2 Table of Contents What is Form I-9 and When Is It Needed? Employer’s Role in Completing Form I-9Acceptable Documents for Form I-9 (Section 2)Compliance and Penalties for Errors
3 What is the Form I-9?It’s the form used to verify an employee’s authorization to work in the U.S., required by law since 1986 for all employees providing services in the U.S.The Dept. of Homeland Security (DHS), Dept. of Labor (DOL) or Immigration and Customs Enforcement (ICE) conduct audits of U.S. employers to enforce this program.
4 Three Sections of the Form I-9 Section 1: Employee Information and Verification12Section 2: Employer Review and VerificationSection 3: Updating and Reverification3
5 Who Completes the I-9 and When? Section 1: Section 1 on Day 1, when employment begins Employee Information and VerificationEmployee must complete or before.Employee must provide original identity and work authorization documents (for Section 2) within three business days of starting work.Because of E-Verify the USU HR office must have the completed I-9 form by the morning of the 3rd business day.Section 2: Employer Review and VerificationEmployer must complete within three business days of the employee starting work (or by the 1st day of employment if the individual will work for three or fewer days).Section 3: Updating and Reverification done by HR- Most Common Reason:Employee is a foreign national whose work permission has an expiration; employer must reverify before permission expires.
6 Employer’s Role: Section 1 Blank Form I-9 may be reproduced provided both sides (Form and List of Acceptable Documents) are copied.Ensure that the employee signs and dates the Form I-9. If not, employer assumes liability for false statements in Section 1.If employer types or translates Section 1 for employee, employer must sign Preparer/Translator section.If employer types Section 1 for employee, employer must sign Preparer/Translator Certification.Note: It is the employer’s responsibility to ensure Section 1 is complete and accurate to the best of your knowledge.
7 Employer’s Role: Section 2 Establish the employee’s identity and verify work authorization.Review the documentation presented by the employee and record the document title, issuing authority, document number and expiration date. *Do NOT over document.Do not dictate what they bring = document abuse.
8 Employer’s Role: Section 2 Continued Acceptable documents for I-9 purposes are broken down into different lists, according to what they help the employer establish:List A documents establish both identity and work authorizationList B documents establish only identityList C documents establish only work authorizationNote: Always allow the employee to choose which documents to present. Telling them which documents to present for Section 2 or using more documents than required (over documentation) is considered Document Abuse and will result in a fine.
9 Acceptable Documents for Form I-9 Current Version: 08/07/09List A OR B AND CExamples:Don’t ask for more documents than you need:One from List A- OR -One from List B (containing photo)+One from List C12SS Card3456
10 List A Documents Establish Both Identity & Work Authorization * As of April 3, 2009, employers can no longer accept any expired documentsU.S. Passport or U.S. Passport CardPermanent Resident Card or Alien Registration Receipt Card (Form I-551)Foreign passport with a temporary I-551 stamp or temporaryI-551 printed notation on a machine-readable immigrant visaEmployment Authorization Document with a photograph (Form I-766 only.)Foreign passport with an unexpired Arrival-Departure Record, Form I-94 or Form I-94A, bearing the same name as the passport and containing an endorsement of the alien’s nonimmigrant status, if that status authorizes the alien to work for the employerPassport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating nonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMIExampleExampleExampleExampleExampleExample
11 List B Documents Establish Identity * As of April 3, 2009, all identity documents must be unexpiredDriver’s license or ID card issued by a state or outlying possession of the U.S. provided it contains a photograph or information such as name, date of birth, gender, height, eye color and addressID card issued by federal, state or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color and addressSchool ID card with a photographVoter’s registration cardU.S. Military card or draft recordMilitary dependent’s ID cardU.S. Coast Guard Merchant Mariner CardNative American tribal documentDriver’s license issued by a Canadian government authorityFor persons under age 18 who are unable to present a document listed above:School record or report cardClinic, doctor or hospital recordDay-care or nursery school record
12 List C Documents Establish Work Authorization U.S. Social Security Card (referred to as Social Security Account Number Card), other than one that specifies on the face of the document that it does not authorize employment in the United States.Certification of Birth Abroad issued by the Department of State (Form FS-545)Certification of Report of Birth issued by the Department of State (Form DS-1350)Original or certified copy of a birth certificate issued by a state, county, municipal authority or outlying possession of the U.S. bearing an official sealNative American tribal documentU.S. Citizen ID Card (Form I-197)ID card for use of Resident Citizen in the U.S. (Form I-179)Employment Authorization Document issued by DHS (other than those listed under List A)Example
13 Section 1 Common Errors Employee Information and Verification 4312Employee did not:1. Sign the document2. Enter the date signed (not DOB)3. Attest by choosing of the four boxes and provide applicable number and expiration date (if required)4. Enter date of birth and Social Security Number* (if available)
14 Section 1 Common Errors (continued) 23The last two of the four boxes:Alien # (A#): ________________This is the number on the Permanent Resident Card or Employment Authorization Document Card (EAD).2. Admission # : This is the number on the I-94.3. Alien authorized to work (Alien # from EAD or Admission # from I-94 card) until ____/____/_____ expiration date of work authorization .Make sure the employee signs and dates the Form I-9. If not signed, employer assumes liability for false statements in Section 1.
