Policy: Insert Policy no. · Policy: Insert Policy no. Providing References for ... 18 Acronyms 15...

West London Mental Health NHS Trust of 22

PolicyR17 First Date of Issue: March/2014 This is current version R17/01 April 2014

Policy: Insert Policy no.

Providing References for staff

Version: R17/01

Ratified by: Trust Management Team

Date ratified: 16th April 2014

Title of Author: Head of HR Consultancy Services

Title of responsible Director Director of Organisation and Workforce

Governance Committee Trust Partnership Forum

Date issued: 17th April 2014

Review date: March 2017

Target audience: All staff trustwide

Disclosure Status B Can be disclosed to patients and the public

EIA

H:\policies\EIA\EIA for policy on providing references.doc.docx

Implementation Plan

H:\policies\Implementation plans\Providing references.xls

Other Related Procedure or Documents: Recruitment and Selection Policy (R1), Disciplinary Policy (D4)

Policy: R17



Policy: Insert Policy no. Equality & Diversity statement

The Trust strives to ensure its policies are accessible, appropriate and inclusive for all. Therefore all policies will be required to undergo an Equality Impact Assessment and will only be approved once this process has been completed.

Sustainable Development Statement

The Trust aims to ensure its policies consider and minimise the sustainable development impacts of its activities. All policies are therefore required to undergo a Sustainable Development Impact Assessment to ensure that the financial, environmental and social implications have been considered. Policies will only be approved once this process has been completed.



Policy Name & Number Template

Version Control Sheet

Version Date Title of Author Status Comment

R17 /01 February 2014

Head of HR consultancy Services

NEW POLICY To address a gap in the current policy framework.

Trustwide consultation ending 11.03.14

Approved at April 2014 TMT



Content Page

1 Flowchart 5

2 Introduction 6

3 Scope 6

4 Definitions 6

5

5.1

5.2

5.3

5.4

5.5

5.6

5.7

Duties

Chief Executive

Accountable Director

Managers

Policy Author

Local Policy Leads

HR

All Staff

7

7

7

7

8

8

8

8

6 Systems and Recording 8

7 Management Considerations 8

8 Data Protection 9

9 Equalities 10

10 Procedure 10

11 Employment references for internal applicants 13

12 Mortgage and other reference requests 14

13 Training 14

14 Monitoring 14

15 Fraud Statement 14

16 References 14

17 Supporting documents 15

18 Acronyms 15

19 Appendices

Appendix 1 – Standard Reference Template

Appendix 2 – Reference template for staff dismissed by the Trust

Appendix 3- Confirmation of employment with sickness absence request

Appendix 4 - Confirmation of employment without sickness absence request

Appendix 5 – Monitoring Template

15

16

17

18

20

22



PROVIDING REFERENCES FOR STAFF POLICY

1. FLOWCHART

See section 10 for further information

Authorisation to complete references

Current staff

(Permanent and bank)

Former staff

(Permanent and bank)

Agency Workers

Interim workers not employed by an agency

The manager to whom they reported to

The current line manager or a more senior manager.

The employee’s line manager at the time the person left the Trust.

Return to the organisation requesting the reference.



2. INTRODUCTION

2.1 This policy aims to provide support and guidance when providing references for employment and for other matters (e.g. confirmation of employment and salary for the purpose of obtaining a mortgage etc). The policy also aims to ensure consistency within the Trust in dealing with reference requests and ensuring that legal and NHS obligations are adhered to. The policy outlines who is permitted to provide references, guidance on the content of references, legal considerations and template letters.

2.2 The policy refers to line managers as the appropriate authority to provide references. A

line manager is the person who has managerial or supervisory responsibilities over the employee requesting a reference. Support and guidance is available from the Human Resources (HR). Any uncertainty regarding the provision of references should be clarified with HR.

2.3 The policy does not address the line manager’s obligation to seek, and assess, employment references for candidates recruited to posts within the Trust, under the Recruitment and Selection Policy (R1).

2.4 The Trusts owes our employees three duties, concerning the provision of a reference.

A duty of care in negligence

An implied duty of mutual trust and confidence

A duty not to make defamatory comments or those which amount to malicious falsehood

If an inaccurate reference is given, attempts should be made to correct the error by sending an accurate reference and a covering letter as soon as possible

Further information is included in section 5.3 under managers Duties.

