I 9 Audit Checklist

Understanding the I-9 Form

What is the I-9 Form?

The I-9 form is required by the Immigration Reform and Control Act (IRCA) of 1986 and is used to verify the identity and employment authorization of individuals hired for employment in the United States. Employers are responsible for ensuring that the form is filled out correctly and that appropriate documentation is provided by the employee.

Importance of I-9 Compliance

Failure to comply with I-9 requirements can result in significant penalties, including fines and potential criminal charges. ICE regularly conducts audits to ensure that employers are complying with the law. Maintaining an accurate and complete I-9 form for each employee is essential for protecting your business from these risks.

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I-9 Audit Checklist

Preparation for the Audit

• Review Your I-9 Policy: Before starting the audit, review your company’s I-9 policy to ensure it is up to date and compliant with current regulations. Make any necessary updates.
• Designate an I-9 Auditor: Assign a responsible individual or team to conduct the audit. Ensure they are well-trained in I-9 compliance and understand the importance of confidentiality.

Gather I-9 Forms

• Collect All I-9 Forms: Gather all I-9 forms for current employees and those for former employees (retained as required by law). Ensure that no forms are missing.
• Separate Active and Inactive Employees: Organize I-9 forms by active employees and those who have left the company. This helps in ensuring you are compliant with record retention requirements.

Review Section 1: Employee Information and Attestation

• Verify Completeness: Ensure that all required fields in Section 1 are completed by the employee. This includes their full name, address, date of birth, and Social Security number (if applicable).
• Check Signature and Date: Confirm that the employee has signed and dated Section 1 on their first day of employment or before it. The signature confirms that the information provided is accurate.

Review Section 2: Employer Review and Verification

• Check Document List: Verify that the documents presented by the employee are from the Lists of Acceptable Documents (List A, B, or C) and that the correct documents were selected.
• Confirm Document Accuracy: Ensure that the document titles, issuing authorities, document numbers, and expiration dates (if applicable) are correctly entered in Section 2.
• Verify Employer’s Signature and Date: Confirm that the employer’s representative has signed and dated Section 2 within three business days of the employee’s first day of employment.

Review Section 3: Reverification and Rehires (If Applicable)

• Reverify Expiring Work Authorization: If an employee’s work authorization has expired, ensure that Section 3 is completed for reverification before the expiration date.
• Rehire within Three Years: If you rehire an employee within three years of their original hire date, ensure that Section 3 is completed, or a new I-9 form is filled out.

Correcting Errors

• Identify Errors: During the audit, note any errors or omissions on the I-9 forms. Common errors include missing information, incorrect dates, or failure to sign the form.
• Make Corrections: Correct errors using the correct method (e.g., drawing a line through incorrect information, entering the correct information, and initialing and dating the correction). Do not use correction fluid or tape.
• Document Corrections: Keep a record of all corrections made during the audit, including who made the corrections and when.

Storage and Retention

• Proper Storage: Ensure that all I-9 forms are stored securely, either in paper form in a locked cabinet or electronically in a secure system. The forms should be accessible only to authorized personnel.
• Retention Requirements: Retain I-9 forms for active employees. For former employees, keep their I-9 forms for three years after the date of hire or one year after the date of termination, whichever is later.

E-Verify Compliance (If Applicable)

• Check E-Verify Enrollment: If your company uses E-Verify, ensure that all I-9 forms are processed through the E-Verify system as required.
• Review E-Verify Records: Ensure that E-Verify cases are closed promptly and that any discrepancies are resolved in a timely manner.

Documenting the Audit

• Create an Audit Log: Maintain a log of the audit process, including dates, findings, and any corrective actions taken.
• Report Findings: Prepare a report summarizing the audit results, including any areas of non-compliance and the steps taken to correct them.

Training and Follow-Up

• Provide Training: After the audit, provide training to employees responsible for completing I-9 forms to prevent future errors and ensure ongoing compliance.
• Schedule Regular Audits: Implement a schedule for regular I-9 audits, such as annually or semi-annually, to ensure continuous compliance.

An I-9 audit checklist is an essential tool for employers to ensure compliance with federal immigration laws. By following this checklist, you can identify and correct errors, properly store and retain I-9 forms, and minimize the risk of penalties during an official audit. Regular audits and ongoing training are key to maintaining a compliant workplace.