External Staff Vetting Archive
External Staff Vetting Country Specifications effective date: 1st May 2024
External Staff Vetting Country Specifications effective date: 1st May 2024
A | B | C | D | F | G | H | I | ||||||||
J | K | L | M | N | P | R | |||||||||
S | T | U |
|
|
|
|
|
External Staff Vetting Country Specifications effective date: 1st July 2023 for Poland
External Staff Vetting Country Specifications effective date: 1st July 2023 for Poland
External Staff Vetting Country Specifications effective date: 1st April 2023
External Staff Vetting Country Specifications effective date: 1st April 2023
A | B | C | D | F | G | H | I | ||||||||
J | K | L | M | N | P | R | |||||||||
S | T | U |
|
|
|
|
|
External Staff Vetting Country Specifications - Effective date: 19th February 2022
External Staff Vetting Country Specifications - Effective date: 19th February 2022
A | B | C | D | F | G | H | I | ||||||||
J | K | L | M | N | P | R | |||||||||
S | T | U |
|
|
|
|
|
External Staff Vetting Check Delays & Findings
External Staff Vetting Check Delays & Findings
Vetting Check Delays
According to UBS policy, all pre-start vetting checks must be completed prior to signing the Staff Declaration Form. Therefore, you can only report delays on post-start vetting checks.
Reporting Delays of Post-Start Vetting Checks
UBS expects suppliers to report delays of post-start vetting checks in a standardized format according to the following mandatory requirements:
- Delays of vetting checks must be reported for each staff member individually by using a standardized email template
- The email must be sent to relevant External Staff Vetting Team (see 'Contact')
- Delays must be reported at least 3 days prior to the actual deadline as outlined in the country specifications
- UBS expects delayed post-start checks to be closed within a maximum of 4 weeks*
*UBS reserves the right to decide to offboard a candidate based on repeated failure to meet UBS’s vetting check deadlines.
Reportable/Adverse Findings
Findings in pre start checks (declaration of family relationship and/or directorship)
Declaration of any Family Relationship and/or External Directorship must be notified to UBS by sending an email to the relevant External Staff Vetting Team (see 'Contacts') and attaching a copy of the Staff Vetting Declaration Form.
Adverse findings in post start checks:
Integrity is highly important for UBS as it is a fundamental element of our organization’s personality. UBS places the highest value on the honesty and integrity of our external staff members. Honesty in fulfilling UBS’s required vetting documentation for all UBS external staff is therefore a pre-requisite. All information supplied by your employees as part of the onboarding / vetting process must be correct, truthful and complete. When a potential integrity conflict arises, UBS expects suppliers to consider such while conducting the appropriate risk assessment. Providing misinformation (i.e. information that is not correct, truthful and / or complete or failing to disclose required information) or unresponsiveness of external staff is grounds for automatic disqualification.
Adverse Findings as outlined in the Finding Thresholds require Suppliers to perform an Individualized Assessment in accordance with applicable law. Please always consider that the decision made should not expose UBS to any reputational or operational risk. In the case that your employee needs to be withdrawn from providing services to UBS please inform the relevant External Staff Vetting team (see 'Contact') and your business contact immediately.
Important
- Any inability to conduct a check as outlined in the applicable country specification must be reported to UBS. Please send an email to relevant External Staff Vetting Team (see 'Contact')
External Staff Vetting Country Specifications – track changes effective date January 20th, 2021
External Staff Vetting Country Specifications – track changes effective date January 20th, 2021
A | B | C | D | F | G | H | I | ||||||||
J | K | L | M | N | P | Q
| R | ||||||||
S | T | U |
|
|
|
|
|
Country specifications with effective date of 3rd January 2020 could be available upon request
Country specifications with effective date of 3rd January 2020 could be available upon request
Communication Date: 26 July 2018
UBS has now completed an extensive country specification review to ensure vetting checks are in line with locally applicable laws and regulations. New country specifications come into effect on 1st September 2018.
Please find below a list of countries where changes were noted.
What's changing
- France: External Directorship Database Search will be implemented for all external staff (currently not allowed)
- Germany: External Directorship Database Search is no longer allowed (currently allowed)
- Kazakhstan: External Directorship Database search is required to be completed pre-start (currently latest 4 weeks after start)
- Macedonia: Removed criminal check from the country specifications to re-inforce legal advice
- Monaco: External Directorship Database Search will be implemented for all external staff (currently not allowed)
- South Africa: removed the South Africa Fraud Prevention Report from criminal checks, other components within this check remain
- India: removed the CIBIL component from the credit check requirements, other components within this check remain
- Malaysia: In addition to the bankruptcy check, credit check can now also be performed for external staff in Malaysia.
