Employment references policy
Employment references policy
May 2009
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Becta | Employment references policy
Contents
Introduction .............................................................................................................. 3
Scope ........................................................................................................................ 3
Duties and responsibilities...................................................................................... 3
Policy statement ....................................................................................................... 3
Policy principles ....................................................................................................... 4
Employment references ........................................................................................... 4
Background to legislation relating to and associated with the provision of
employment references ........................................................................................... 4
What is an “employment reference”? .................................................................... 5
Potential consequences of providing references: ................................................ 5
Vicarious liability ...................................................................................................... 5
Overall impression................................................................................................... 5
Potential legal action ............................................................................................... 5
Confidentiality and the Data Protection Act (DPA) (1998): ................................... 6
Becta’s policy on providing and obtaining references ......................................... 6
Employment references .......................................................................................... 6
References for contractors or temporary workers ................................................... 7
Telephone references ............................................................................................. 7
Personal references ................................................................................................ 8
References for contracted services ......................................................................... 8
Mortgage and rental references .............................................................................. 8
Rights of access to references held by Becta ....................................................... 9
Expiry ........................................................................................................................ 9
Appendix A - Becta’s standard response to reference requests ....................... 10
Appendix B - Supplier reference form .................................................................. 11
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Introduction
This policy outlines Becta’s position on the provision of employment and other
references and the legal implications concerned with the provision of references.
Scope
This policy applies to all employees who work under a contract of employment with
Becta.
Duties and responsibilities
Managers are responsible for ensuring that all reference requests are dealt with in
accordance with this policy.
The Head of HR Department is responsible for communicating and ensuring
compliance with this policy and is responsible for the maintenance, regular review
and updating of this policy. PCS will be consulted on any changes, which can only
be implemented after approval by Becta Executive Committee.
All those persons referred to within the scope of this policy are required to adhere to
its terms and conditions and should act in accordance with the principles set out in it.
Individual Managers are responsible for ensuring this policy is applied within their
own area. Any queries on the application or interpretation of this policy must be
discussed with a Human Resources Adviser prior to taking any action.
If an individual takes any action that is not consistent with these rules or Becta’s
Standards of Conduct policy, Becta has the responsibility to act to correct the
matter. In every case the findings from an investigation and/or conduct hearing will
be subject to the procedure contained within the Standards of Conduct Policy and
any decision will take into account all the available evidence and any mitigating
circumstances.
Policy statement
This policy rescinds and supersedes all previous policies on the supply of
references.
To ensure consistency in the application of this policy across Becta and the handling
of requests for references, the following principles will apply:
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No references will be sought from any referee without the knowledge and
specific written permission of the applicant.
All reference requests for on current or past employees (whether
employment, mortgage or other references) will be passed to and handled
by Human Resources.
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All requests for references for contracted services will be passed to and
handled by the Internal Procurement Manager.
All references will be given in writing.
Personal references must not be written on Becta headed paper nor in
any way imply that they are written on behalf of Becta.
Policy principles
The principles underpinning this policy mirror those established under the Chartered
Institute of Personnel and Development’s good practice guidelines and the Data
Protection Act (1998).
Employment references
Background to legislation relating to and associated with the provision
of employment references
There is no legal requirement for an employer to provide a reference for a current or
past employee except in industries where regulating bodies impose a specific duty to
do so, or if failure to provide a reference may lead to a victimisation claim where an
employee or ex-employee has made a complaint or claim under Sex Discrimination,
Race Relations or Disability legislation.
However most employers do opt to give some form of reference to avoid a
prospective employer drawing the wrong conclusion from a refusal to provide one.
There is no specific legislation governing the provision of references for current or
past employees. However, the following legislation is relevant:
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The Unfair Contract Terms Act 1977 (UCTA) may apply where an
employer attempts to disclaim liability for a reference.
The Financial Services and Markets Act 2000 applies to the provision of
references. Employers engaged in the provision of financial services
governed by this Act are bound to supply references.
The Data Protection Act 1988 and subsequent guidance details how the
content of references should be processed and how the subject of the
reference might access information held about themselves.
Case law has now made clear that discriminatory acts committed by any
employer after termination of an employee’s contract of employment are
within the remit of the discrimination legislation. Therefore the following
anti-discrimination provisions are all relevant to the provision of
references:
Disability Discrimination Act 1995
Disability Discrimination Act 1995 (Amendment) Regulations 2003
Sex Discrimination Act 1975
Sex Discrimination Act 1975 (amendment) Regulations 2003
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The Race Relations Act 1976
The Race Relations Act 1976 (Amendment) Regulations 2003
Employment Equality (Religion or Belief) Regulations 2003
Employment Equality (Sexual Orientation) Regulations 2003
Employment Equality (Age) Regulations (2006)
What is an “employment reference”?
Employment references are normally used to obtain and/or check information on a
candidate, eg employment history, experience, timekeeping, attendance, overall
performance.
