Checklist: I-9 Audit

Regular audits of important documentation, such as I-9 forms are important for organizations to stay compliant with legal regulations. The form is used to verify the identity and employment authorization of individuals hired in the U.S. Failing to properly complete and store these forms can lead to significant penalties for businesses. This article provides a comprehensive checklist: I-9 audit template to help your business ensure accuracy and compliance, and address issues promptly.

I-9 Audit Checklist Template

1. Preparation

• Assign Responsibility: Designate a person or team responsible for the audit.
• Gather Resources: Obtain current I-9 forms and instructions from the USCIS website.
• Create an Audit Plan: Outline the audit process, schedule, and scope (e.g., all employees or a sample).

2. Document Collection

• Current Employees: Collect I-9 forms for all current employees.
• Former Employees: Ensure I-9 forms are retained for former employees for at least three years after the date of hire or one year after termination, whichever is later.

3. Form I-9 Review

• Section 1 (Employee Information and Attestation):
  • Ensure the employee completed and signed Section 1 by the first day of employment.
  • Verify that all required fields (e.g., name, address, date of birth, Social Security number if applicable, employment status) are accurately filled.
  • Check for any missing or incorrect information.
• Section 2 (Employer or Authorized Representative Review and Verification):
  • Confirm that the employer completed and signed Section 2 within three business days of the employee's first day of employment.
  • Ensure the employer reviewed original documents and noted the document title, issuing authority, document number, and expiration date (if any) in the appropriate columns.
  • Check for missing or incorrect information, such as dates and signatures.
• Section 3 (Reverification and Rehires):
  • Verify that Section 3 is completed for reverification or rehires, if applicable.
  • Ensure proper completion of fields for rehire date and new document information.

4. Document Verification

• List A Documents: Ensure documents establish both identity and employment authorization.
• List B and List C Documents: Ensure documents establish identity (List B) and employment authorization (List C).
• Acceptable Documents: Verify that only acceptable documents from the Lists of Acceptable Documents were used.

5. Recordkeeping

• Retention Period: Confirm compliance with the retention period (three years after the date of hire or one year after termination, whichever is later).
• Storage: Ensure I-9 forms are stored securely and separately from personnel files.
• Electronic Forms: If using electronic forms, ensure compliance with USCIS electronic I-9 regulations.

6. Common Issues and Corrections

• Missing Forms: Identify and obtain missing I-9 forms.
• Incomplete Forms: Correct incomplete forms; have employees and employers complete any missing information and initial and date corrections.
• Document Copies: If copies of documents were made, ensure they are attached to the correct I-9 form.

7. Compliance and Training

• Policy Review: Review and update I-9 compliance policies and procedures.
• Training: Provide training for HR staff on I-9 completion, verification, and retention requirements.
• Periodic Audits: Schedule regular audits to ensure ongoing compliance.

8. Audit Documentation

• Audit Report: Prepare a report summarizing findings, corrections made, and any recommendations for process improvements.
• Action Plan: Develop an action plan to address any identified compliance issues.

Post-Audit Actions

• Address Issues: Resolve any identified compliance issues promptly.
• Follow-Up: Implement and monitor corrective actions to ensure future compliance.
• Recordkeeping: Maintain records of the audit and any corrective actions taken.

Benefits of Using an I-9 Audit Checklist

• Ensures Compliance: By regularly auditing Form I-9 records, organizations can ensure they are compliant with immigration laws and regulations.
• Reduces Risk: Identifying and correcting errors in Form I-9 can help mitigate the risk of fines, penalties, or even potential legal action.
• Improves Record-Keeping: An audit checklist helps organizations maintain accurate and organized records of I-9 forms for each employee.
• Provides Peace of Mind: Knowing that Form I-9 records are up-to-date and accurate gives organizations peace of mind in the event of an immigration audit.

Conducting an I-9 Audit

• Review all Form I-9 records for accuracy, completeness, and compliance with legal requirements.
• Verify that employees have provided acceptable documentation for identity and employment eligibility.
• Address any errors or discrepancies found during the audit process promptly and appropriately.
• Document the audit findings and any corrective actions taken for future reference.

Conclusion

In conclusion, implementing an I-9 audit checklist is crucial for organizations to comply with immigration laws. Regular audits and accurate records help avoid fines, penalties, and reputation damage. The checklist: I-9 audit verifies workforce identity and eligibility, showing a commitment to legal and ethical standards.