External Staff Vetting Checks and Timeframes

Vetting Checks

Unless stated otherwise in the country specifications, you must complete all the required vetting checks listed below.

*For external staff category II, suppliers must ensure that the following checks have been completed: Identity check, Right to Work Verification and Criminal Check.

Additional mandatory requirements may apply in a specific jurisdiction (e.g., fingerprinting in the US).

Other engagement types - Candidates changing engagement type or returning on new engagement:

1. Vetting requirements for external staff being re-engaged/returning on assignment to UBS

  • ID, Right to Work, Rehire and Global Background Checks, Relatives and Relationships Check (self-declaration), External Directorship Checks (self-declaration) and Fingerprinting (US) need to be re-performed in any case before a member of staff is re-hired/re-engaged.
  • If an external staff is re-engaged within 6 months (Americas: 3 months) after last engagement ended, Credit, Criminal and Registered Status checks do not have to be re-performed in case documents are not older than 12 months at the time of re-engagement.
  • Contract extensions or renewals of engagement do not imply re-performance of checks as long as they have been completed and documented at the time of engagement, the engagement has not been discontinued and the UBS assessment of sensitivity of the role for vetting purposes is unchanged.
  • In the event that by the time of re-engagement the vetting requirements have changed then any additional requirements need to be complied with (as permitted by law).

2. Vetting requirements for external staff transferring between countries

  • External staff transferring between countries – while on UBS engagement – will be subject to locally specific checks required by applicable law
  • ID, Right to Work and if applicable the check of the Regulatory Status are minimum requirements. In the US additional US Fingerprinting is required.
  • The required checks have to be successfully completed before starting in the new location.
  • The SVD form - confirming that the relevant checks have been performed prior to the start date – should be provided to the Regional Vetting Teams at least 2 days prior to the planned transfer date.
  • Checks for staff transferring between countries also apply to staff returning to their home country to work on an engagement with UBS.

3. Change in Staff Category

  • Change of staff category from Category I to II/III (given there is no break in service) there is no requirement for vetting.
  • Change from Category III to Category I all vetting checks for Category I have to be conducted if documents are older than 12 months.
  • Change from Category II to either Category I or III all vetting checks required for the respective new external staff category have to be conducted (factually this is treated like a regular onboarding of a new external staff).

4. Change from internal to external staff (e.g. divestitures)

  • In case of internal staff transitioning to a new company with no break in service, and continuing to have access to UBS systems and/or premises in any non-registered role, there is no UBS vetting requirement. However, contractual agreements must be in place between UBS and the new company inclusive of vetting requirements for both onboarding and periodic vetting.

5. Vendor-to-Vendor change

  • If an external staff member moves to another supplier (regardless the new/previous levels) without break in service, vetting would not be required – UBS would not review the evidence and such cases would not be in scope of the audit population. However, UBS would expect that the basic checks (e.g. right to work and ID checks) still must be performed to ensure we do not engage undocumented workers.

The onboarding request can only be raised when all checks are completed/cleared.

Timeframes for vetting checks

Timeframes for vetting checks

Timeframes for vetting checks

a. Timeframes for vetting checks New UBS Engagement Cat I / Change of UBS External Staff Category (III to I)

Timeframes for vetting checks

(Note: Cat III only ID, Right to work & Criminal Record Check. Global Background check to be performed by UBS); Pre-start vetting checks may now be started no earlier than 6 months before the UBS start date. Where a Credit or Criminal is permissible, document(s) need to be original and current, e.g. dated not older than 3 months from vetting case completion (or from the start date, whichever is earlier)

Timeframes for vetting checks

Pre UBS start date:

Timeframes for vetting checks

  • Identity Document Check
  • Right to Work Document Check
  • External Directorship Self Declaration
  • Global Background Check (performed by UBS)
  • Criminal Record Check / Civil Litigation Check (as applicable)
  • Credit Check / Bankruptcy Check (as applicable)
  • External Directorship and positions (database)
  • Relatives and Relationship Self Declaration
  • Registered Status (if applicable)
  • USA only: Domestic Credit and Domestic Criminal Check
  • USA only: Fingerprinting initiated by UBS (required for both Cat I and III as part of the Criminal Check)

Timeframes for vetting checks

b. UBS Re-Engagement & Change from UBS to External Staff
Note: Candidate considered a re-engagement if time between UBS termination date and new start date is less than 6 months (less than 90 days in the Americas), and vetting evidence is less than 12 months old.
Outside of these parameters that candidate is considered a new UBS engagement for vetting purposes.

Timeframes for vetting checks

Pre UBS start date:

Timeframes for vetting checks

  • Identity Document Check
  • Right to Work Document Check
  • Relatives and Relationship Self Declaration
  • External Directorship Self Declaration
  • Global Background Check
  • Registered Status (if applicable and not performed for previous engagement)
  • USA only: Fingerprinting initiated by UBS

Timeframes for vetting checks

c. International Transfers

Timeframes for vetting checks

Pre UBS start date:

Timeframes for vetting checks

  • Identity Document Check
  • Right to Work Document Check
  • Registered Status (if applicable)
  • The SVD form should be provided to the Regional Vetting Teams at least 2 days prior to the planned transfer date
  • USA only: Fingerprinting initiated by UBS