Potential consequences of providing references:
Vicarious liability
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Unless it is specifically stated that a reference is provided on a personal
basis the employing body corporate is liable for what is written.
An employer owes a duty of care to the recipient of the reference. If the
employer gives a “negligent or careless” reference, the recipient will be
able to sue the employer if they rely upon that reference and as a result
suffer loss.
A duty of care is also owed to the subject of the reference in the
preparation of a reference. If, for example, the subject failed to secure a
new job because of a carelessly prepared reference, the subject will be
able to sue. It is therefore essential that anything written in a reference is
based on facts which can be backed up by evidence if challenged. Any
criticism should be substantiated and written evidence should exist that
the employee had been made aware of this issue (eg in appraisal or other
documentation).
Overall impression
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A reference must be “true, accurate and fair” and must not give “an unfair
or misleading impression” – in either a positive or negative light. Any
statement made in a reference must be evidentially based.
Potential legal action
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Defamation – if any false or misleading statement damages the
reputation of the subject
Deceit – if the intention is that the person receiving the reference will act
on it (eg by either withdrawing an offer of employment or by encouraging
an offer of employment to be made by providing flawed information.
Negligence – if the author of the reference fails to take reasonable care in
giving the reference or in obtaining the information on which it is based.
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Confidentiality and the Data Protection Act (DPA) (1998):
The law in the UK (April 2006) is that employers giving references are exempt from
the Subject Access Rights section of the Data Protection Act but employers
receiving references are not, unless there are extremely strong reasons for
preserving the confidentiality or anonymity of the reference provider. In most cases
reasons for withholding information will not outweigh the individual’s right to “subject
access” as the DPA defines it.
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The Data Protection Code of Practice 2002 obliges employers to provide
employees with access to references given by previous employers. If such
access is requested, the code advises, in line with broader DP legislation,
that the identity of the person providing the reference is not disclosed.
However, where a reference could ‘give away’ the identity of the author a
balance has to be struck between the right of the worker to access and the
right of the third party to privacy. Before releasing information to the
worker the organisation should follow a clear decision-making process to
ensure it gets that balance right.
An applicant can apply for a “disclosure order” through the courts to see
their references in cases where they believe that unsatisfactory references
led to dismissal or a job offer being withdrawn.
Becta’s policy on providing and obtaining references
There are a number of different types of reference that may be requested:
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Employment references for staff
References for contractors or temporary staff
Requests for references for contracted services by potential customers
Personal references for staff, contractors or others
Mortgage or rental references – requesting information on earnings,
continuity of employment and occasionally character are requested,
normally from banks, building societies or rental agencies.
The following outlines Becta’s policy and practice on the provision of the above
types of references:
Employment references
All requests for employment references should be referred to the HR Department
who will respond on behalf of the Organisation. Only the Head of HR or HR Advisers
have authority to sign employment references on behalf of Becta. Only the following
information will be given:
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Confirmation of employment dates
Confirmation of post
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No of days absence in the last 12 months (except where disclosure of this
information would contravene legislation such as the Disability
Discrimination Act).
Status as contractor or temporary worker, where either of these applies.
The following statement will be included:
“It is Becta policy not to give detailed references in relation to people’s abilities to
perform a particular role for which you are considering individuals, but I can confirm
that we have had no reason to question HIS/HER conduct or capability during
HIS/HER time with us and we have no reason to doubt HIS/HER honesty and
integrity.” Appendix A (attached) provides an example of a typical Becta reference.
In instances where Becta is being asked for a reference in relation to an employee
where there has been a documented issue with conduct, capability, honesty and
integrity, HR will take advice on how to respond in line with current legislation.
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No other questions will be answered and no opinion will be given
regarding the subject.
Where the subject of the reference is a contractor or temporary employee
this information will be included in the response.
Where the subject is or has been the subject of a compromise agreement
and/or the subject of a disciplinary or competency action, HR will provide
the reference taking due cognisance of the legal implications.
No reference will be provided without the permission of the subject.
Leavers will be asked in their exit interviews whether they wish future
reference requests to be provided and this will be recorded on file.
References for contractors or temporary workers
All requests for references for contractors or temporary workers should be referred
to the HR Department who will respond on behalf of the Organisation. Only the Head
of HR or HR Advisers have authority to sign employment references on behalf of
Becta. Only the following information will be given:
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Confirmation of employment dates
Confirmation of work undertaken
That they worked as a contractor or temporary worker, whichever applies.
No reference will be provided without the permission of the subject.
Telephone references
All requests for references to be given over the telephone will be refused, informing
the person asking for the reference that Becta’s policy is to respond to reference
requests only in writing. They should be advised to contact the HR Department and
request the reference in writing.
