Requesting references

All appointments at the University are subject to the receipt of satisfactory references.

References should be sought routinely as part of the selection process for all University appointments, in combination with an interview and other forms of selection assessments. References should never be used as the sole grounds on which to base a recruitment decision as they provide a limited perspective of an individual´s abilities and performance.

Requesting references encourages candidates to be honest about the claims made at application stage, but as the candidate selects who to nominate as a referee it is reasonable to expect that a favourable representation of her/him will be presented. Therefore, additional tests are required to establish a fuller picture of the candidate.

When to request references

At the outset of your selection action planning, agree at what stage in proceedings you will seek references:

• seek references for all shortlisted candidates in advance of the interview/selection tests day in order that the interview/selection panel may consider the information provided as part of the decision-making process
• undertake your interview and selection tests, identify a recommended appointee and seek references for that individual and only formally offer the post if satisfactory references area received.

Once you have decided which option to take, be aware of the following:

• it is important that you are consistent in your treatment of all shortlisted applicants
• if references are not received for all applicants in time for interviews as requested, this should not have a negative effect on the candidates in question
• consider the effort involved in providing references and only approach referees for this information if it is genuinely required.

Requesting a reference

Once you have agreed when to seek references, consider which format of reference you will seek.

The main format options for requesting a reference are:

• Open request - which asks the referee’s opinion on the candidates to undertake the job as detailed within the About the Job for the post.
• Structured reference request - which asks the referee to grade the candidate’s suitability on a number of areas identified as relevant to the About the Job requirements, and general areas eg attitude, trustworthiness etc. This is often presented within a summary table format.

Legislation has had a considerable impact on the format and content of references in recent years. The risk of potential claims of damages against referees on the grounds of negligence means that the factual content of the reference must be accurate and that the referee should clearly differentiate between fact and opinion. In addition to this, the Data Protection Act 1998, provides an applicant with the right to request access to the information contained within a reference as received by the prospective employer. Consequently, many referees now write references with extreme caution and will limit their response to factual information only. In certain sectors, eg insurance, legal areas, employers may only provide confirmation of employment start and end dates only. This is not a reflection of the candidate, but an industry norm.

Structure your reference request

Considering this background information, it is recommended that you structure your reference request in order to receive a relevant and useful reference. The benefits of a structured approach include:

• ensuring that you receive information directly relevant to the post./assessment process
• reduces the possibility of avoiding difficult issues e.g. use of phrases such as “any employer would be lucky to have Mr XXX work for them”, which could be an ambiguous way of saying that it is difficult to motivate him into action
• reducing the time commitment of the referee to provide a response, thereby reducing effort involved and hopefully enabling a speedy turnaround time
• creating a level playing field approach for candidates, as the bias that is inherent in unstructured reference responses is reduced. The reference should be a measure of the candidate’s abilities, not the referee’s writing talents or determination to sell the applicant in order to move them on to another employer.

Clearly, within this structured approach it is essential to include the opportunity for the referee to provide additional information about the applicant beyond that requested, if s/he so wishes.

An example of a structured request form with covering letter is available as a download from the right hand links. As with any recommended proforma, the document should be adjusted to meet the requirements of the post in question, as detailed within the job description/person specification.

Seeking information about disability and health concerns

Due to changes in equality legislation, with effect from1 October 2010, employers may no longer seek information about disability and health concerns in relation to an individual´s ability to undertake a role as a blanket measure for all applicants. Such information can only be sought of a candidate who is at offer stage to ensure that the need for any adjustments does not have a negative impact on the decision-making process. The central reference templates has been revised to include this. Please ensure that you use the correct template depending upon which stage in the recruitment process you are at in order to avoid breaching legislative requirements.

Exceptions to this will be posts which have a clear physical requirement as an essential part of the role eg driving or lifting heavy items. As the final appointment will be subject to University Staff Occupational Health assessment on this criterion, it will be featured in the About the Job as an essential criterion and at interview stage all applicants will be reminded that the appointment will be subject to this criterion being met.

Referees

e-Recruitment requests the candidate to confirm her/his relationship with the nominated referees. The reference should focus on seeking evidence about a candidate´s abilities and experience in a working environment. This will be provided most effectively by current or previous employers. Evidence of voluntary work roles, and other interests where candidates have held responsibility, may be useful if paid employment history is limited. However, general character references are less relevant than professionally focussed ones and references from friends and family should be avoided due to risk of potential bias.

If you are not satisfied that the proposed referees will provide the information you need, discuss other options with the candidate.

Always seek a reference from the candidate´s current, or most recent, employer wherever possible prior to confirmation of the job offer. Be aware of the timing of such a request if the candidate has confirmed that s/he does not wish for his/her current employer to be contacted prior to interview. If s/he asks that references are not sought prior to the offer of appointment, ensure that any provisional offer is explicitly made subject to satisfactory references being obtained, and check with the candidate before seeking such references.

Receiving reference information

You are advised to only use reference information sought and received in a formal manner within the selection decision-making process. Information about candidates received via an informal route may be incorrect and biased, and if you use this information to inform your choice you will have no recourse with the provider in the future. The use of informal information is unprofessional and increases considerably the risk of unfair discrimination within the selection process, thereby raising your vulnerability of receiving a legal challenge and also potentially missing out on the best person for the post.

Remember, that when speaking to referees it is important to make them aware that the information they provide will be used as the reference. If, due to time constraints, you must conduct a reference `interview´ by telephone, work through the pre-prepared questions covered by your reference request, record the responses on a copy of the document and inform the referee that you will retain this as the formal reference.

Contact you customary HR contact for further information on any of the above.

Access to References received as part of the R&S process

a) Access within the recruiting department

Any reference received within a recruiting department must be considered a strictly confidential document and treated appropriately. Access should be restricted to those members of staff involved in the interview process only.

b) Access by the applicant

Under the Data Protection Act 1998, an applicant has the right to request access to the content of any reference received regarding her/him as part of a selection process. However, as part of this information disclosure, the rights of any third party referred to, or whether it is appropriate to disclose the identity of the author, have to be considered. Therefore, if you receive a request from an applicant to access the content of a reference, it is essential that you seek guidance from your customary HR contact before any aspect of this document is disclosed.

c) Storage and Retention

In line with the Data Protection Act (1998), personal information about applicants should not be retained for longer than is necessary to provide feedback on their application and defend an Employment Tribunal claim, if necessary.

References may be uploaded to e-Recruitment for storage. All data within e-Recruitment will be will be held for up to 5 years and then will be archived anonymously. This complies with the data privacy statement that applicants accept before they are able to submit an application. Departments do not need to delete applicant information held in e-Recruitment, this is managed centerally.

If any paperwork is retained within the recruiting department this should be disposed of securely (e.g. via confidential waste or shredded) within six months of the appointment date. See right hand link for more information.

It is essential that all staff involved in any element of the recruitment and selection process adhere to the University´s guidelines at all times. Recruiting departments should be aware that the Data Protection Act (1998) gives individuals the right to access copies of personal data held on computer or in a paper-based filing system, including any shortlisting and interview notes and emails relating to the individual. A request to view such information is known as a `Subject Access Request´. A Subject Access Request to view documentation associated with the recruitment process should be discussed with your customary HR contact before you respond.

Other forms of pre-employment checks

For certain University appointments it may be necessary to seek more specific information about a candidate´s suitability for the post beyond references, interviews and selection tests e.g. CRB check, Work Health Assessment etc. See right hand link for further information.