How does this affect you as a Level 1 supplier?
- The country specifications for each country have been updated and the new versions that come into effect on 1st September are now available via the "Country Specification" tab.
- All onboardings that are raised within the UBS HR system as of 1st September must be vetted according to the newly published country specifications and you will be audited accordingly.
- If you are working with one of the UBS preferred vetting vendors, you can update your packages according to UBS packages. If you are working with an alternative UBS approved vetting vendor or perform vetting checks in-house, please ensure your packages/processes are aligned accordingly.
The above mentioned changes will be effective as of 01 September 2018.
Note: Due to the recent changes in data protection regulations in the EU, a number of countries will undergo another review in Q4 2018. Should further changes be made, you will be notified in advance.
Communication date: 27 April 2018
In a continued effort to simplify the vetting requirements and managing operational risks, UBS has made some important changes which will impact you and your staff.
What's changing
- UBS is removing the "Employment History" and "Professional Qualifications and Highest Education" checks from the vetting requirements for external staff. Suppliers are expected to provide UBS with suitably qualified, skilled and experienced staff to deliver the services in a professional and timely manner and to a standard acceptable to UBS in accordance with the contract between you and UBS.
- UBS is introducing a new global vetting check: the "External Directorship Database Search." The check will be performed post-start for all Category I external staff. The database search is in addition to the self-declaration and is aiming to further assess each candidate's integrity and flag potential conflicts of interest.
- Data protection laws in Europe are changing. UBS is updating all relevant content in order to meet the new standards.
How does this affect you as a Level 1 supplier?
- The staff vetting declaration forms has been amended to reflect the above changes. The new versions will be available on the webpage as of the 25th May. Please note that UBS is unable to accept any previous versions of the staff vetting declaration forms after 25th May 2018.
- The vetting finding guidelines are currently under review and will be available on the Level 1 supplier webpage as of the 25th May 2018.
- You will no longer be audited against the "Employment History" and "Professional Qualifications and Highest Education" checks for vetting cases that are raised via the UBS HR system as of 25 May 2018.
- You will be audited against the "External Directorship Database Search" check for vetting cases that are raised via the UBS HR system as of 25 May 2018.
- If you are working with one of the UBS preferred vetting vendors, you can update your packages according to UBS packages. If you are working with an alternative, UBS approved vetting vendor or perform vetting checks in-house, please ensure your packages/processes are aligned accordingly.
Pre-Information: Country Specification Review
UBS is currently reviewing all country specifications to ensure its vetting requirements are following locally applicable laws and regulations. You will be informed of changes and updates one month prior to implementation to allow time to update your packages with the vetting vendor and align internal processes.
Communication Date: 27 November 2017
Effective 1st January 2018, UBS is making changes to the vetting organization which may impact your internal vetting processes. To cater to the needs of every region, UBS is decentralizing the vetting processes for external staff. Vetting cases for the EMEA region will continue to be done out of our Business Centre in Krakow, while vetting cases for APAC and the AMERICAS will be done out of the respective region.
How does this change affect you?
As a Level 1 supplier, you are required to report any findings in pre-start checks (Family Relationship and External Directorship Check) as well as delays in post-start checks to the External Staff Vetting Team using a standardized email. Depending on the work location of your staff, please use the following email addresses:
SH-HR-ExternalStaffVetting-APAC@ubs.com (for external staff with a work location in the APAC region)
SH-HR-ExternalStaffVetting-EMEA@ubs.com (for external staff with a work location in the EMEA region)
SH-HR-ExternalStaffVetting-AMERICAS@ubs.com (for external staff with a work location in the AMERICAS region)
This change is now reflected in the Staff Vetting Declaration form. Please use the new form and the new email addresses from 1st January 2018 onwards.
Communication date: 15 August 17
1) We have re-worded the criminal and credit section for the majority of country specifications for the APAC region. Below is an overview of the changes:
- Indonesia: Change in wording for the credit check to better explain international requirements
- India: Remove the bankruptcy database searches
- Japan: Change in wording for the credit and criminal check to better explain international requirements
- Japan: Registered status check will be performed by UBS (if required)
- Korea: Change in wording for the criminal check to better explain international requirements
- Malaysia: Change in wording for the credit check to better explain international requirements
- Singapore: Change in wording for the criminal and credit check to better explain international requirements
- Thailand: Change in wording for the credit check to better explain international requirements
- Luxembourg: Removal of the credit check
2) We have added new content in the 'Level 1 Overview' link, which has updated guidelines for Level 1 suppliers and information about the Level 1 approval process.