15 Section 2 Common Errors Employer Review and Verification California Drivers License1State of CaliforniaC08/22/083Electrical Engineer2Elmer Fuzz4Goofball Systems, Inc Snooze Lane, Menlo Park, CA 94035List A OR Lists B and C not completed (or completed incorrectly – unacceptable documents or over documentation)2. Employer did not sign3. Employer did not enter the employee’s start date4. Employer did not enter the date the form was completed
16 Section 2 Common Errors (continued) Social Security cardCalifornia Drivers LicenseSocial Security AdminState of CaliforniaA9/22/10The information in Section 2 was entered in the wrong columns.It should be either:One document from List AOROne document each from List B AND List C.Most common errors:Documents provided by the employee are not original and/or unexpiredMissing or incomplete employer informationForm I-9 was not completed within three days of hire
17 Penalties for Violations Technical Errors (information recorded incorrectly or missing but available) – 10 days to correct before finedSubstantive Errors - $700-$900 per error depending on error and number of offensesPenalties for record keeping violations range from up to $1,100 each for the “first offense” to $3,200 each person for a “pattern or practice” of violations. There could be criminal fines and imprisonment for knowingly hiring unauthorized workers.Utah State University is in jeopardy of losing federal contracts if out of compliance with Department of Homeland Security regulations.Random audits are being performed by Department of Homeland Security (DHS), Department of Labor (DOL) or Immigration and Customs Enforcement (ICE).
18 Understanding E-Verify E-Verify is the federal government’s Internet-based system for US employers to verify the employment eligibility of new hires against DHS and SSA databases.Employers (HR) electronically submit the same information entered on the I-9 Form.The E-Verify system sends online confirmation or non-confirmation information to employers in response to queries submitted electronically.End of Presentation
19 U.S. Passport and U.S. Passport Card A U.S. Passport is a document issued by the State Department to persons who have established citizenship in the U.S. by birth, naturalization or derivation. Passports are very reliable documents that may be used within the U.S. to establish citizenship, identity and work authorization.NOTE: There are several different versions of the U.S. passport that are currently valid and vary from the version illustrated at left.A U.S. Passport Card is a is a wallet-size card similar to the U.S. Passport, except that it can only be used for land and sea travel between the U.S. and Canada, Mexico, the Caribbean and Bermuda. The U.S. Department of State began producing the passport card in July 2008.Back to List
20 Permanent Resident Card The Permanent Resident Card, Form I-551, was introduced in January 1977 and phased in over a period of time. In addition to the photograph, the I-551 contains the bearer's signature and finger print. As with the older I-151 cards, this version I-551 generally does not contain an expiration date.Alien # -9 digitsDocument Expiration DateDocument # -3 Letters, 10 digitsBack to List
21 Unexpired Foreign Passport With Temporary I-551 Stamp Note: Not all VISAs serve as temporary I-551 documents.Must have annotation.VisaNumberUpon endorsement serves as temporary I-551 evidencing residence for 1 yearBack to List
22 Employment Authorization Document Alien # -9 digitsDocument Expiration DateDocument # -3 Letters, 10 digitsBack to List
23 Unexpired Foreign Passport, Form I-94, and Work Authorization (cont Unexpired Foreign Passport, Form I-94, and Work Authorization (cont. on next slide)Type of VISA and expiration date (we typically see D/S = Duration of Status)Or Admission NumberI-94 # -11 digitsNext Slide
24 Unexpired Foreign Passport, Form I-94, and Work Authorization (cont Unexpired Foreign Passport, Form I-94, and Work Authorization (cont. from prev. slide)Form DS-2019 for J-1 VISA holders (non-students)Form I-20 for F-1 VISA holders (students)IssuingAuthoritySEVIS/Document NumberExpiration DateForm Type (I-20 or DS-2019)Note: This information can be listed in List C areaBack to List
25 Passport from the Federated States of Micronesia or the Republic of Marshall Islands Back to List
26 Social Security Card Unacceptable for List C document – Restricted Acceptable for List C document – UnrestrictedUnacceptable for List C document – RestrictedIssuing Authority (watermark)Back to List