Completing the I-9 form as part of the employment eligibility verification process is something in which most employers are well-versed. Simply put, employers are not allowed to knowingly hire someone who does not have authorization to work in the United States. It’s mandated that the employer confirm a worker’s eligibility, and the I-9 form is the cornerstone of this process.
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However, this form is one that can land employers in trouble if not completed fully and correctly. Incorrect or missing forms can incur fines if discovered—and these can add up quickly if an organization is not diligent about their recordkeeping. There are fines for form violations as well as fines for knowingly hiring someone who does not have authorization.
Even employers that thought they had the process well under control have found themselves in hot water when audited. One way to reduce the risk of this happening in your organization is to conduct your own periodic I-9 audits in order to cure any deficiencies before they become a problem.
What Should You Check in an I-9 Self-Audit?
When conducting such an audit, what exactly are you looking for? In short, you’re looking to find any field of the form that was not completed fully and legibly. You’re also looking to confirm that the right version of the form was used and that you have forms on file for all current employees hired after November 6, 1986. The form must be kept the entire time the individual is employed and should be kept after termination until 3 years from the date of hire or 1 year from the date of termination, whichever is later.
Here are some of the problems you may find and what you should do:
- If you discover that a form is missing for an employee, get the form completed immediately.
- If you discover any missing or incorrect information in Section1 of an I-9 form, get the employee to correct it. Have the employee simply cross out the incorrect info, fill in the correct information, and then initial and date the change. Be sure to make a note of the date of the I-9 self-audit in your records as well. Even if the employee is no longer employed at the organization, you should still make an attempt to get it corrected, if possible, assuming the document is still required to be kept (as noted, it must be kept until either 3 years after the date of hire or 1 year after the date of termination, whichever is later). If the individual cannot be reached, consider detailing the efforts taken to reach the person and including that information with the form.
- If there is incorrect or missing information in Sections 2 or 3, the employer can update the form directly. Just as outlined above for Section 1, the incorrect item should be crossed out, the correct information filled in, and the correction should be signed or initialed and dated.
- If you discover that the wrong version of the form was used, complete the correct version and staple the correct form to the original. In this case, it’s probably best to also include a note explaining why there is more than one form on file (sign and date the note too!)**.
- Another area of concern during a self-audit is to ensure that all employees are treated equally in the I-9 process. For example, if copies of identification are made for some employees but not all, this could appear to be discriminatory.
- Also, ensure that any reverification that was required was completed. If it was not, complete it immediately.
- Last but not least, check to ensure that the company is no longer holding on to documents that are not necessary. Doing so doesn’t help and only increases liability if there is an audit by Immigration and Customs Enforcement (ICE).
In the event that you discover multiple problems with your I-9 forms, you will not only be given the chance to correct the issues before a potential audit but also have valuable information on I-9 topics your team may need additional training on.
Here are some further tips for the I-9 self-audit process:
- Don’t miss any employees—the audit should be conducted for all current employees, but it should also include the files for any employee whose record should still be on file as noted above.
- Some employers find it best to have someone who is not in charge of the forms complete the audit. This reduces the risk that errors will be overlooked—after all, the person who made the initial error may overlook it again upon review if that individual legitimately does not realize it is incorrect. For this reason, some employers choose to utilize third parties for audits, such as attorneys.
- Be sure that no action taken or corrections made during the audit would complicate matters further. For example:
- Forms found to be incorrect should never be thrown away—doing so would be worse than leaving the incorrect form and not updating the error.
- Corrections should be initialed and dated, not just written as if it were the original information. If updates are made, it’s important that you not try to disguise them, as doing so could appear fraudulent if discovered.
- Never backdate when a change was made or an item was added to the form. Even though the new date will likely be long after the standard deadline for form completion, backdating can lead to even more fines. This is especially problematic as it could appear as though you’re trying to hide form violations. Hiding can make things worse—not only will the form be incorrect, there could also be charges of falsification or tampering.
- Schedule these audits on a regular basis (such as annually), and schedule interim audits when warranted (such as before a merger or before an ICE audit).
**This advice comes from the website for U.S. Citizenship and Immigration Services:
http://www.uscis.gov/i-9-central/i-9-central-questions-answers/self-audits-qas.
By keeping these tips in mind, you’ll be well on your way to conducting an audit that is helpful rather than harmful.
About Bridget Miller:
Bridget Miller is a business consultant with a specialized MBA in International Economics and Management, which provides a unique perspective on business challenges. She’s been working in the corporate world for over 15 years, with experience across multiple diverse departments including HR, sales, marketing, IT, commercial development, and training.