Any supplier who would like to change process e.g. change vetting vendor or add additional countries in which they can conduct vetting on the Level 1 process, should read the section about the Level 1 approval process.
Effective date: 31st July 17
Credit Check for US
(Clarification point: This is applicable to staff on boarded to UBS in US only and NOT staff on boarded to other UBS locations who have a US residency in the last 5 years and require credit check as part of the country specification requirement)
Due to changes in federal/state/local laws within the US, employers are subject to broader restrictions in using credit checks to vet current and future employees/external staff.
You, in collaboration with the UBS hiring manager, are required to identify whether a credit check for your candidate is required based on the candidate's role. To get this information you are obliged to reach out to the UBS hiring manager/business contact to ensure that you will be provided with the US Credit Check Validation form – which you can view in the 'document library' on the site.
A credit check will only be required for the instances where an external staff candidate fulfills one of the following conditions contained within the US Credit Check Validation form (e.g. IT Highly Privileged User, Responsible for UBS Funds or Assets, Registered person, etc.).
Please ensure that the form together with other vetting evidence of your candidate is stored accordingly (within the vetting file you hold for each candidate).
We are making some important changes to our vetting process which will impact you and your staff. All changes take effect on 31st July 2017.
ID and right to work check
As outlined in the staff vetting annex, you are required to ensure that all necessary ID and right to work documents are in place. The staff vetting declaration form now contains an additional paragraph where you explicitly confirm that your staff has all appropriate and applicable visas, work permits and permissions for the relevant jurisdiction. You will not be audited on these checks. It will be your decision whether you perform these checks in-house or through a UBS certified vetting vendor. Background checks require an ID document together with the staff vetting declaration form - if applicable by local law.
Escalations in case of delays and findings
Delays in vetting checks
Any delay from the pre-defined timeline must be reported to the UBS External Staff Vetting team before the relevant deadline is missed. A standardized email template is available on the Supplier Level 1 Website and further information can be found in the staff vetting declaration form. Failure to perform checks in a timely manner may result in loss of access rights to UBS systems and/or building, and ultimately, the possible termination of your staff.
Findings in Self-declaration for family relationship and external directorship checks
There is no change in the process. Any finding must be escalated to UBS as part of the pre-start checks and outlined in the staff vetting declaration form.
Adverse findings in post-start checks (credit and criminal check, professional qualification and highest level of education)
New: Level 1 suppliers are no longer required to notify UBS of any adverse findings in post-start checks. It is the supplier's responsibility to thoroughly assess any finding based on the UBS "Vetting Finding Guidelines" and applicable law. Based on this assessment, you must decide whether the candidate should be withdrawn from providing services to UBS. If you decide to withdraw a candidate you must inform the External Staff Vetting team (SH-Krakow-GlobalStaffVetting@ubs.com) and your UBS business contact immediately.
The staff vetting declaration from has been amended to reflect these changes. Please use the updated version as from 31 July 2017 – (not before this date. After this date old versions will not be accepted.).
Effective 24th February 2017 there is an updated country specification for Poland, which is attached. The difference relates to ID and right to work check to highlight that UBS cannot view or read these documents. Do not send copies of ID with the declaration form for staff that will be on boarded to UBS in Poland.
Communication Date: 5th December 2016
Effective Date: Immediately
Additional Changes to UBS Vetting Specificatons
Further to the recent release of the amended UBS Country Vetting Specifications on 1st October 2016, UBS worked closely with suppliers to evaluate practicability of the new specifications. Based on the feedback provided, UBS has decided to make small alterations for clarification purposes. The revised versions of the Vetting Specifications will be effective 5th December 2016. Please ensure compliance with the revised vetting requirements. Failure to comply with these changes will result in your vetting being non-compliantwith UBS policy. For any questions or concerns, please contact Gemma Halpin (gemma.halpin@ubs.com).