3. SCOPE

3.1 This policy applies to all employees of West London Mental Health NHS Trust. The policy also covers bank workers, agency workers and interims.

4. DEFINITIONS

References are defined as information provided to a prospective employer relating to the employment history of an ex-employee (or for bank staff ex- worker) including positive or negative factual comments about an employee's job performance. Also employment history and salary confirmation details provided for mortgages etc.



Employee – An individual working under a contract of employment.

Worker - This is a broader category than employee. A worker is any individual who works for the Trust, whether under a contract of employment, or any other contract where an individual undertakes to do or perform personally any work or service. Workers are entitled to core employment rights and protections. The following groups of people are workers but not employees;

agency workers

bank staff

interims

5. DUTIES

5.1 Chief Executive

The Chief Executive is responsible for ensuring that the Trust has policies in place and complies with its legal and regulatory obligations.

5.2 Accountable Director

The Director of Organisation Development and Workforce is responsible for the development and revision of this policy. They are also responsible for trust wide implementation and compliance with the policy.

5.3 Managers

5.3.1 Managers are responsible for ensuring policies are communicated to their teams / staff. They are responsible for ensuring staff attend relevant training and adhere to the policy detail. They are responsible for ensuring this policy is followed when providing references and that advice is sought when appropriate from HR. Managers must ensure they have identified any additional costs in their budget before any arrangements are implemented under this policy.

5.3.2 All managers are under a duty to provide a reference which is in substance true, accurate and fair. The reference must not give an unfair or misleading impression overall, even if its discrete components are factually correct.

5.3.3 The Trust will be liable to a claim of negligence if the employee suffers loss as a result of a manager failing to exercise reasonable care in the preparation of a reference. The Trust will not be liable for references that are not comprehensive unless the omission of the information has the effect of giving a misleading impression of the employee

5.3.4 Managers completing references must ensure that a reference is not misleading by breaching mutual trust and confidence. For example, providing a reference which includes performance issues that have not been raised with the employee.



Managers must also ensure that all comments are factual and could not be seen as malicious or defamatory otherwise libel action could be taken against the Trust.

5.4 Policy Author

The Policy Author is responsible for the development or review of a policy as well as ensuring the implementation and monitoring is communicated effectively throughout the Trust via CSU / Directorate leads and that monitoring arrangements are robust.

5.5 Local Policy Leads

Local policy leads are responsible for ensuring policies are communicated and implemented within their CSU / Directorate.

5.6 Human Resources

Business Partners and HR Advisers are responsible for providing professional support and guidance to managers on the application of this policy and will propose policy updates as required. They are also available to provide advice on any aspect of providing employment references including the correct administrative processes that need to be completed in each case. Examples of inconsistency in managers’ decisions should be raised at the CSU/Directorate SMT meetings.

5.7 All Staff

All staff have a responsibility to familiarise themselves with this and other relevant Trust policies and procedures.

All staff must inform their line manager immediately if approached for a reference which they are not authorised or in a position to provide on behalf of the Trust.

6. SYSTEMS AND RECORDING

6.1 References provided should be retained by the line manager that completes the reference and should be made available to HR on request as part of the monitoring process.

6.2 If the reference is completed before the employee’s last day of service with the Trust, the manager should attach a copy in the case management section in ESR (HR1 Stop Consult) using the informal management tab.

7. MANAGEMENT CONSIDERATIONS

7.1 There are a number of points to consider when providing a reference.



Whilst there is no legal requirement to provide a reference, it is customary to provide a reference. There is a potential of a discrimination claim if a reference is not provided without good reason.

Ensure that the reference is not only factually accurate but also fair, and not misleading in the overall impression given to the recipient. Workers may be able to challenge a reference they think is unfair or misleading.

All relevant information should be verified, such as dates of employment, career history, appraisals, record of absenteeism etc.

References can include details about the employee’s performance and if they were dismissed. If a poor reference is provided, the manager must be able to support the contents, for example by providing warning letters otherwise a potential claim could arise that the reference was inaccurate or misleading and the former employee suffered a loss ( e.g. a job offer was withdrawn)

References can be brief – e.g. job title, salary and when the worker was employed providing they are fair, accurate and not misleading

If the Trust provides a confidential employment reference about an employee or ex-employee to a prospective new employer, the Trust is permitted to refuse to disclose that reference to the employee if he or she requests to see it. (Under sch.7 to the Data Protection Act 1998)

Once the employee starts with a new employer they can ask to see a copy of a reference. They have no right to ask the Trust as the previous employer.

