ID Standard London Stansted

ID Standard London Stansted

Introduction It is a requirement of Regulation EC300 of the European Parliament that London Stansted Airport (the Airport) strictly control access to security sensitive areas. The Airport applies these regulations absolutely to protect the security of our airports, the businesses which operate within the Airport and the people who work there. This standard defines the key procedures for airport identification card and temporary pass applications at the Airport under the terms of the ID scheme. The following measures will apply at the Airport and will be fully applicable from date of publication. This Standard has been written for: Security Managers, Compliance Teams, the ID Centre and recognised Authorised Signatories. It is acknowledged that Authorised Signatories may need to share this Standard with those responsible for referencing and other processes within their organisation or with third party HR/Referencing suppliers. For further information relating to this Standard, please contact the ID Centre: 01279 662500 ID Centre Enterprise House London Stansted, Essex, CM24 1QW April 2013 ID Pass Application Standard www.stanstedairport.com 2

Table of Contents Part 1: Pass Management 1. Definition of Terms Page 3 2. Pass Types Page 5 3. Overview Page 10 4. Security Interview Page 12 5. Identity Documentation Page 14 6. Right to Work Page 15 7. Referencing Page 16 8. Security Clearances Page 28 9. Verification Page 31 10. Security Awareness Training Page 36 11. Application Page 37 12. Airport Activities Page 39 13. Appeals Page 40 14. On-Going Management Page 42 15. Appendices Appendix A - Escort Arrangements Page 48 Appendix B - Responsibilities of a Pass Holder Page 50 Appendix C - Application Pack File Note Template Page 55 Appendix D - Disqualifying Offences Page 56 Appendix E - Reference Validation Questions Page 60 Appendix F - Reference Validation Useful Resources Page 61 Appendix G - DFT Certificate of Disregard Page 62 Appendix H - CTC Declaration Page 65 Appendix I - Miscellaneous Requirements Page 66 Part 2: Vehicle Pass Management Page 67 Part 3: Tools of the Trade Permits Page 69 End of Document Page 70 April 2013 ID Pass Application Standard www.stanstedairport.com 3

Part 1 Pass Management 1. Definition of Terms Accredited Diplomat: An official formally appointed to represent their government in its relations with other governments. Administrative or other grades of staff who are employed by embassies do not qualify for any exemptions granted to Accredited Diplomats. Airport Identification Card: means a pass issued by the Airport to an individual person for Security Restricted Areas, Airside Areas or Landside Areas valid for up to five years. Airport Operator: London Stansted Airport (the Airport) Airside Area: in the context of ID passes issued by the Airport that permit access to the designated Other Airside Areas of the airport, including Cargo or Maintenance Areas. Applicant: means an individual who is applying for an ID pass and who is employed by or contracted to the sponsoring company. Authorised Signatory: is the individual(s) within a sponsoring company responsible for ensuring compliance with the terms of the Airport ID scheme for any and all applications. CBT: Computer based training. A specially created computer programme which delivers training in a structured manner and assesses the candidates learning. Critical Part: in the context of ID passes issued by the Airport covers internal, external and all area passes that permit access to the designated Critical Part of the airport. [Green, blue or red background colour passes] CRC: is a Criminal Record Check (Basic) as issued by Disclosure Scotland. CTC: is a Counter Terrorist Check. DFT: is the Department for Transport. GSAT Training: General Security Awareness Training. A mandatory training programme following a defined syllabus from a Department for Transport accredited trainer. All Critical Part pass holders will be required to undertake training unless they receive training to an equivalent standard. ID Centre: means the ID Centre at the Airport. ID Pass: A pass issued to allow access to airside areas ID Scheme: means the processes and procedures operated by the Airport for the prior authorization of individuals and motor vehicles to enter various zones (including Security Restricted Areas) of the Airport and all continuing administration relating thereto. April 2013 ID Pass Application Standard www.stanstedairport.com 4

HMRC: Her Majesty s Revenue and Customs, including but limited to those departments known as Inland Revenue. NI Number: is a UK issued National Insurance Number. Pass Holder: means an individual who has been issued with a pass by the ID Centre and who is contracted to, or is employed by, the sponsoring company. Procedures: means the materials and processes as described in this document. SCD: is the Single Consolidated Direction as directed by the Department for Transport. Security Interview: is a discussion between the applicant and the sponsoring organisation used to help verify information provided by the applicant in support of their application for a pass and to ensure that the implications of the information provided is understood by the applicant. Security Restricted Area: in the context of passes issued by the Airport covers internal, external and all area passes that permit access to the designated Security Restricted Area of the Airport, both permanent and temporary. Sponsoring Company: is the company requesting a pass at the Airport. April 2013 ID Pass Application Standard www.stanstedairport.com 5

