Produced by Human Resources
January 2012
Human Resources Policy Statement HRPS22
Reference Policy (For Existing/Former Employees and
for Candidates)
Introduction
1. References are intended to provide factual information and an objective assessment of
an individual’s performance. The aim of this policy is to provide guidance to managers on
obtaining and verifying references from a third party for candidates and to provide guidance
on writing references for existing and former employees.
PROCEDURE
OBTAINING REFERENCES ON CANDIDATES
2. All references shall normally be obtained for the successful candidate(s) prior to the formal
written offer being made.
3. Where the University offers opportunities for the accelerated promotion of academic staff
internally, the Promotions Panel shall have a minimum of two references on each candidate
at the time of shortlisting.
4. Prior to consideration of the award of the academic title of professor or reader, at least two
of the candidate’s nominated references shall be obtained.
5. A copy of the job description and person specification for the post shall be sent to the
candidate’s referees. He or she shall be requested to provide information on the candidate
related to the criteria on the person specification and the job description, and where
appropriate including the nature of the work undertaken, quality of their work,
attendance/sickness record and disciplinary issues and, where appropriate, reason for
dismissal.
6. Letters to referees must follow a standard format as detailed in the University’s Recruitment
and Selection Handbook and reproduced in Appendix 1.
Referees/references acceptable to the University
7. The recruiting manager must obtain three references. One referee must be the candidate’s
line manager from his or her current or most recent employment. Where a successful
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candidate has been in paid employment but does not provide a referee from his or her
current or most recent employer, this must be raised with the candidate to find out why. In
some circumstances, it may also be appropriate to take up a reference from another, earlier,
employer. Permission must be sought from the candidate before contacting a referee
other than the nominated referees.
8. Applicants who are school leavers or graduates may nominate head teachers / lecturers /
tutors and any temporary, voluntary or work experience employer as appropriate. Any
problems an applicant has in providing such references should be referred to an appropriate
member of Human Resources for further advice.
9. If the applicant is an existing employee, his or her manager must be approached for a
reference (see para. 19 for a list of referees).
10. In exceptional circumstances, references may be obtained by telephone subject to the
referee being asked for confirmation in writing. In case a written reference is not received, a
file note should be made, which is signed and dated, summarising the nature and content of
a verbal reference. It must be sent to Human Resources to file with the candidate’s details.
11. Character references from friends and relatives are not acceptable.
12. Open references/testimonials are not usually acceptable. They should be used warily as
they can be subjective, inaccurate and unrelated to the specific job description and person
specification. Wherever possible references should be taken up in these circumstances.
13. The originals of references must be sent to Human Resources to file with the candidate’s
details.
Offers of Appointment
14. In no circumstances should a successful candidate be allowed to take up post without any
references. If he or she does take up post without all the references being received, every
effort should be made to obtain the remaining references with the minimum of delay.
15. Where a successful candidate does not give permission to contact his or her current
employer until an offer of employment is made and it is essential that he or she takes up
post before all references are received, a provisional offer of employment shall be made
which shall be ‘subject to the receipt of references which are satisfactory to the
University’.
16. It is the recruiting manager’s responsibility to check the references carefully and to crosscheck the facts provided with the employee’s application form. If references are received
which are unsatisfactory to the recruiting manager this should be raised with an appropriate
member of Human Resources. Further enquiry may be necessary before withdrawing the
offer. If the offer is made subject to the provisions in para. 16 above, a decision to withdraw
the offer or to terminate the contract with due notice (or payment in lieu of notice) will be
valid.
17. If the successful candidate is an existing employee, a reference must be obtained from his
or her manager before taking up post (see para. 19 for a list of referees).
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PROVIDING REFERENCES FOR EXISTING OR FORMER EMPLOYEES
Referees on behalf of the University
18. Only members of the Executive, Pro Vice-Chancellors, Directors and Deans may issue
references on behalf of the University but may delegate the task to an appropriate manager,
but giving final approval for the content. A referee shall normally have direct knowledge of
the employee concerned.
19. Other staff may be nominated as referees on a personal basis. Where a reference is
provided in a personal capacity rather than on behalf of the University, then this should be
stated in the reference and the University’s headed notepaper must not be used.
20. Existing employees should obtain the permission of the member of staff they intend to
nominate as a referee before they submit their application (see para. 19 of those who may
give references).
