I-9 Compliance Management: How to Prepare for the Rise in Audits

Effective I-9 compliance management has become a priority for human resources (HR) teams. With Form I-9 penalties ranging from just under $300 to nearly $28,000 – depending on violation type and degree of offense – and audits expected to rise, ensuring compliance is more critical than ever.

This comprehensive guide provides your HR team with the knowledge and tools you need to establish robust I-9 compliance management processes that can protect your organization from costly fines as audits increase.

The Current I-9 Compliance Management Landscape

The enforcement environment surrounding I-9 compliance management has intensified significantly. In 2017, roughly 1,360 I-9 audits were conducted. This number drastically increased in 2019 to 6,450, and before the COVID-19 pandemic, U.S. Immigration and Customs Enforcement (ICE) was planning on performing 15,000 in 2020, according to SHRM. Experts predict the number will only continue to rise.

The Form I-9 audit process begins with a Notice of Inspection (NOI). From there, the employer must provide the I-9 forms requested along with any supporting documentation required. Then, ICE reviews the records for completeness, timeliness, and appropriate documentation.

U.S. Citizenship and Immigration Services (USCIS) lists some of the most common I-9 compliance mistakes on their website. They include:

• Unacceptable documents provided
• Required information missing, particularly dates or signatures
• Due dates not met

I-9 Compliance Management Best Practices

With the current landscape in mind, let’s dive into some best practices for navigating it:

Build I-9 Verification into Your Employee Onboarding Process

Effective I-9 compliance management begins when the employee begins. Your onboarding process should incorporate clear I-9 checkpoints, so you can prevent documentation gaps (and the costly repercussions).

Start by informing new hires of required documentation well before their start date. That way, they will have enough time to prepare appropriate identification documents. During the onboarding process itself, maintain a schedule for your team to validate that each new hire provides a correctly completed I-9 form by their first day along with necessary supporting documentation.

HR document management software can help streamline the verification process by alerting you when information is missing and when due dates are approaching. With a well-thought-out onboarding process and software to accompany it, you can take a proactive rather than reactive approach to I-9 compliance management.

Create a Records Retention Policy

Having a solid records retention policy in place is key to successful I-9 compliance management. While not stated as a top mistake on the USCIS website, retaining records is a major issue for many HR teams. Employers are required to maintain employees’ I-9 files for three years after they were hired or one year after they were terminated – whichever comes later. Ensuring your policy revolves around these specifications is crucial to effective compliance management.

Enforce Secure Retention & Storage with HR Document Management Software

Secure I-9 form storage is just as crucial as retention, and the best way to guarantee you not only have the files you need in case of an audit but keep them safe is to adopt an HR document management solution.

The best systems have both retention policy tools and secure storage features. They centralize all your files, so your team can easily find the information they need to provide ICE if audited. You can search for files in various ways – from the document type (like I-9 form) to the employee the file belongs to. Not to mention, you can rest assured that your stored files are safe thanks to advanced permissions and sharing features.

If your current software doesn’t have these capabilities, it’s likely time to upgrade your HR document management system.

Ensure Anytime, Anywhere Access to Minimize Business Disruption

The best HR document management solutions are cloud-based, providing secure access to I-9 forms and related documentation to authorized employees regardless of where they’re located. This eliminates the need to physically go to multiple locations to prove ongoing compliance.

Auditors won’t even need to be physically present at your office once they’re given electronic access to requested documents remotely, significantly minimizing the disruption to your business processes that the audit would normally cause.

Leverage Workflow Automation to Streamline Compliance

Document management solutions that include workflow automation drastically improve I-9 compliance management. Workflow automation tools actually power most compliance features offered by advanced document management software. They detect missing information and have the ability to automatically send alerts when due dates are approaching, helping HR teams avoid some of the most common I-9 compliance mistakes.

Workflow automation tools ensure that all required documents are acquired during the employee onboarding process. You’ll get an automatic notification if any required documents, such as an I-9, are not present during document processing. That way, you ensure everything is complete and approved during the hiring process and you won’t have to scramble at the last minute when you’re in the midst of an audit.