2. Pass Types 2.1 There are four main types of passes issued at London Stansted: 2.1.1 1 5 Day Temporary ID Pass (Escorted) 2.1.2 30 Day Temporary Pass (Escorted) 2.1.3 Permanent Security Restricted Area Airport Identification Card 2.1.5 Permanent Landside ID Pass 2.2 Temporary 1 5 Day ID Pass (Escorted) 2.2.1 Temporary passes are valid for between one and five days. The relevant dates will be clearly indicated on the pass. 2.2.2 Consecutive passes will not be issued. If further continuous access is required there must be a break of at least seven days before another pass may be issued. 2.2.3 Temporary 1-5 Day ID Passes will not be extended beyond the expiry date applied when issued. 2.2.4 Temporary 1-5 Day ID Passes will only be issued for: 2.2.6.1 Visitors (includes interviewees) 2.2.6.2 Contractors carrying out short-term essential work 2.2.6.3 Emergency maintenance 2.2.6.4 Drivers making impromptu collections and deliveries 2.2.6.5 Work experience, familiarisation, training and interviews (for work experience written confirmation is required from the school or college to confirm the placement.) 2.2.6.6 Short-term pharmacy cover. 2.2.5 Temporary 1-5 Day ID Passes are not suitable for individuals working for organisations on a temporary basis. They should apply for a 30 Day Pass. 2.2.6 Temporary 1-5 Day Pass holders must be escorted at all times whilst in the Security Restricted or Airside Areas of the Airport. Escort arrangements are detailed in Appendix A Escort Arrangements. 2.2.7 Proof of identity in accordance with Section 5 must be provided to obtain a temporary pass. The temporary pass holder must carry this with them when using their pass. 2.2.8 A declaration of Security Interview is not required for a Temporary 1-5 Day ID Pass. 2.2.9 Proof of right to work is not required for a Temporary 1-5 Day ID Pass. April 2013 ID Pass Application Standard www.stanstedairport.com 6

2.2.10 References are not required for a Temporary 1-5 Day ID Pass. 2.2.11 Clearance (e.g. Criminal Record Check) does not have to be supplied. A temporary pass may not be issued where the applicant has previously been refused a pass (even when that refusal is under appeal). 2.2.12. A declaration of Security Awareness Training is not required for a Temporary 1 5 Day ID Pass. 2.2.13. The authorised signatory and the issuing person must be different. 2.3 Temporary 30 Day ID Pass (Escorted) 2.3.1 Temporary 30 Day ID passes are photographic and can be verified on the airport s access control system. They are available for people who need to work temporarily for the airport or for a third party, for example planned work, such as construction and engineering, or visitors to the airport whose business requires them to attend for more than five days. 2.3.2 Only one Temporary 30 Day ID Pass per person will be issued. However, in exceptional circumstances the Airport Security Manager, or their properly authorised representative, can authorise an application for a second Temporary 30 Day ID Pass to run consecutively. The maximum period allowed for any individual, for any combination of temporary ID passes at the airport (1 5 Day and 30 Day), will be sixty days in any rolling twelve month period. 2.3.3 If a person has had a Temporary 30 Day ID Pass, the Airport reserves the right not to issue a permanent airport identification card within twenty-eight days of the expiry date of the original temporary pass. 2.3.4 A 30 Day temporary pass can be requested when an applicant submits an application pack for a permanent airport identification card. In such cases the twentyeight day exclusion will not be enforced. 2.3.5 30 Day temporary pass holders must be escorted at all times whilst in the Security Restricted or Airside Areas of the Airport. Escort arrangements are detailed in Appendix A Escort Arrangements. 2.3.6 Proof of identity in accordance with Section 5 must be provided to obtain a temporary pass. The temporary pass holder must carry this with them when using their pass. 2.3.7 Proof of right to work in accordance with Section 6 is required. 2.3.8 A declaration of Security Interview is not required for a temporary pass. April 2013 ID Pass Application Standard www.stanstedairport.com 7

2.3.9 Clearance (e.g. Criminal Record Check) does not have to be supplied. A temporary pass may not be issued where the applicant has previously been refused a pass (even when that refusal is under appeal). 2.4 This section left blank 2.5 Security Restricted Area Airport Identification Card 1.5.1 All permanent airport identification cards can be valid for up to five years. 2.5.2 Proof of identity in accordance with Section 5 must be provided to obtain any permanent airport identification card. 1.5.3 Proof of right to work in accordance with Section 6 is also required. 2.5.4 References covering the previous five year period in accordance with Section 7 must be submitted with the application. 2.5.5 A copy of the identification document provided at the Security Interview must be submitted with the application. 2.5.6 A declaration of Security Interview in accordance with Section 4 is required. 2.5.7 Clearance (e.g. Criminal Record Check) in accordance with Section 8 must be provided. 2.5.8 A declaration of General Security Awareness Training in accordance with Section 10 is required. 2.5.9 Permanent Security Restricted Area airport identification cards allow unescorted access to the Security Restricted Area, the Critical Part of the Security Restricted Area and other Airside Areas of the Airport on a job need basis. Where specific areas are required these must be requested on the application form. Access levels must be approved by the ID Centre. 2.5.10 Security Restricted Area airport identification cards on the airport s access control system will have Security Restricted Area access suspended if they have not been used on any card reader that permits the holder access to the Security Restricted Area for sixty consecutive days, unless exempted under Schedule 1.1 of the SCD 1/2013 (Control Authorities). The pass will then be referred to as parked. 2.5.11 Where a parked pass is still required operationally, it may be reinstated by the ID Centre upon receipt of a Reinstatement Form (Form 7) available on the airport s ID Centre website http://www.stanstedairport.com/idcentre. April 2013 ID Pass Application Standard www.stanstedairport.com 8

