFERENCE REQUEST FOR (NAME OF CANDIDATE/EMPLOYEE)

We have offered (NAME OF CANDIDATE/EMPLOYEE)the post of(POST TITLE)at Keele University, subject to satisfactory references. He/She has given your name as a referee and I would be grateful if you could provide the following information regarding his/her employment with you.

Name of company
Name of referee and designation
Position held by
(NAME OF CANDIDATE/EMPLOYEE)
Start date of employment
End date of employment
Brief summary of duties and responsibilities
Comments on the individuals performance against the job description and person specification (documents attached)
Does the individual have any live warnings on their record?
Any other comments that you think may be relevant
Signature: Date:

All information received will be remain in the strictest of confidence and will be held in accordance with the Data Protection Act

Yours sincerely,

NAME

KEELE UNIVERSITY

RESPONSE TOREFERENCE REQUEST

Date:

Personal, Private and Confidential

For the intended addressee only

Name and Address of other employer

This is a standard template for the use of Keele University managers when responding to a reference request by another employer.

The information provided within this reference, is to the best of the referee’s knowledge, a true and accurate account of the individual’s employment at Keele University.

Name of individual
Name of referee and designation
Position held at Keele University
Department/ Directorate
Start date of employment
End date of employment
Brief summary of duties and responsibilities
Comments on the individuals performance against the job description and person specification (if provided) / Note to Keele University manager: If an employee has been managed in accordance with any HR procedures (e.g. disciplinary, capability processes) please contact your HR Advisor for further advice before submitting this reference. PLEASE DELETE THIS PARAGRAPH
Signature: Date:

GUIDANCE ON THE USE AND PROVISION OF REFERENCES AND TESTIMONIALS – OCTOBER 2014