Country Specific Changes effective 5th December 2016
Region | Region | Country | Country | Vetting Check | Vetting Check | Description of Change | Description of Change |
|---|---|---|---|---|---|---|---|
Region | APAC | Country | China | Vetting Check | Credit Check | Description of Change | The supplier must perform the credit check with eligible companies announced by the government. Bankruptcy checks remain unavailable for employment screening purposes in China. |
Region | APAC | Country | Korea | Vetting Check | Criminal Check | Description of Change | Domestic criminal check restriction is only applicable for Korean citizens. For non-Korean citizens, domestic criminal checks are still to be conducted. International credit checks are to be conducted for all citizens if the candidate lived outside of Korea for more than 3 consecutive months. |
Region | APAC | Country | Korea | Vetting Check | Identity Check | Description of Change | Due to restrictions on collecting/storing RRN, ID check cannot be conducted for Korean citizens. However, the check is still to be conducted for non-Korean citizens. |
Region | APAC | Country | Singapore | Vetting Check | Criminal Check | Description of Change | Detailed description of available sources to conduct the civil litigation check has been updated (ACRA, Crimsonlogic) as a substitute for the criminal record check which remains unavailable for employment screening purposes in Singapore. |
Region | APAC | Country | Singapore | Vetting Check | Credit Check | Description of Change | Added a more detailed description of the source where the supplier can conduct the bankruptcy check in Singapore. |
Region | APAC | Country | Taiwan | Vetting Check | Criminal check | Description of Change | Added a more detailed description of the source where the supplier can research candidate information instead of the criminal check which is unavailable for employment screening purposes in Taiwan. |
Region | EMEA | Country | Ireland | Vetting Check | Credit Check | Description of Change | The self-declaration for credit checks has been removed from the specifications. Credit checks are not allowed for employment screening purposes in Ireland. |
Region | EMEA | Country | Kazakhstan | Vetting Check | Registered Status | Description of Change | This check has been removed for external staff in Kazakhstan. |
Region | EMEA | Country | Romania | Vetting Check | Credit Check | Description of Change | The supplier must perform a credit check for each external staff regardless of position. |
Region | EMEA | Country | Romania | Vetting Check | Criminal Check | Description of Change | The supplier must perform a criminal check for each external staff regardless of position. |
Region | EMEA | Country | Russia | Vetting Check | Registered Status | Description of Change | This check has been removed for external staff in Russia. |
Region | EMEA | Country | Ukraine | Vetting Check | Criminal Check | Description of Change | The supplier must perform a criminal check for each external staff regardless of position. |
Communication date: 3rd October 2016
Effective date: Immediately
The staff vetting declaration form has been enhanced by the following two elements:
- Disclaimer at the top of the form to inform about potential delays in onboarding when form is inappropriately filled out.
- Explanation regarding candidate forename(s) and last name
The new documents are attached in the quick links on this page.
Communication Date: 12th September 2016
Effective Date: 1st October 2016
Changes to UBS vetting specifications
The UBS Country Vetting Specifications have been updated following a global review. Effective 1 October 2016, all level 1 suppliers and UBS vetting vendors must implement the changes necessary to be compliant with UBS’ minimum vetting requirements. The changes mainly reflect local feedback received considering current local legal/regulatory restrictions.
To ensure compliance with the revised vetting requirements, UBS recommends that you reach out to your UBS approved vetting partners (vetting vendor, 3rdparties who conduct checks, local vetting teams etc.) and inform them of the changes as soon as possible in order to make the necessary changes to your vetting schedules/process. Please find an overview of the changes below with detailed information of the checks required reflected in the relevant country vetting specification documents.
Failure to comply with these changes by 1 October 2016 will result in your vetting being non-compliant with UBS’ vetting requirement. For any questions or concerns, please contact Gemma Halpin (gemma.halpin@ubs.com) no later than Close of Business on Friday 23rd September.