2.5.11.1 Where an airport identification card has been parked for more than twelve months, but was not returned to the ID Centre as no longer being required, the Sponsoring Company must also supply a letter of continuous employment along with the Reinstatement Form. 2.5.11.2 Where an airport identification card has been parked for more than twenty-four months, but was not returned to the ID Centre as no longer being required, or where parked for greater than twelve months and continuous employment cannot be stated, the Sponsoring Company must supply a new application form. 2.5.12 Permanent airport identification card holders who are on duty shall not use any other documentation such as a boarding card or pilot s licence to gain entry to the Security Restricted Area. In unforeseen circumstances where it is necessary for a Permanent Security Restricted Area airport identification card holder to be issued with a temporary ID pass, the Airport shall ensure that steps are taken to suspend that permanent airport identification card for the duration of the temporary pass. Suspended permanent Security Restricted Area airport identification cards will be reactivated upon return of the temporary ID pass to the ID Centre. 2.5.13 A Security Restricted Area airport identification card may not be issued where the applicant has previously been refused an airport identification card or ID pass. 2.6 Landside ID Pass 2.6.1 Proof of identity in accordance with Section 5 must be provided. 2.6.2 Proof of right to work in accordance with Section 6 is also required. 2.6.3 General Security Awareness Training (Leaflet only) in accordance with Section 10 is required. 2.6.4 References and Clearance (e.g. CRC) are not required. 2.6.5 A Landside pass may not be issued where the applicant has previously been refused an ID pass. 2.7 Section 11 contains a table summarising the application requirements for each airport identification card and temporary pass type issued to staff. 2.8 All airport identification card and temporary ID pass charges will be charged at the rate published in current Airport Notices. 2.9 Airport identification cards and temporary ID passes which are lost, mislaid or stolen may incur a penalty charge as published. April 2013 ID Pass Application Standard www.stanstedairport.com 9

2.10 The Department for Transport have recommended that the applicant should retain copies of their application and supporting documents and should obtain legal advice before completing and submitting any application for a pass. 2.11 Diplomatic Airport Identification Card 2.11.1. All applications for diplomatic airport identification cards shall be supported in writing by the Foreign and Commonwealth Office (FCO). 2.11.2 Cards suspected of misuse shall be suspended and the matter raised with the FCO to take forward with the relevant embassy. Where a suspended card is still required, the card holder shall contact the airport operator to have that card reactivated. April 2013 ID Pass Application Standard www.stanstedairport.com 10

3. Overview 3.1 The following represents generic points associated with an airport identification card application submission. Although it is recognised that the activities within this process may be carried out by different individuals within a large organisation, all elements are required in order to ensure appropriate security standards are maintained. Identity Checks Right to Work Checks Supporting Information for application Security Interview Referencing Criminal Record Checks Verification of References Security Awareness Training Correct completion of Application Pack 3.2 Employers and Authorised Signatories should also be aware that the processes outlined above and the activities defined within this standard represent the acceptable criteria, as required for an airport identification card. 3.3 This does not preclude any additional checks and processes being undertaken by the employer on the basis of their own resourcing policy, nor should this standard be seen as a replacement for the sponsoring company s own HR/Recruitment/Resourcing policy. For further useful guidance on personnel security measures, including pre-employment screening guidance please visit the Centre for Protection of National infrastructure website: http://www.cpni.gov.uk/protectingyourassets/personnelsecurity.aspx. 3.4 The Authorised Signatory will be responsible for ensuring that third-party staff, sponsored by their organisation, have undergone all appropriate checks in accordance with the requirements laid out in this document prior to the application being submitted to the airport s ID Centre. 3.5 The Authorised Signatory will retain responsibility for the administration and correct use of airport identification cards and temporary ID passes issued to third-party staff sponsored by their organisation. 3.6 The Airport reserve the right to conduct audits of sponsoring companies with respect to all airport identification card and temporary ID pass issues, in order to ensure compliance to Department for Transport and the Airport s requirements. 3.7 The Airport reserve the right to implement specific additional controls, without advanced notice, on Authorised Signatories and or Sponsoring Companies for airport identification cards and temporary ID passes, where they are considered necessary and proportionate as a result of specific audit and/or investigation results. April 2013 ID Pass Application Standard www.stanstedairport.com 11

3.8 Sponsoring companies and authorised signatories are reminded of their legal obligations under the Aviation Security Act 1982 as amended by the Aviation and Maritime Security Act 1990. To knowingly give false information, either for the purpose of, or in connection with, an application for an identity document is a criminal offence. 3.9 Sponsoring companies and authorised signatories are not absolved from their legal obligations when referencing or other security checks are carried out by third party companies, or where the sponsoring company is sponsoring an applicant not directly employed by the sponsoring company. 3.10 Sponsoring companies are reminded of the requirement for a contract to provide goods and/or services at the Airport. 3.11 Sponsoring companies and authorised signatories are reminded that conduct in breach of this Standard may be brought to the attention of the police and/or other law enforcement agencies in support of the detection and prevention of crime. Sponsoring companies and authorised signatories must ensure airport identification card and temporary ID pass applicants and holders are informed of this. 3.12 Authorised signatories will find useful information, the latest forms to download and contact details at http://www.stanstedairport.com/idcentre April 2013 ID Pass Application Standard www.stanstedairport.com 12