8. DATA PROTECTION

8.1 A worker has the right, on request, to be supplied with information constituting any personal data held by the Trust as their ex-employer. Any personal data held must also be accurate and where necessary kept up-to-date.

The following points, however, must be noted:

There is an exemption within the Data Protection Act 2003 (DPA) which means that an employer does not have to supply references given in confidence written in relation to education, training or employment.

Despite this exemption the Trust may choose to provide a copy of a reference which is factual.

It is therefore not obligatory for the Trust as the ex-employer to supply a copy of the reference to the worker.



9. EQUALITIES

9.1 Under provisions in 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.

9.2 Once a job offer has been made, employers can ask questions about matters such as sick day’s absence when taking up references. When managers are asked to provide information on absence due to health reasons, if the worker is still employed they should discuss the response to the question (s) directly with the employee. This is to ensure that the response is accurate, factual and creates an overall fair impression.

9.3 If a question is asked concerning periods of hospitalisation, with the employee's permission, the manager providing the reference should identify the length of the period of absence due to hospitalisation. Merely stating the number of days absent will not give a fair overall impression.

9.4 Managers must remain aware of disability discrimination where the employee has a disability and any absences relate to that disability.

10. PROCEDURE

10.1 Authorisation

10.1.1 The following people are authorised to complete employment references:

Employment Category Authorisation

Current employees The current line manager or a more senior manager.

Former employees The employee’s line manager at the time the person left the Trust. If that manager is no longer employed by the Trust, another manager who can provide a reference. If no manager can provide a reference, the reference should be completed by the HR Advisory Team providing brief details of employment (period employed, job title etc.

Bank workers The current supervisor or a more senior manager.

Former bank workers The worker’s supervisor at the time the person left the Trust. If that manager is no longer employed by the Trust, the reference should be completed by the HR Advisory Team providing brief details of



employment (period employed, job title etc.

Agency workers The request should be returned to the organisation which sent it, stating that the individual was not in our employment, but that of an agency who should provide the reference. An employment reference should not be completed in respect of an agency worker.

It is recognised that agencies will ask managers for information about workers engaged by them, the responsibility for completing any reference however, rests with the recruitment agency.

Interim workers not employed by an agency (usually engaged through a Ltd Company arrangement) and consultants

The manager whom they reported to.

10.1.2 An employee who provides a reference when they are not authorised to do so may be liable to action under the Trust’s Disciplinary Policy (D4).

101.3 If a personal reference is provided, the referee must ensure that the recipient is clear about its status. It should not be presented as representing the view of the Trust and the reference must not be on Trust headed paper or sent from a Trust e-mail address.

10.2 Content

10.2.1 Although the Trust is not under any legal duty to provide job references, a failure to do so could hinder an employee’s future job prospects. It is therefore expected that managers will provide an employment reference on request.

10.2.2 Managers must remember that they are under a duty of care to ensure that any reference provided is factual and accurate and not misleading.

10.2.3 A standard reference provides limited, factual information about the employee. This is likely to be limited to the person’s job title, their dates of employment and the reason for leaving (if they are no longer employed). Where a former employee left the Trust more than 5 years ago, managers should complete a standard reference. This will be based on the information held on the Trust’s ESR system.

10.2.4 As a minimum the line manager should provide a standard reference. A template standard reference letter is attached at Appendix 1.

10.2.5 Where specific information on sickness and disciplinary information is sought the following should be addressed.



(a) Sickness Record

Where available, managers should provide the number of days’ sickness in the previous 12 months, and the number of occasions over which these days were taken. If the employee is no longer employed, this information should be based on the 12 months prior to their leaving the Trust. The reasons for sickness, which are confidential, must not be disclosed.

(b) Disciplinary Record

Managers should only disclose any live disciplinary warnings which exist on the employee’s personal file and should simply state the sanction applied and the reason e.g. ‘written warning for persistent lateness’.