Overview of Changes to UBS vetting specifications:
Vetting Check | Vetting Check | Summary of Changes | Summary of Changes | Old Check Validation | Old Check Validation | New Check Validation | New Check Validation |
|---|---|---|---|---|---|---|---|
Vetting Check | Professional Qualifications (Highest Level of Education) | Summary of Changes | Option to accept supporting documents if verification could not take place at source. Candidates are no longer required to update CV if discrepancies are detected. Initially submitted CV’s will be the basis to vetting decisions. | Old Check Validation | Highest education and most relevant professional qualification is validated at source and adequately documented. Highest non-university education prior to 10 years is not required to be verified.Discrepancies between CV and professional qualification resp. highest level of education will not be accepted, update of CV required. | New Check Validation | Highest education and most relevant professional qualifications must be verified at source. In cases where this is not possible (e.g. source does not have records, no longer exists or does not respond), appropriate supporting documents must be adequately verified and documented. Highest non-university education prior to 10 years is not required to be verified. |
Vetting Check | Employment & Education History/References | Summary of Changes | Going forward, only gaps of more than 6 months have to be explained. Option to accept supporting documents if verification could not take place at source. Candidates are no longer required to update CV if discrepancies are detected. Initially submitted CV’s will be the basis for the vetting decision. | Old Check Validation | Detailed information containing the employment history of the past 5 years. Employment history (employment time, position) must be verified at source. Gaps of more than 3 months have to be explained comprehensively and evidenced.Discrepancies between CV and confirmations of employment will not be accepted, update of CV required. | New Check Validation | Detailed information containing the employment history of the past 5 years. Employment history (employment time, position) must be verified at source. In cases where this is not possible (e.g. source no longer exists, does not respond or is legally not allowed to confirm employment) appropriate supporting documents must be adequately verified and documented (e.g. supporting documents, email trail, etc.). Employment gaps of more than 6 months have to be explained. |
Vetting Check | External Directorships and Positions | Summary of Changes | Candidates will no longer be asked about potential future directorship positions, only positions they are currently holding. | Old Check Validation | Candidate needs to be asked whether he/she has any external directorship that could raise a conflict of interest with UBS to disclose. Answers are adequately documented. Candidate is not allowed to accept external directorship positions or funcations that could raise a conflict of interest or might be regarded as a conflict of interest with UBS. | New Check Validation | Candidate needs to be asked whether he/she has any external directorship that could raise a conflict of interest with UBS to disclose. Answers are adequately documented. |
Vetting Check | Identity Check | Summary of Changes | Documents must be valid. It is allowed to accept copies of documents (black/white or colour). Suppliers are no longer required to sign on the document. | Old Check Validation | Documents shall not be expired more than 4 weeks.Supplier adequately verifies the identity of the candidate and confirm this verification with signature (place / date) on the colour copy of the official identification document. | New Check Validation | Document shall be valid. Identity of the candidate must be verified by obtaining a readable copy of an official identification document. |
Vetting Check | Right to Work Verification | Summary of Changes | Document must be valid. It is allowed to accept copies of documents (black/white or colour). | Old Check Validation | Documents shall not be expired more than 4 weeks.Supplier adequately verifies the identity of the candidate and confirms that all documents are valid. | New Check Validation | Document shall be valid. Identity of the candidate must be verified by obtaining a readable copy of an official right to work document. |
Vetting Check | Criminal Record Check | Summary of Changes | Appropriate address verification to be performed for the current address. Further proof of residence is only required if legal and regulatory requirements demand such. | Old Check Validation | Document(s) need to be original and current; e.g. dated not older than 2 months from receiving and cover all the jurisdictions/countries where the candidate has resided, was employed, attended school or lived more than 3 months over the last 5 years. An appropriate address verification shall be performed to ensure full coverage of criminal history. Identification of any records associated with the candidate. | New Check Validation | Document(s) need to be original and current; e.g. dated not older than 2 months from receiving and cover all the jurisdictions/countries where the candidate has resided, was employed, attended school or lived more than 3 months over the last 5 years. An appropriate address verification shall be performed for the current address. Further proof of residence shall only be requested if circumstances (applicable legal and regulatory requirements) demand such.Identification of any records associated with the candidate. |