4. Security Interview 4.1 The purpose of the Security Interview is for the sponsoring company to verify the information provided by the applicant in support of their application for a Security Restricted Area or Airside Area airport identification card and to ensure that the applicant understands the implications of the information provided. 4.2 It is the responsibility of the authorised signatory to conduct a satisfactory security interview. Where this responsibility is delegated, the authorised signatory remains accountable for ensuring the quality of the interview. 4.3 The authorised signatory, or other person who has been specifically trained for the task, shall interview the applicant. 4.4 Prior to the start of the Security Interview the applicant must have provided details of their five year employment history to the interviewer. 4.5 The interviewer shall be required to: 4.5.1 Work through, with the applicant, the employment/educational record covering the previous five years seeking to obtain any further information that may be relevant (e.g. reasons for leaving previous employers) and ensuring that no periods are unaccounted for. 4.5.2 If it emerges that there are any gaps in the record, in excess of the twenty-eight days, the applicant shall be required to provide to the interviewer the names and addresses of persons who will be able, and prepared, to confirm from their own personal knowledge what the applicant was doing during the periods in question. The interviewer must be satisfied that they have been made aware of what the applicant was doing and where they were living (domiciled) during gap periods. 4.6 The interviewer shall be required to ensure the applicant has signed and agreed to the following security declarations: 4.6.1 The declaration stating that the applicant has no disqualifying criminal convictions, other than any treated as spent under the provisions of the Rehabilitation of Offenders Act 1974. 4.6.2 The declaration of acceptance that any misrepresentation of the facts is a ground for refusal of employment or disciplinary proceedings (and, in appropriate cases, criminal charges). 4.6.3 The authorisation for approaches to be made to former employers, educational establishments, government agencies and personal referees for verification of the information. 4.6.4 The authorisation to provide a current Criminal Record Check ( CRC ) basic disclosure certificate, or proof of CTC, or higher clearance. April 2013 ID Pass Application Standard www.stanstedairport.com 13

4.6.5 The declaration agreeing with the disclosure of information to the Airport for the purpose of access at the Airport and disclosure of information to third parties to verify the information as correct, and for the detection and prevention of crime. 4.7 The interviewer shall further verify that: 4.7.1 The applicant understands the full implications of the declarations and authorisations contained in the application, so far as applicable to him/her. 4.7.2 The proof of an EU Social Security number should be an official document from the country of registration for employment purposes. 4.7.3 An acceptable proof of identity and right to work has been obtained original documents only. 4.7.4 The applicant understands the company process for obtaining a CRC disclosure and the advice provided on the requirement for completion of the CRC application form. 4.7.5 The applicant is aware of the requirement, and provides where required, Overseas Criminal Record Checks for all countries in which they have resided for a period exceeding six months within the preceding five years. 4.7.6 That the applicant is aware of the Criminal Record Check disqualifying offences and that within fourteen days of any conviction for a disqualifying offence the employee must notify the employer of his conviction. Failure to do so will be a disciplinary offence and be dealt with in accordance with the employing company s disciplinary procedures. 4.7.7 The applicant understands the company process for security training, so far as applicable to him/her. 4.7.8 The applicant understands their responsibilities as contained in Appendix B Responsibilities of a Pass Holder. 4.7.9 That the applicant understands that personal information will be processed by the employer and the Airport in accordance with the Data Protection Act 1998. 4.8 Declaration of a satisfactory Security Interview, in line with this section, shall be made within the application form. The latest form will be available at http://www.stanstedairport.com/idcentre April 2013 ID Pass Application Standard www.stanstedairport.com 14

5. Identity Documentation 5.1 Original documents only will be acceptable. 5.2 British nationals must provide a current ten-year passport or a United Kingdom photographic driving licence, full or provisional. [Paper counterpart is not required] 5.3 EU nationals must provide a full EU member state passport or National Identity card. 5.4 In the case of all other nationals, a full passport together with an original Home Office document confirming the individual s right to work in the United Kingdom; or National Identity Card, Identification Card or Identity card for Foreign Nationals issued by the Home Office or their agencies. 5.5 Airport identification cards will not be extended beyond the life of a current visa until such time as a renewed visa is presented within a valid passport. 5.6 Home Office travel documents will not be accepted on their own as proof of identity at the Airport. 5.7 When there is a genuine problem that means that this proof of identity cannot be met, the Airport s pass appeals process may be used. See Section 13 Appeals. April 2013 ID Pass Application Standard www.stanstedairport.com 15

6. Right to Work 6.1 Sponsoring Companies are reminded that it is their responsibility under Section 8 of the Asylum and Immigration Act 1996 to ensure employees have a legal right to employment in the UK. 6.2 For British and EU nationals, the proof of identity referred to in Section 5 acts as proof of right to work in respect of the issuance of a permanent airport identification card. 6..2.1 For all other nationals, a Home Office document confirming the individual s right to work in the UK must be provided refer to www.ukba.homeoffice.gov.uk to establish current acceptable documents; or National Identity Card, Identification Card or Identity card for Foreign Nationals issued by the Home Office or their agencies. April 2013 ID Pass Application Standard www.stanstedairport.com 16