Where an employee has left whilst disciplinary or capability proceedings were not concluded, this should be stated without reference to the nature of the alleged misconduct e.g. ‘Investigations were being conducted in accordance with the Trust’s Disciplinary Policy (D4), or the person was subject to formal action under Trust’s Capability Policy (C30) though this process had not been concluded at the time the individual left the Trust.’

A template letter to providing a reference when an employee was dismissed is attached at Appendix 2.

(c) Dates of employment If the referee is uncertain of the exact employment dates, then they may contact the HR to confirm details of employment (i.e. start/leaving dates and days of absence). (d) Template forms For many reference requests template forms will be provided. e.g. NHS Employers have produced two templates in the document Employment History and Reference Checks (July 2013), one requesting sickness details, the other without sickness details. These are attached at Appendices 3 and 4. The above points, still, however apply when completing any reference.

10.3 Presentation

10.3.1 References should be provided on headed paper with the line manager’s name and title printed under the signature.

10.3.2 Where a form is provided for completion, the manager should clearly print their name, job title and the Trust address.

10.3.3 If the response is to be provided by email, using an electronic form, the manager must ensure it is clear that the response is provided on behalf of the Trust. A copy of



the reference must be retained both electronically and as a hard copy.

10.4 Disclaimers 10.4.1 The following should be added to all references provided.

This reference is given in confidence, to the addressee only, and only for the purposes for which it was requested. The reference is given in good faith, based on the information available to the Trust at the date on which it is given. Neither the Trust, nor the author of the reference, accept any responsibility or liability for any loss or damage caused to the addressee or any other third party as a result of reliance being placed on it.

10.5 Telephone and email Reference Requests

The provision of telephone references is prohibited by the Trust. No information about Trust staff (current or ex-employees) should be given over the telephone. Any requests for verbal reference should be responded to with an offer of a written reference which can be provided by an email on receipt of an official email from an organisation. The referee should ensure that such a request is obtained in writing before providing the reference.

10.6 Where two references are sought from the Trust

Sometimes, particularly when an employee has worked for the Trust for a number of years, two references may be sent to the Trust, one to the line manager and one to the managerial level above. Where this is the case, the managers should clarify with the potential employer whether in these circumstances two references are required. If so, then both managers should provide an honest assessment of the individual and clearly state the working relationship with the employee. If two references are required and managers are asked to score an individual’s ability they should provide an independent accurate assessment based on their knowledge of the employee's job performance.

11 EMPLOYMENT REFERENCES FOR INTERNAL APPLICANTS

11.1 Managers who are asked to provide a reference for a current employee applying for a post internally should provide a detailed reference.

11.2 The Trust has a policy of ‘open references’ for internal applicants. This means that the employee is entitled to be provided with a copy of their reference, from their named referee, on request.



12 MORTGAGE / OTHER REFERENCE REQUESTS

12.1 Requests for references regarding an existing employee’s application for a mortgage or other matters may require consultation with the HR Advisory Service if additional information other than confirmation of employment is requested.

13. TRAINING

13.1 Managers and staff have a responsibility to read and be aware of the relevant parts of the policy. The HR Advisory Service provides advice, policy awareness raising and coaching to managers as and when required. Awareness training on all people policies is included as part of the manager induction programme.

13.2 If line managers are in doubt about completing a reference or on the content of any reference, they should contact the HR Advisory Team for further advice.

14. MONITORING

14.1 Compliance with this policy will be monitored by the Business Partners and HR Advisory Service (a monitoring template is included at Appendix 3 of this document).

15. FRAUD STATEMENT

15.1 The Trust is absolutely committed to maintaining and honest, open and well-intentioned culture. It is therefore committed to the elimination of any fraud within the Trust.

15.2 If fraud is suspected in relation to this policy, please report to the Trust’s Local Counter Fraud Specialist or Director of Finance or ring the National Fraud and Corruption reporting line on 0800 028 40 60.

15.3 Please refer to the Trust’s Counter Fraud Policy and Reporting Procedure (F2) for details. The policy is available on the Exchange.