Vetting Check | Credit Check | Summary of Changes | Appropriate address verification to be performed for the current address. Further proof of residence is only required if legal and regulatory requirements demand such. | Old Check Validation | Document(s) need to be original and current; e.g. dated not older than 2 months from receiving and cover all the jurisdictions / countries where the candidate has resided, was employed, attended school or lived more than 3 months over the last 5 years. For bankruptcy check 10 years are traced back. An appropriate address verification shall be performed to ensure full coverage of the credit and bankruptcy history. Check the summary of the candidate credit and bankruptcy history. | New Check Validation | Document(s) need to be original and current; e.g. dated not older than 2 months from receiving and cover all the jurisdictions / countries where the candidate has resided, was employed, attended school or lived more than 3 months over the last 5 years. An appropriate address verification shall be performed for the current address. Further proof of residence shall only be requested if circumstances (applicable legal and regulatory requirements) demand such.Check the summary of the candidate credit and bankruptcy history and compare with address history. |
Vetting Check | Family Relationships | Summary of Changes | In addition to family relationships, candidates should also be asked whether they have personal relationships with people in the same management reporting line. | Old Check Validation | Candidate needs to be asked whether he / she has family relationships with UBS employees. Answers are adequately documented. Family relationship: the relationship with the following persons is counted as ‘family relationship’: marriage partner, companion in life, registered partner, parent, sister, brother, child (including stepchild) and in-laws of the same degree (e.g. father-in-law, brother-in-law). | New Check Validation | Candidate needs to be asked whether he/she has family or personal relationships with UBS employees. - Personal relationship: management reporting line. Answers are adequately documented. - Family relationship: spouse, domestic partner or civil partner (or similar as recognised by law), parent (or parent-in-law), sister or brother (or in-law), child, step child. |
Further to the vetting requirements, UBS has also reviewed the vetting specifications for every country, based on local legal and regulatory requirements. The updated version of the specifications per country can be found here. Please find a brief summary of the changes per country below:
Country Specific Changes
Region | Region | Country | Country | Vetting Check | Vetting Check | Description of Change | Description of Change |
|---|---|---|---|---|---|---|---|
Region | AMERICAS | Country | Bahamas | Vetting Check | Right to Work Verification | Description of Change | Spousal permit is now accepted as a right to work document |
Region | AMERICAS | Country | Uruguay | Vetting Check | Criminal Record Check | Description of Change | this check is no longer allowed |
Region | AMERICAS | Country | Uruguay | Vetting Check | Credit Check | Description of Change | this check is no longer allowed |
Region | APAC | Country | China | Vetting Check | Identity Check | Description of Change | Added a Secondary ID: Hu Kou ID as a valid ID document |
Region | APAC | Country | Hong Kong | Vetting Check | Identity Check | Description of Change | Added the HK SAR passport as a valid ID document |
Region | APAC | Country | Japan | Vetting Check | Registered Status | Description of Change | This check shall now be performed for external staff which was previously employed in the financial industry (JSDA check) |
Region | APAC | Country | Korea | Vetting Check | Criminal Record Check | Description of Change | Criminal checks are unavailable in Korea (due to the RRN number). However, if the candidate has lived outside of Korea for more than 3 months, an international check can be done as it is legal to use the results for employment screening purposes. |
Region | APAC | Country | Korea | Vetting Check | Identity Check | Description of Change | The identity check is no longer allowed in Korea due to the inability to collect and store the RRN number. |
Region | APAC | Country | Korea | Vetting Check | Right to Work Verification | Description of Change | C2 visa is now merged into C3 visa |
Region | APAC | Country | Philippines | Vetting Check | Identity Check | Description of Change | TIN ID, Voter's ID and PRC ID are now also valid ID documents |
Region | APAC | Country | Taiwan | Vetting Check | Criminal Record Check | Description of Change | Perform a global database/media search for external staff instead of the criminal check. |
Region | CH | Country | Switzerland | Vetting Check | Criminal Record Check | Description of Change | Candidates are no longer required to submit hardcopies, softcopies are now also accepted. |
Region | CH | Country | Switzerland | Vetting Check | Credit Check | Description of Change | Candidates are no longer required to submit hardcopies, softcopies are now also accepted. |
Region | CH | Country | Switzerland | Vetting Check | Identity Check | Description of Change | Residence/work permit (B,C) are now also valid ID documents. |
Region | EMEA | Country | Bahrain | Vetting Check | Criminal Record Check | Description of Change | The Vetting Vendor is now also allowed to apply for the criminal check on behalf of the candidate provided the candidate has given his/her consent. |
Region | EMEA | Country | Bahrain | Vetting Check | Credit Check | Description of Change | The Vetting Vendor is now also allowed to apply for the credit check on behalf of the candidate provided the candidate has given his/her consent. |
Region | EMEA | Country | Greece | Vetting Check | Right to Work Verification | Description of Change | EU /EEA citizens are no longer required to present a temporary or permanent residence permit. However, EU / EEA citizens have to apply for a registration with the policy if their stay in Greece exceeds three months. |
Region | EMEA | Country | Greece | Vetting Check | Family Relationship | Description of Change | Self-declaration shall now be requested (previously this check was not allowed) |
Region | EMEA | Country | Hungary | Vetting Check | Credit Check | Description of Change | The civil litigation check is no longer permitted in Hungary as the employer is not allowed to check the financial situation of the employee. |