7. Referencing 7.1 The purpose of referencing is to ensure that for those applications requiring referencing there is clear evidence of where an individual has been and what they have been doing during the period in question. 7.2 General 7.2.1 References for the previous five years, or since they reached the end of their compulsory education, whichever is the shorter, must be submitted with the application. 7.2.2 Where variation or verification activities are undertaken by authorised signatories or others carrying out referencing on their behalf, file notes should be recorded and passed to the ID Centre as part of the submitted application pack. This will ensure that additional work undertaken by the sponsoring company is understood in order to process the application as quickly as possible. Those variances where a file note is acceptable are contained within this Standard. 7.2.3 The authorised signatory must satisfy themselves as to the authenticity of any file notes not completed by themselves and sign and/or countersign those file notes. See Appendix C Application Pack File Note Template for a sample file note template. 7.2.4 Where the referencing period is shortened due to compulsory education a reference covering the last period of compulsory education must be submitted with the application. 7.2.5 The Authorised Signatory must satisfy themselves as to the authenticity of each reference and check to ensure that they meet the requirements. Section 9 on Verification is provided to help with how this may be undertaken. 7.2.6 References must be applied for in the name that the applicant has presented to the sponsoring company on their proof of identity document. It is acceptable for references to also include an also known as (aka) name. However, this must be in addition to the name on their proof of identity document. Any misspelling of names must be covered by a file note to confirm the authorised signatory has recognised the error and verified it with the referee this will prevent the application being automatically rejected. 7.2.7 Before any applicant can be issued with an airport identification card, appropriate references covering the required period must be obtained. 7.2.8 Any gaps of over twenty-eight consecutive days must be covered by a reference. 7.2.9 Any alterations or amendments made to the content of a reference must only be done by the original referee, who should sign/initial and date all amendments. Any errors discovered during verification activities by the sponsoring company must be covered by a file note detailing the subsequent activities that have been taken. April 2013 ID Pass Application Standard www.stanstedairport.com 17

7.2.10. All references obtained for and on behalf of a sponsoring company by an agency must include the name of the sponsoring company in the title/opening explanation. 7.2.11. Where an employer uses an agency for referencing purposes the agency logo name and address may also be printed on the reference form. 7.2.12 Organisation references (i.e. not gap references) that contain more than one ink, or more than one source of handwriting, or a mixture of hand-written and typed information will not be automatically rejected as it is acknowledged that there may be different departments responsible for completing a reference and it may then be signed off by somebody else (e.g. an MD or Head of Dept. etc.). However, the responsibility for the reference and its content lies with the authorised signatory. 7.2.13. Where a reference uses more than one colour ink, more than one source of handwriting or partial hand-written information the reason must be verified by the authorised signatory and this reason must be included in a file note with the application pack. Failure to do so will lead to delays and/or rejection when the application is verified by the Airport s ID Centre. 7.2.14 Authorised signatories should satisfy themselves that gap references have not been tampered with and originate from a single source and to aid this must be in one colour ink and from one source of handwriting. Failure to do so will result in delays through rejection when the application is verified by the airport s ID Centre. 7.3 What a Reference Needs to Cover 7.3.1 A history that accounts for all periods of employment, self-employment and unemployment during the period required. This will include the sponsoring company if the sponsoring company has employed the applicant during that period. School, college or university references should be obtained where applicable. 7.3.2 Where an applicant can supply more than one reference to cover a period of time (e.g. in the case of a university student who was also working part-time) then only one reference is required for the period. In this instance, to avoid confusion, a file note should be included of the additional activities during the period in question. 7.4 How a Reference Should be Obtained 7.4.1 The Airport requires that references are requested on the pro-formas available at www.stanstedairport.com/idcentre. These should be copied onto the sponsoring company s letter headed paper and sent to the referees using electronically replicated logo and branding. All references that the sponsoring company or their properly appointed agent receives should be addressed and sent direct to the sponsoring company as the prospective employing or contracting company. To whom it may concern or Dear Sir/Madam references are acceptable where all other information April 2013 ID Pass Application Standard www.stanstedairport.com 18

