GUIDANCE ON THE USE AND PROVISION OF REFERENCES AND
TESTIMONIALS
1
PURPOSE AND SCOPE
1.1
Providing and requesting references are common practices in recruitment and
selection. There are, however, statutory obligations and caveats for those providing,
requesting and acting on references received.
1.2
This document aims to provide guidance on the legal aspects and best practice with
regard to the use and provision of references.
1.3
This applies to all employment references requested for, or issued by, Keele
University staff.
1.4
The University recognises that it has a responsibility to both current and exemployees to provide a fair, factual and timely reference in order to assist their future
job prospects.
2
GENERAL PRINCIPLES
2.1
Request 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.
2.1.1
Offers of employment should not be confirmed without satisfactory references having
been sought and received.
2.1.2
Referees must not be contacted without the consent of the candidate.
2.1.2
Candidates 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.
2.1.3
Support 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.
GUIDANCE ON THE USE AND PROVISION OF REFERENCES AND TESTIMONIALS – OCTOBER 2014
2.1.4
A 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 nonacademic references should only seek to verify factual information.
2.1.5
References 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.
2.1.6
All 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.
2.1.7
Managers 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.
2.2
Use of Testimonials
2.2.1
Candidates may provide testimonials with their applications; however, these should
not be relied upon and references should be taken up as detailed in 2.1.
2.3
Providing References
2.3.1
Although 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.
2.3.3
All references should be clearly marked as ‘Private and Confidential for the Attention
of the Addressee Only’.
2.3.4
Email, 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.
2.3.5
Anyone 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.
2.3.6
References should be factual and views and opinions avoided if possible.
2.3.7
If 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.
GUIDANCE ON THE USE AND PROVISION OF REFERENCES AND TESTIMONIALS – OCTOBER 2014
2.3.8
If 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.
2.3.9
Should the referee provide 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.
2.3.10 Managers should forward completed responses to reference requests to Human
Resources, to be amalgamated onto the individual’s personal file.
2.3.11 Personal 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.
2.4
Providing Testimonials
2.4.1
Testimonials should only be provided by someone who knows the individual
sufficiently that they would be able to substantiate any information given.
2.4.2
Much 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 Resources Manager or Advisor.
GUIDANCE ON THE USE AND PROVISION OF REFERENCES AND TESTIMONIALS – OCTOBER 2014
Annex A
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
GUIDANCE ON THE USE AND PROVISION OF REFERENCES AND TESTIMONIALS – OCTOBER 2014
Annex B
KEELE UNIVERSITY
RESPONSE TO REFERENCE 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