Region | EMEA | Country | Hungary | Vetting Check | Identity Check | Description of Change | The Hungarian driving licence issued in card form is now also a valid ID document for Hungarian citizens. |
Region | EMEA | Country | Hungary | Vetting Check | Right to Work Verification | Description of Change | The Hungarian driving license issued in card form is now also a valid ID right to work document for Hungarian citizens. |
Region | EMEA | Country | Ireland | Vetting Check | Criminal Record Check | Description of Change | Self-declaration shall now be requested. |
Region | EMEA | Country | Ireland | Vetting Check | Credit Check | Description of Change | This check shall now be performed if the candidate is in a position of financial responsibility. |
Region | EMEA | Country | Ireland | Vetting Check | Right to Work Verification | Description of Change | Additional document (Garda National Immigration Bureau identification card) |
Region | EMEA | Country | Ireland | Vetting Check | External Directorship and Positions | Description of Change | Conduct a simple search on the Companies Registration Office website to compliment the external directorship check. |
Region | EMEA | Country | Israel | Vetting Check | Criminal Record Check | Description of Change | Self-declaration shall now be requested. |
Region | EMEA | Country | Israel | Vetting Check | Credit Check | Description of Change | Perform a search for publicly available information through the Bank of Israel |
Region | EMEA | Country | Israel | Vetting Check | Family Relationship | Description of Change | Self-declaration shall now be requested. |
Region | EMEA | Country | Kazakhstan | Vetting Check | Registered Status | Description of Change | This check shall now be performed for internal/external staff |
Region | EMEA | Country | Lebanon | Vetting Check | Criminal Record Check | Description of Change | Since the "Non-Conviction Certificate only lists existing criminal records, a self-declaration shall be requested to cover any pending criminal proceedings. |
Region | EMEA | Country | Lebanon | Vetting Check | Credit Check | Description of Change | In Lebanon, there are no publicly available records disclosing a person's credit history, the criminal record will address any financial crimes. Similar to the criminal check, a self-declaration shall be requested to cover any pending criminal proceedings related to financial crimes. |
Region | EMEA | Country | Romania | Vetting Check | Criminal Record Check | Description of Change | Criminal check only applicable for specific candidates and if UBS is carrying out banking activities in Romania |
Region | EMEA | Country | Romania | Vetting Check | Credit Check | Description of Change | Credit check only applicable for specific candidates. |
Region | EMEA | Country | Romania | Vetting Check | Right to Work Verification | Description of Change | The registration certificate is now also a valid ID document for EU /EEA citizens. |
Region | EMEA | Country | Russia | Vetting Check | Registered Status | Description of Change | This check shall be performed for internal / external staff. |
Region | EMEA | Country | Saudi Arabia | Vetting Check | Criminal Record Check | Description of Change | Different process on how to obtain the document. Vetting vendors can now also apply for the document with the candidate's consent. |
Region | EMEA | Country | South Africa | Vetting Check | Criminal Record Check | Description of Change | The Fraud prevention record is now also required to be obtained for vetting of internal and external candidates. It is however not required for periodic vetting. |
Region | EMEA | Country | South Africa | Vetting Check | Credit Check | Description of Change | additional comment how the credit check is performed. |
Region | EMEA | Country | South Africa | Vetting Check | Right to Work Verification | Description of Change | Permanent residents do not need a work permit anymore. |
Region | EMEA | Country | Türkiye | Vetting Check | Criminal Record Check | Description of Change | There is an additional administration office where a criminal record can be obtained. |
Region | EMEA | Country | Türkiye | Vetting Check | Right to Work Verification | Description of Change | Former Turkish citizens can present a Mavi kart which is accepted as an official right to work document. |
Region | EMEA | Country | Türkiye | Vetting Check | Family Relationship | Description of Change | This check is performed in Türkiye for internal and external staff. |
Region | EMEA | Country | Ukraine | Vetting Check | Criminal Record Check | Description of Change | Criminal records for certain roles must be submitted to the National Bank of Ukraine who will then suggest a hiring decision. |
Region | EMEA | Country | Ukraine | Vetting Check | Right to Work Verification | Description of Change | Going forward, only D type visa (long-term visa) is accepted as an official right to work document. |
Region | EMEA | Country | Ukraine | Vetting Check | Employment History | Description of Change | Ukrainian citizens are required to submit their labour book as part of the employment history verification |
Region | EMEA | Country | UAE | Vetting Check | Credit Check | Description of Change | Credit checks are now obtained via UAE banks. |
Region | EMEA | Country | UAE | Vetting Check | Identity Check | Description of Change | The Emirates ID card is now accepted as an official ID card document. |
This guide provides information to supplier representatives who are responsible for vetting activities, as agreed between UBS and the Level 1 Supplier.
Updates
Communication date: 11th April 16
Effective date: 11th April 16
1. Reminder: All required fields on the declaration form should be completed. There has been a number forms submitted without the staff category completed. Forms that are not completed correctly will be returned, which will cause a delay to on boarding.