provided is correct (e.g. addressee). The most up to date pro-forma will be available on the airport s ID Centre website www.stanstedairport.com/idcentre 7.4.2 Ideally the applicant should not be involved in the process for requesting, obtaining, delivering or verifying to the sponsoring company, the references. Any deviation from this must be explained within file notes in order to avoid unnecessary rejection of the application. Examples of involvement include; the case of some country s legislation for the employment record to be returned to the applicant, or where an applicant is requested to intervene when delays are encountered in a reference being returned. It is recognised that HMRC and Job Centre references are sent direct to the applicant, so a file note is not required in these specific circumstances. 7.4.4 Where a sponsoring company wishes to provide references previously held on file by the sponsoring company in support of an application these are acceptable as long as the references meet the requirements of this standard. Where the sponsoring company, or its properly appointed agency, was not the originator of the reference request then it must verify the reference to satisfy itself of the authenticity and file notes included accordingly. 7.5 The following classes of references exist: 7.5.1 Employment Reference 7.5.2 Employment Agency Reference 7.5.3 Job Centre Plus Reference 7.5.4 HMRC Reference 7.5.5 Education Reference 7.5.6 Gap Reference 7.5.7 Voluntary Sector Reference 7.6 Employment References (including current, self and family business employment) 7.6.1 Employment references should only be accepted from those authorised to issue such references, e.g. H.R. Department. 7.6.2 Where the applicant has been self-employed a self employment reference from the applicant s accountant or solicitor should be obtained. Where this is not available an HMRC reference must be obtained. 7.6.3 Where the applicant has been employed in his/her own family business, a family business reference from the applicant s accountant or solicitor should be obtained. Where this is not available an HMRC Reference must be obtained. 7.6.4 Where within the employment history a company has ceased trading, a reference covering the period of employment from a director of that company is acceptable as long as the director is not disqualified and a file note is included with the verification of both the director s and company status (e.g. for the UK the Companies House record). April 2013 ID Pass Application Standard www.stanstedairport.com 19

7.6.5 Where within the employment history a company has ceased trading and a reference from the director of that company cannot be obtained, a reference covering the period of employment must be obtained from HMRC. 7.6.6 Where an applicant is already employed by the sponsoring company and the current employment would fulfil the referencing requirement (i.e. worked there for at least five years) a current employment reference must be supplied. Where the current employer would be supplying a reference completing the application form with the date of employment will suffice. 7.6.7 Employment references should be used for part-time working where no gap in employment contract greater than twenty-eight days occurred. A reference from a part-time employer or voluntary organisation will suffice where the organisation has been in regular contact with the applicant. For the avoidance of doubt regular in this instance is defined as a period not in excess of twenty-eight days, in accordance with the definition of a gap. 7.6.8 Where gaps in employment contract in excess of twenty-eight days occur then a gap reference must also be provided. 7.6.9 Where an employment reference indicates dismissal as the reason for leaving, the authorised signatory should make all reasonable attempts to verify the reason for dismissal is not security (crime) related. A file note should be included with details of the verification undertaken, with the applicant and the referee. 7.6.10 In the instance of employment dismissal within an employment reference the sponsoring company must supply a letter/file note within the application pack to advise that they are satisfied to employ the applicant and that the reason for dismissal is not security related. 7.6.11 In the event that the sponsoring company re-employs a person, it will be able to utilise any applicable employment references that were obtained at the time of original contract and still held on file. 7.6.12 Where an employment referee refuses to supply a reference, the sponsoring company must ensure they are satisfied that the grounds for refusal do not indicate any reason to doubt the applicant s honesty, reliability and trustworthiness. If they are satisfied then a file note must be included along with the original, declined, reference request and the alternative reference (e.g. HMRC reference). 7.7 Employment Agencies Reference 7.7.1 When employing or contracting a person who has been employed by an agency, an employment agency reference must be obtained. 7.7.2 The agency must provide details of any periods of non-placement in excess of twenty-eight days. April 2013 ID Pass Application Standard www.stanstedairport.com 20

7.7.3 Periods in excess of twenty-eight days without a placement must be covered by an employment, gap or other appropriate reference. 7.8 Job Centre Plus References 7.8.1 For periods of UK unemployment and when claiming benefit, a Job Centre Plus Reference must be obtained. 7.8.2 For periods of non-uk unemployment an equivalent national government tax office reference should be obtained. http://www.anyworkanywhere.com/taxrefunds.html is a resource that may help with this activity. 7.8.3. Where the authorised signatory is entirely satisfied a non-uk reference cannot be sourced a gap reference with an associated file note must be supplied that makes it clear why the reference cannot be sourced. For the avoidance of doubt the potential increase in cost of overseas referencing does not create a case that this cannot be achieved. 7.9 HMRC References 7.9.1 For periods of UK employment where a company has ceased trading and a reference from a previous director of the company cannot be obtained, a reference from HMRC or other government agencies may be obtained in lieu of an employment reference. 7.9.2 The authorised signatory should supply evidence that the company has indeed ceased trading. 7.9.3 For periods of non-uk employment where an employer reference cannot be sourced an equivalent national government tax office reference should be obtained. http://www.anyworkanywhere.com/taxrefunds.html is a resource that may help with this activity. 7.9.4 Where the authorised signatory is entirely satisfied a UK reference cannot be sourced from the employer or HMRC, a gap reference with an associated file note must be supplied that makes it clear why the reference cannot be sourced. 7.9.5 Administrative differences between expected start and end dates and HMRC supplied dates (e.g. due to payroll date differences) must be supported by verification of those dates by the authorised signatory and explained with an associated file note. 7.10 Education References 7.10.1 For applicants who are still attending or have just left statutory education (after 16 years of age), a reference from their most recent educational establishment will be required. April 2013 ID Pass Application Standard www.stanstedairport.com 21