Contents of References
21. The two principal aims of a reference are:
○ to confirm facts (e.g. to confirm the accuracy of statements made in an application)
○ to provide an opinion as to suitability based on an assessment of performance in post.
22. It is advisable to state in the reference itself what direct contact the referee has had with the
employee in general terms and over what period.
23. References must be provided in good faith and must be fair, reasonable, true and accurate,
and must not deliberately mislead the prospective employer. Therefore the reference may
contain negative aspects as well as positive aspects where the negative aspects are factual
and may be substantiated.
24. Factual information given in a reference relating to timekeeping, disciplinary, sickness,
overall performance, etc, must be substantiated, if queried.
Disciplinary Record
If details of current disciplinary warnings are requested these should be given. If they are
not requested but the employee had current warnings at the time of leaving the University,
these may be disclosed depending on the nature and severity of the offence. Further
advice should be sought from an appropriate member of Human Resources.
A pending investigation which was not concluded should only be referred to if the alleged
disciplinary offence was one of gross misconduct and could affect the employee’s suitability
for the employment in question. Further advice should be sought from an appropriate
member of Human Resources.
Sickness Record
Under the Equality Act 2010, it is unlawful for employers to ask job applicants questions
about their health before they have been offered a role, (subject to some exceptions related
to specific circumstances.) If the employee has been offered the role and if an absence
record is requested, the referee should discuss the response to the question directly with
the employee to ensure that the response is accurate, factual and creates an overall fair
impression. Details of the types of sickness should not be disclosed, unless the employee
agrees to/requests this whereby an explanation would be viewed more favourably (e.g. a
one-off hospitalisation period). Disability-related absences should not be included under
sickness absence and should not be disclosed unless specifically asked for and with the
consent of the employee.
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Criminal Convictions
A referee is not required to disclose a ‘spent’ or current conviction of an existing or former
employee. However, where a post is exempt from the Rehabilitation of Offenders Act
1974, a referee may be asked to respond to a direct question on this issue and the existing
or former employee should give permission to disclose this information. Further advice
should be sought from an appropriate member of Human Resources.
Dismissal
If the employee was dismissed this should be disclosed without giving details. The advice
of an appropriate member of Human Resources should be sought in these circumstances.
If an employee has been dismissed on the grounds of unsatisfactory performance, care
must be taken with writing the reference. Advice from HR should be sought on this.
25. Any information given must be relevant to the post. If a problem is current and relevant, it
should be raised with the employee who should be told that the referee believes these
factors to be relevant. The referee may not be fulfilling his duty of care to the prospective
employer by not drawing their attention to a problem (but not providing all the details). The
prospective employer is likely to make their own enquiries.
26. If asked to give an opinion on suitability or likely future performance, this should be objective
and based on fact, past observation and experience. If possible, it should be made clear
that this is opinion, not fact.
27. Under Data Protection law individuals may request copies of references from their new
employer. Although the author of the reference may request confidentiality and exemption
from disclosure, if legally challenged there is no guarantee that the information will remain
confidential.
28. All references provided on behalf of the University must be on University headed notepaper
and should be sent to the address of the third party, unless specifically requested otherwise.
29. Where a reference is requested on a former employee who worked for the University some
time ago and there is no referee who has direct knowledge of that individual and there is
little information in the personal file, it may only be possible to confirm factual information on
dates of employment and post held.
30. Requests to provide references addressed ‘To whom it may concern’ should be treated
carefully. Where the name of a future employer is unknown and/or contact may be difficult,
factual details confirming dates of employment, job title and duties, with a note of a contact
from whom a full reference can be obtained shall be provided.
31. Copies of all references provided on behalf of the University, including any sent by e-mail
and notes of oral references should be sent to Human Resources to be retained in the
personal file held centrally.
Providing oral references
32. Requests for oral references from a third party should be treated with caution and should
not be necessary. Oral references have the same legal standing as written ones but can be
misinterpreted or misconstrued. The prospective employer may take full notes or transcribe
the conversation which he or she may be obliged to disclose at a later date. The referee is
unlikely to see the transcribed reference and is not in a position to authorise this version.
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33. The referee should verify the authenticity of the request by telephoning the third party
(rather than accept an incoming call). If it is not possible to fax or email a written reference
to the prospective employer (verifying that the contact details are authentic), in very
exceptional circumstances an oral reference may be provided. The referee should state that
it is given ‘in confidence’ and it should be followed up in writing, confirming that this is the
formal reference not the oral reference.