16. REFERENCES

This policy should be read in conjunction with the following:

References – Workers Rights .Gov.uk

Employment History and reference checks – NHS Employers July 2013



17. SUPPORTING DOCUMENTS

Recruitment and Selection Policy (R6)

Disciplinary Policy (D4)

Counter Fraud Policy and Reporting Procedure (F2)

Guidance for Managers on Agenda for Change (on the Exchange)

18. ACRONYMS

NHS National Health Service

HR Human Resources

CSU Clinical Service Unit

SMT Senior Management Team

DPA Data Protection Act

ESR Electronic Staff Recording

19. APPENDICES

Appendix 1 – Standard Reference Template

Appendix 2 – Reference template for staff dismissed by the Trust

Appendix 3 – Monitoring Template



STANDARD REFERENCE TEMPLATE APPENDIX 1

PRIVATE AND CONFIDENTIAL Name of Addressee> <Address line 1> <Address line 2> <Address line 3> <Postcode>

<Dept Name) <Address line 1> <Address line 2> <Address line 3> <Postcode> Telephone: 020 xxxx xxxx Email: [email protected]

Dear <Name of Addressee> RE: Reference for <Name of Employee>; I am writing to you following your request for a reference of the above named individual. <Name of Employee> was employed as a <Job title>; <Band X> at <Place of Work>, West London Mental Health Trust between <Date employment commenced> and <Date employment ceased>. <Name of Employee> had <Number of sick days> sickness absences over <X Year(s)> on <Number of occasions> occasions. (To be included only upon request) During the course of his/her employment <Name of Employee> was (reliable/trustworthy/honest) and (his/her) work was (considered to be satisfactory / of a high standard). The main duties of <Name of Employee> included: <list> I would recommend <Name of Employee> for the post. Yours sincerely, <Referee Signature> <Referee Name> <Referee Job Title> This reference is given in confidence, to the addressee only, and only for the purposes for which it was requested. The reference is given in good faith, based on the information available to the Trust at the date on which it is given. Neither the Trust, nor the author of the reference, accept any responsibility or liability for any loss or damage caused to the addressee or any other third party as a result of reliance being placed on it.



REFERENCE TEMPLATE FOR STAFF DISMISSED BY THE TRUST

APPENDIX 2

PRIVATE AND CONFIDENTIAL Name of Addressee> <Address line 1> <Address line 2> <Address line 3> <Postcode>

<Dept Name) <Address line 1> <Address line 2> <Address line 3> <Postcode> Telephone: 020 xxxx xxxx Email: [email protected]

Dear <Name of Addressee> RE: Reference for <Name of Employee>; I am writing to you following your request for a reference of the above named individual. <Name of Employee> was employed as a <Job title>; <Band X> at <Place of Work>, West London Mental Health Trust between <Date employment commenced> and <Date employment ceased>. <Name of Employee> had <Number of sick days> sickness absences over <X Year(s)> on <Number of occasions> occasions. (Include if the reason for dismissal was sickness) It was unfortunately necessary for the Trust to terminate <Name of Employee>’s employment due to <Capability / Substantial Reason>.

OR <Name of Employee> was dismissed following disciplinary proceeding for <misconduct / gross misconduct>. Yours sincerely, <Referee Signature> <Referee Name> <Referee Job Title> This reference is given in confidence, to the addressee only, and only for the purposes for which it was requested. The reference is given in good faith, based on the information available to the Trust at the date on which it is given. Neither the Trust, nor the author of the reference, accept any responsibility or liability for any loss or damage caused to the addressee or any other third party as a result of reliance being placed on it.



APPENDIX 3



APPENDIX 4



APPENDIX 5 MONITORING TEMPLATE

POLICY R17 PROVIDING REFERENCES FOR STAFF

Minimum Requirement to be Monitored

Where described in policy

WHO (which staff / team / dept)

HOW MONITORED (Audit / process / report / scorecard) - list details

HOW MANY RECORDS (No of records / % records)

FREQUENCY (monthly / quarterly / annual)

REVIEW GROUP (which meeting / committee)

OUTCOME OF REVIEW / ACTION TAKEN (Action plan / escalate to higher meeting)

Examples of inconsistency in managers’ decisions should be raised at the CSU SMT meetings

Sect 5.6 Business Partners & HR Advisory Service

Review of references provided for compliance through reports to CSU/Directorate SMTs

20% of references provided. Data taken from quarterly leavers reports

Quarterly The Policy and terms and Conditions Group

(A sub-group of the TPF)

Escalate to TPF

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