7.10.2 The reference should come from the secretary /administrator /bursar rather than the tutor /teacher to avoid potential personal involvement. Any deviation from this should be accompanied by a file note. 7.10.3 Sponsoring Companies are reminded of the requirement for a minimum of two references. 7.11 Gap References 7.11.1 The gap reference must provide specific information regarding the applicant s activities and whereabouts during the specific period in question. Generalised statements such as resting or travelling will not be accepted unless accompanied by a file note that details the verification of specific information. 7.11.2 The referee must provide the information in his/her own words and from his/her own knowledge of the applicant s whereabouts and activities during the gap period. 7.11.3 The referee must have known the applicant for a minimum period of twentyfour months and must have known the pass applicant during the entire period being referenced and must include a verifiable contact address for the referee. 7.11.4 The following must not provide gap references on behalf of an applicant: 7.11.4.1 Blood relatives 7.11.4.2 Current or ex relatives by marriage 7.11.4.3 Relatives by adoption, including cousins 7.11.4.4 Current or ex partners and their relatives 7.11.4.5 Persons living at the same address 7.11.4.6 Current employees of the sponsoring company, or associated sub-contracting companies 7.11.4.7 Individuals under the age of 16 years 7.11.5 If registered with Job Centre Plus, periods of unemployment should be verified with a Job Centre Plus reference. 7.11.6 The authorised signatory should satisfy themselves, where a gap reference is used to cover periods of holiday or extended travel in excess of twenty-eight days, the authenticity of document and the stated travel (for example passport, immigration stamps, visas, tickets). 7.11.7 Where proof of travel (e.g. passport, immigration stamps) is verified by the authorised signatory this should be included within file notes and may be requested during the verification process. 7.11.8 Where the applicant has not worked for some years due to personal reasons, (e.g. raising a family) this period must be covered by a gap reference. The gap reference must confirm what the applicant was doing during this period of time. April 2013 ID Pass Application Standard www.stanstedairport.com 22

7.11.9 A gap reference can cover any period of time up to and including the full five years required for referencing purposes; however the dates of the gaps being covered must be evidenced along with details of what the applicant was doing for each specified period. 7.11.10 Gap references are the most commonly misused reference type received in support of an application. They can be used to mask actual activities, such as employment. Where an employment reference is being avoided, this avoidance may be with malicious intent. 7.11.11. In conjunction with the security interview and verification activities the authorised signatory must ensure that a gap reference is the correct reference to cover the period in question. 7.11.12 Gap references may be used to legitimately cover periods of time where an employment, HMRC, accountant or solicitor reference cannot be obtained, for example, when an individual was working cash-in-hand or in some other form of unauthorised work. Where this occurs, a file note should be included to describe in as much detail as is possible what the individual was doing and where, during the period in question, and why an employment reference cannot be supplied. This should be supplemented with evidence of attempts to obtain the employment reference where applicable. 7.11.13 Failure to provide information in support of a gap reference, where employment is subsequently uncovered this will inevitably result in delays to processing and may result in rejection of the application. For example where an applicant worked cash-in-hand, failure to disclose this to the authorised signatory and/or the Airport (as the airport identification card issuer) would adversely impact an objective assessment of the honesty and integrity of the applicant. 7.12 Voluntary Sector References 7.12.1 It is recognised that organisations that utilise applicants on a voluntary basis may not be prepared to supply employment references. Where this is proven to be the case a voluntary sector reference may be sought. 7.13 Intra Airport Transfers N/A 7.14 Last References 7.14.1 Last references, being the employment reference from the previous employer, can be a source of confusion due to time lags from referencing to application. This creates the potential for both real and administrative gaps in excess of twenty-eight days to occur. 7.14.2 Where the last employment reference states a to date of present and the same reference was dated less than twenty-eight days from date of application, no April 2013 ID Pass Application Standard www.stanstedairport.com 23

additional activities are required. The date of the reference should be included on the application form as the Date to. 7.14.3 Where the last employment reference states a to date of present and the same reference was dated more than twenty-eight days from the date of the application, verbal verification by the sponsoring company must be obtained. 7.14.3.1 Where the verbal verification confirms that the to date with the last employer was less than twenty-eight days from the date of the application, a file note should be submitted. The date as confirmed through verification should be included on the application form as the Date to. 7.14.3.2 Where verbal verification confirms that the to date with the last employer was more than twenty-eight days from the date of the application, a file note should be submitted. The date as confirmed through verification should be included on the application form as the Date to. A gap reference will be required for the remaining period. 7.14.4 Where the last employment reference states a to date in the future (e.g. where the sponsoring company is submitting an application before the previous employment has terminated) a file note should be submitted. The future date should be included on the application form as the Date to. 7.15 Exceptions 7.15.1 Where the applicant has been a member of the Forces, discharge papers are acceptable as an employment reference. 7.15.2. Photocopies of discharge papers are acceptable providing the sponsoring company has seen the originals and can confirm, using a file note, that they have taken copies. 7.15.2 Where a company or organisation s policy means the referee will only supply Certificates of Service, or similar, a file note should be included with details of how the sponsoring company has satisfied themselves of the authenticity of the certificate and the referees policy in this respect. 7.16 Email References 7.16.1 In order to improve the speed of the reference process, email references may be used for: Employment References Current Employment References Employment Agency References Education References Voluntary Sector Reference 7.16.2 Email references shall not be used for: April 2013 ID Pass Application Standard www.stanstedairport.com 24