2. Reminder: If your company is going to start providing staff to a country you have not already had your vetting process approved, please inform the Central Vetting Team at the earliest opportunity to allow approvals to take place and prevent delays to on boarding. Level 2 is always an option, if your company can not fulfil the vetting requirement in a particular country.
3. France and Monaco:
The level 2 process is not allowed in these countries, the impact is:
a. There will be reduced due diligence applied, when a company has staff in these countries.
b. A separate agreement is required to cover vetting in these countries and it will be UBS local legal who will coordinate this, rather than ChainIQ. Any existing agreements are no longer valid and a new agreement is required.
c. Audit/spot check will take place locally, with UBS HR. If your company cannot fulfil this requirement, this will need to be discussed with the legal representative at the time you discuss the vetting agreement.
4. Italy: A separate staff vetting annex is required for companies who provide staff into Italy. The new annex contains a data protection document, which is specific to Italy. Any existing agreements are no longer valid and a new agreement is required, it will be UBS local procurement who will coordinate this.
5. Russia: Due to local regulations, all checks are to be pre start.
6. Information: If your company has a global agreement (in most cases a staff vetting annex), but also signs an agreement to cover specific country, the original agreement is still valid in all other countries.
Communication date: 7th March 16
Effective date: 7th March 16
UK regulated hires – All vetting checks pre start at UBS
From the 7th March 16, regulated hires (regulated by the FCA) in the UK are required to have all vetting checks completed before the start date at UBS. The country specification has been updated to illustrate this and has been published on this site in the country specification section.
This will have no impact on most vetting cases, as it is rare that external staff are hired into UBS into a regulated role and in the last 12 months there have been no cases. A key indication that a candidate is regulated by the FCA is information on the CV to show that the candidate is an 'approved person' and can undertake an activity called a 'control function'. A control function is represented on a CV by using the letters 'CF' followed by a number. You can get more information about being regulated on the FCA website.
Communication date: 26 February 16
Effective date: 1st March 16
A new version of the Japanese vetting specification comes into effect.
Under Japanese labor laws provisions in a service agreement which would negatively impair the independence of a service provider as employer could be deemed illegal. The vetting process of staff should be controlled by their employer (service provider) but not by UBS. Accordingly, UBS may propose conditions regarding vetting process but final decision should be made by the Supplier.
Considering the prevailing legal norms, we have revised the country specification for Japan. Please be reminded that these specifications are to be understood as recommendation by UBS and do not constitute any obligation by the Supplier. The Supplier neither has to confirm completion of vetting to UBS for external staff provided to UBS in Japan, nor would the Supplier be audited in respect to vetting done for external staff in Japan.
From 1st March 2016, you should follow the new specification for any vetting cases in Japan. The new specification is attached and the current specification will be removed/archived in March.
Communication date: 25 February 16
Effective date: 1st March 16
A new version of the Luxemburg and Italy vetting specification comes into effect on 1st March.
The change to the Luxemburg specification is with respect to the right to work verification has been detailed / enhanced for the Non EU / Non EEA Citizens to cover those persons who reside in one of Luxembourg's neighbor countries and hold respective document for such a country. The document "ID Card for foreign Nationals" is not relevant and has been removed.
The change with respect to the Italy specification is that that the criminal record check has been withdrawn due to data protection issues.
From 1st March 16, you should follow the new specification for any vetting cases in Luxemburg or Italy. The new specification is attached and the current specifications will be removed/archived in April.
Communication date: 15 February 16
Effective date: 1st March 16
A new version of the Poland vetting specification comes into effect. The changes are with respect to 'external directorships and positions' and the actions taken when a family relationship is disclosed. From 1st March 16, you should follow the new specification for any vetting cases in Poland. The new specification is attached and the current specifications will be removed in March.
Communication date: 27th March 17
Effective date: 27th March 17
Effective 27th March 2017 there is an updated country specification for Hungary, which is updated in the country specification link. The update applies to candidate consent for the education check.
Effective 9th March 2017 there is an updated country specification for Luxemburg, which is updated in the country specification link. The update applies to the criminal record check.
Following changes have been made to the staff vetting declaration form:
Section 1:
- Candidate email address is now required for all external staff
- Home phone number is required for all US external staff
Section 3 :
- Copy of ID/passport is mandatory and can only be ticked with 'yes' à Except for Poland, Taiwan and USA where no such document is required
Guidance Notes re Section 3 :
- Added note on the requirement that pre-start check confirmation must be based on evidence not older than 2 months at time of signing the declaration form
Country Specification