34. A file note must be kept of an oral reference given on behalf of the University which should
be an accurate record of the conversation, if it is not possible to follow up with written
confirmation immediately.
Failure to Provide a Reference
35. A referee may only decline to provide a reference if the employee does not give full or only
gives partial consent to disclosure of all relevant information. All employees should be
treated fairly and refusal to provide a reference without justification may be considered a
breach of the implied term of mutual trust and confidence. Advice must be sought from HR
in these cases.
Timing
36. Requests for references should be responded to as quickly as possible. If a delay cannot be
avoided it is good practice to acknowledge the request and indicate when the request will be
dealt with. If appropriate, notification should be given to the employee as well.
Disclaimer
38. The following disclaimer should be written into the reference:
‘ This reference is given in good faith based upon current information known to me or the
University about (name of employee) and without any liability on either part.
The University will not, as a matter of policy, necessarily discuss in its references matters
relating to any medical condition, mental health or convictions or allegations of criminal
activity. No liability is accepted for any omission of such matters, and recipients of
references should make separate enquiries elsewhere on these issues if it is deemed
necessary.’
Complaints
39. If a referee receives a complaint about a reference, no liability should be admitted, and the
matter should be referred immediately to an appropriate member of Human Resources.
This Policy was developed through consultation with the Management Team and recognised
Trade Unions. It was approved by Executive Team at its meeting on 18 January 2001 and
reviewed in January 2012.
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Appendix 1
Extract from Recruitment and Selection Handbook:
Suggested wording for the covering letter/email to be sent to referees. A reference
proforma (following) should be attached with the request.
Date:
Ref:
Direct dial : 0202 8411
Dear
We have offered (name) the post of (title) with in the xxxx School/Service at Middlesex
University.
(Name) has given your name as a referee and we would be most grateful if you would provide
us either with a letter of reference which addresses all of the points on the attached form (where
appropriate) or provide us with the attached form completed, and return it to me at the above
address by (date).
I attach a copy of the job description and person specification of the post for your information.
Middlesex University is an equal opportunities employer. Our aim is to ensure that no applicant
or employee receives less favourable treatment or is disadvantaged by personal attributes or
circumstances which are irrelevant to the post. Measures will be taken to ensure that
individuals are selected on the basis of their relevant merits and abilities.
The Data Protection Act 1998 allows employees, on request, access to references held by their
employer which have been supplied by a third party. In addition, Middlesex University has a
policy of openness and allows staff access to information held about them.
Please confirm whether or not we have your consent to disclose the reference that you are
providing in the event that the applicant asks to see it. A consent box is included on the
attached feedback form.
Thank you for your assistance.
Yours sincerely
…………………..
Name and Position
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Referee Feedback Form
To be completed by Middlesex University Line Manager:
POST: _______________________________________
Ref No: ________
APPLICANT:
_______________________________________________
REFEREE:
_______________________________________________
We would be most grateful for your comments on the following, where appropriate. Please
continue on a separate sheet where necessary. Please advise here whether you consent to us
showing your reference to the applicant should (s)he ask to see it, by crossing through as
appropriate.
I DO / DO NOT* GIVE MY CONSENT TO THE ABOVE HAVING ACCESS TO THIS
REFERENCE IF THEY REQUEST IT.
If you do not consent to disclosure of your reference please explain why:
____________________________________________________________________________
Where a question is not applicable because the candidate was/is not employed by you please
write N/A
Applicant’s most recent job title in your employment:
Dates of employment with you
Start Date:
End date:
Please confirm from your own records that the applicant has the following qualifications:
Please list the qualifications the applicant has listed on the application form and which are
essential for the post:
Description of Work Undertaken with you (please enclose a job description if available)
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Quality of Work
Number of days absent due to sickness in the last 12 months:
Numbers of days absent due to a disability in the last 12 months:
Details of any “live” disciplinary warnings:
Date issued:
Reason:
Reason for leaving your employment:
If dismissal, please explain:
Referring to the enclosed job description and person specification please comment on:
Their ability to carry out the job and duties:
Whether they meet the requirements of the person specification:
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Would you re-employ the above? Yes / No / Not Sure
*If no, or not sure, please explain______________________________________________
Signed: ____________________________________________________
Date: ____________________
Please print your name:
__________________________________________________________________
Relationship to Applicant:
___________________________________________________________________
Middlesex University is working towards equality of opportunity. All information
provided will be used fairly and without discrimination.
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