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Personal references
From time to time Managers may be approached by current or past employees or
contractors with a request for a personal reference. It is entirely at the discretion of
the referee as to whether they provide this or not. However, if agreeing to provide a
personal reference the referee must make it clear that any statement made is
their personal opinion and that any information provided comes from them.
Personal references must be written on the referee’s own stationery and sent as
from the referee’s home address or personal e-mail address. They must not be
written on Becta headed paper nor sent from Becta’s e-mail address.
It is advisable, however, that the referee follows the guidelines given above and
restrict their reference to factual information for which they can provide evidence if
required to do so. In some cases the request for a reference will be in the form of a
questionnaire or specific requests for information, including an opinion of the
employee’s character. It is not compulsory to answer all these questions and may, in
certain circumstances, be inadvisable to do so.
NB: Providing personal references on Becta’s notepaper, from Becta’s e-mail
address or otherwise giving the impression that the reference is given on behalf of
Becta, is a contravention of this policy and will lead to disciplinary action.
References for contracted services
Any manager who has used a contractor to undertake a piece of work (under a
contract for services) may find themselves approached by either the contractor
directly or by one of the contractor’s customers/potential customers for a reference.
It is usual that they will ask for information regarding what work or type of work was
undertaken and whether it was undertaken satisfactorily. These should be passed to
Denise Akers, Internal Procurement Manager, who will respond to these requests
using information with which she has previously been provided by third parties on
the supplier feedback form (Appendix B attached).
Mortgage and rental references
All requests for confirmation of earnings and continuity of employment from
mortgage companies or rental agencies should be referred to HR. This information
will only be given where HR are certain of the identity of the company requesting the
reference. Under no circumstances will any information of this type be given out over
the telephone. No bank details will be given under any circumstances. No
information of this type will be given out without the permission of the employee
concerned. If no signed authority slip is enclosed with the reference request, HR will
contact the employee and request their permission to release this information.
Any person divulging this information without the written authority of the subject will
be in contravention of Becta’s policy and will be liable to disciplinary action.
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Rights of access to references held by Becta
Whilst the law in the UK (April 2006) is that employers giving corporate references
are exempt from the Subject Access Rights section of the Data Protection Act,
employees or potential employees of Becta have the right to ask Becta for access to
any references which Becta holds about them which have either been provided a. by
third parties to Becta or b. which have been prepared internally within Becta with
regard to transfer internally from one part of the organisation to another.
The process for a member of staff to view details held about them is outlined in
Becta’s ‘Subject Access Requests under the DPA policy’.
Expiry
This policy will expire on 31 March 2011. This policy rescinds any previous policy
relating to Employment References.
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Appendix A - Becta’s standard response to reference requests
PRIVATE AND CONFIDENTIAL
Name
Address
Dear Sirs
Re: Reference for NAME OF EMPLOYEE
Further to your recent correspondence, I have pleasure in confirming details of
employment for NAME OF EMPLOYEE as requested.
Capacity employed: Job Title
Date employed: Employed From
Date employment ended: Employed to
No of days absent in last 12 months: Number of days and number of occurrences
It is Becta policy not to give detailed references in relation to people’s abilities to
perform a particular role for which you are considering, but I can confirm that we
have had no reason to question HIS/HER conduct or capability during HIS/HER time
with us and we have no reason to doubt HIS/HER honesty and integrity.
I hope this information helps you in making a decision on whether to pursue
employment options with HIM/HER.
Yours sincerely
Human Resources Adviser
May 2009
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Appendix B - Supplier reference form
This form enables us to assess how well the supplier is meeting your needs. Please
take a few minutes to review our performance in delivering your project. Please use
the comment boxes provided to support your ratings, particularly where you were not
fully satisfied with the service you received.
To be completed by the Project Manager
Please check the box that is most suited
Project title
Project end date
Consultancy name
Lead suppliers
Name
The supplier met all the objectives they were set.
Met all objectives
Met objectives with
some minor
exceptions
Met some
objectives but some Failed to deliver
significant
objectives
deficiencies
Comments:
The supplier delivered outcomes on time.
All work delivered
to timescales
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Some work
delivered to
Most work delivered timescales but
to timescales
large parts of the
project not
delivered to agreed
timescales
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Work not delivered
to agreed
timescales
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Comments:
The supplier delivered the services to agreed budget.
Yes
No
Comments:
How satisfied were you with the supplier’s overall performance taking into
account delivery of objectives, to agreed timescales and within agreed
budget?
Very satisfied
Satisfied
Dissatisfied
Very dissatisfied
Comments:
The supplier had, or quickly developed, a good understanding of Becta.
Strongly agree
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Agree
Disagree
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Strongly disagree
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Comments:
Other comments (these may include strengths, weaknesses):
Please tell us how to get in touch with you.
Name
Department
Email address
Telephone number
Thank you for providing feedback.
Please now return this form to:
Kevin Davies
Internal Procurement
Email:kevin.davies@becta.org.uk
For Internal use only:
Received:
Form Ref:
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