According to the Immigration Reform and Control Act, all employers must verify the identity and employment authorization of employees working in the United States who were hired after November 6, 1986. This verification process is documented by completing and retaining Form I-9, Employment Eligibility Verification, regardless of the employee’s immigration status. Even though completion of Form I-9 is designed to be simple, there are quite a few details both employees and employers must be careful about to ensure thorough compliance with all federal requirements. Therefore, it is important to not only understand Form I-9 and its sections, but how to draft a standard operating procedure to improve compliance.
Form I-9 Standard Operating Procedure
A standard operating procedure (SOP) is a document that outlines the steps employees must follow to complete a specific task. An SOP for an I-9 policy ensures compliance with IRCA, protects employers from liability, and streamlines the I-9 process. An SOP will include a well-defined business process to properly complete Form I-9.
I-9 compliance is not only a legal requirement, but also a smart business decision. Here are a few points to consider when drafting an I-9 SOP.
- Clearly state the objective of the SOP and what it is intended to achieve.
- Define what the SOP covers and what it does not cover.
It might not cover, for example:
- Immigration-related procedures such as visa applications, relocations, ex-pat situations, etc.
- The procedures for E-Verify for those who do not participate in E-Verify.
- The procedures for other HR-related forms such as W-4, Direct deposit, W-9, a non-disclosure agreement (NDA), Background check consent form, Employment Agreement, etc.
- The procedures for other legal compliance forms, such as OSHA, HIPAA, etc.
- Research the I-9 form and relevant regulations, reference material such as the Department of Justice and Immigrant and Employee Rights, and gather any necessary examples, guides, or other resources. For example, enforcement of anti-discrimination provisions by the agencies, extension rules for TPS, updates on DACA, asylees, and refugees, etc.
- Outline the company’s policies and procedures for the I-9 process, such as the roles and responsibilities of employees and departments or authorized representatives involved in the process, and the procedures for handling errors or inconsistencies, whether you will complete a new I-9 or utilize Section 3 for rehires, remote agent policies, etc.
- Create a checklist of the steps to be followed during the I-9 process and break down the I-9 process into a logical sequence of steps and provide detailed instructions for each step. For example Steps before and on the first day of employment, steps to be taken within three business days from the first day of employment, the procedures for completing the I-9 form, including the version of the Form I-9 to be completed, types of acceptable documents, the process for verifying employee identity and work eligibility, the deadlines for completing the form, options available for remote or Hybrid employees on completion of Section 2, the retention and storage requirements for the I-9 forms and other relevant documents, E-verify process if you participate in E-Verify, Section 3 reverifications, etc.
- Use images, diagrams, or flowcharts to help employees and authorized representatives understand the process more easily.
- Provide details of the training, job aids, knowledge articles, and support provided to those who are responsible for completing the I-9 form.
- Reference system reporting and notification schedule and tools available for Section 3 reverifications, receipts, pending Sections 1 and 2, pending corrections, etc.
- Emphasize the compliance requirements and regulations related to the I-9 form, such as the penalties for noncompliance and the processes for dealing with government audits or inspections.
- Ensure that the SOP must be written in clear and concise language, reviewed, and updated on a regular basis to keep it accurate and up to date with the current regulations. Keep a track record of all the amendments made to the SOP and ensure that the compliance team reviews and approves the SOP before making it widely available.
- Include escalation points and contact information of the person/s or department responsible for the I-9 process.
By following these tips, you can help ensure that your company is in compliance with I-9 regulations and avoid costly fines and penalties.
Avoid Form I-9 Mistakes with Proper Management
Correctly completed I-9 forms are an indispensable condition of compliance, as a key step in ensuring the legality of their businesses when it comes to immigration policy. However, that is not nearly enough – if any of the other mistakes we listed are made, the effect achieved by proper completion will be in wane, as the penalties for inaccuracies, missed deadlines and re-verifications can still be too high to handle for any business.
There are no mistakes in I-9 management that will go unpunished if detected by authorities. To avoid the risk of exposing the company to fines and lawsuits, many employers decide to upgrade their operations in this field by adopting advanced I-9 software solutions. Electronic I-9 management includes control mechanisms, easy access to stored I-9s, automatic deadline notifications, integration with E-Verify, and data security measures.
Learn more about the ways to safely outsource I-9 administration, prevent Form I-9 mistakes and costly fines, and improve compliance through the use of a reliable state-of-the-art electronic I-9 system.