External Staff Vetting Checks and Timeframes

Vetting checks (as permitted by law) are listed in the table below:

  1. Determine the staff category applicable to the supplier staff together with your UBS business contact
  2. Check the engagement type

*For external staff category II, suppliers must ensure that the following checks have been completed: Identity check, Right to Work Verification and Criminal Check. The Credit check is required for staff who will have access to UBS’s confidential information, data or physical documents where permissible pursuant to relevant federal, state and/or local laws.

Staff Categories

Explains our external staff categories.

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Engagement Types

Explains which vetting checks are required for each engagement type.

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UBS reserves the right to suspend or discontinue the contract unless or until the outstanding check has been satisfactorily completed accordingly

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)
 (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:

  • 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:

  • 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:

  • 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