Personal References Gap References Email references will not be supplied by; HMRC Job Centre Plus 7.16.3 To preserve the integrity of the reference and to allow the email address to be verified the following rules have been set out: 7.16.3.1 Email addresses must contain the name of the individual (so therefore recruitment@the_company.com would be unacceptable). If the original request is made to a generic account (e.g. info@the_company.com) then a response must be solicited from a named individual account (e.g. john.smith@the_company.com). Responses from generic accounts should not be accepted. 7.16.3.2 If a generic email address is accompanied by the name of an individual (e.g. info@the_company.com with sent by John Smith underneath) then this will be acceptable. 7.16.3.3 Email addresses must contain a clearly identifiable company reference (john_smith@the_company.com) not (john.smith@yahoo.co.uk.) Personal email addresses at an Internet Service Provider (ISP) are therefore unacceptable. 7.16.4 The email thread must be started by the sponsoring company i.e. the company applying for the reference. This shows that the correspondence in the email chain refers back to the original request. This means that: 7.16.4.1 The initial request for the reference must be made by the sponsoring company 7.16.4.2 The initial request must ask the receiving referee to respond by completing the appropriate reference (which must be supplied as an attachment, for example in Microsoft Word, doc or Portable Document Format, PDF) 7.16.4.3 The reference that is returned to the sponsoring company, by email, must contain complete responses to all of the questions as set out in the reference template. However the reference may still be acceptable if all of the questions posed within the reference request have been satisfied by other supporting text within the email. April 2013 ID Pass Application Standard www.stanstedairport.com 25

7.16.5 To help check that the reference returned is authentic a return email must be sent to the referee. 7.16.5.1 When sending a return email the sponsoring company must ensure it is sent to the same address as supplied by the referee. This will reduce the risk of false representation. 7.16.5.2 The return email must acknowledge the reference for the named individual. 7.16.5.3 The return email should clearly tell the recipient what to do if they did not supply the reference. 7.16.6 To ensure a full audit trail paper copies of all email correspondence should be supplied with the application pack: 7.16.6.1 Initiating email with attached reference template 7.16.6.2 The email that returns the reference questionnaire 7.16.6.3 An acknowledgement of the email confirming that the sponsoring company has received a reference for an individual. 7.16.7 Authorised signatories and sponsoring companies must ensure that the email thread remains stored electronically for audit purposes for the life of the airport identification card. 7.16.8 The rules associated with the use of email addresses as defined above must also be applied when using email to initiate a paper based reference. 7.17 Fax References 7.17.1 At times of widespread difficulty from postal delays (such as a postal strike) the ID Centre may advise that faxed references are acceptable for the purpose of initial verification. 7.17.2 Fax references must be supported by presentation of the original document prior to the issuing appointment being booked. 7.17.3 Where postal delays are expected to be prolonged, the ID Centre may advise that faxed references are acceptable up to the point of the initial issue appointment. 7.17.3.1 Where this occurs the airport identification card will be issued with a limited duration not exceeding thirty days. 7.17.3.2 The airport identification card will be extended to its full life following receipt and verification of the original reference(s). April 2013 ID Pass Application Standard www.stanstedairport.com 26

7.17.4 In all instances fax references will only be accepted once the ID Centre has advised such to authorised signatories. 7.18 Verbal references are not acceptable for all or any of the classes of references described in this Standard. 7.19 Per procurationem signatures, or PP(pp.) will not be accepted for personal or gap references. 7.20 PP(pp.) signatures for all other classes of reference should be discouraged. Where this occurs there should be evidence of verification, in the form of a file note, of the PP signatory s authority to sign on behalf of the referee. 7.21 Correcting fluid on references will not be acceptable unless the reason for the correction has been verified by the authorised signatory and countersigned (or initialled) and dated by the referee or authorised signatory. A file note regarding the verification undertaken should also be included. 7.21.1 Sponsoring companies and authorised signatories are reminded that to knowingly give false information in connection with an application is an offence under the Aviation Security Act 1982 as amended by the Aviation & Maritime Security Act 1990 and can lead to prosecution. 7.22 Where an authorised signatory is satisfied that there is a genuine reason that a company or organisation supplying a reference cannot do so on letter headed paper or with a compliments slip there should be evidence of verification, in the form of a file note, of the rationale (e.g. the applicant was employed by a family as a nanny.) Where available a copy of the company or organisation s contact details website page should also be included to assist in verification, both by the sponsoring company and the Airport s ID Centre. 7.23 Where an authorised signatory is satisfied that there is a genuine reason that an organisation supplying a reference does so with an electronic signature or no signature, there should be evidence of verification, in the form of a file note, of the rationale. 7.24 Where an authorised signatory is satisfied that there is a genuine reason that an organisation supplying a reference does not complete all questions within a pro forma (e.g. due to company policy,) there should be evidence of verification, in the form of a file note, of this. 7.25 Translations 7.25.1 Where references and/or Overseas CRC s are not sourced in English, the authorised signatory shall supply the original un-translated reference along with a copy translated into English. 7.25.2 The English translation must include translation of all elements of the document i.e. questions and answers. April 2013 ID Pass Application Standard www.stanstedairport.com 27