ICE Audit Framework: Form I-9 violations are typically investigated and enforced by the U.S. Immigration and Customs Enforcement (ICE) ICE audit process begins with an issuance of a Notice of Investigation or NOI with the organization having 3 business days to respond Notice will seek the records for: All supporting documentation Payroll records A list of current employees Articles of incorporation and business licenses ICE reviews and provides: List of technical or procedural violations found Notice of suspect documents (alien numbers do not match government records) Notice of discrepancies (SSNs do not match government records) Organization has 10 days to make corrections Penalties for Non-compliance: Employers who violate the law may be subject to: civil fines criminal penalties (when there is a pattern or practice of violations) debarment from government contracts a court order requiring the payment of back pay to the individual discriminated against a court order requiring the employer to hire the individual discriminated against Common I-9 Mistakes: Employee doesn’t sign/date in Section 1 Employee does not complete Section 1 on the first day of employment Employee doesn’t indicate citizenship status Employer doesn’t properly or completely enter documents in Section 2 Employer requests certain documents Employer doesn’t complete Section 2 by 3rd day of work Employer doesn’t enter date of hire Employer representative doesn’t sign, date and print name in Certification section Improper retention ICE Best Practices: Establish an internal training program, with annual updates on: how to manage the completion of the Form I-9 how to detect fraudulent use of documents in the Form I-9 process how to use E-verify Permit the I-9 and E-verify process to be conducted only by individuals who have received this training - and include a secondary review as part of each employee's verification to minimize the potential for a single individual to subvert the process Arrange for annual Form I-9 audits by an external auditing form or trained employee not otherwise involved in the Form I-9 and electronic verification process ICE Best Practices (cont'd): Establish a self-reporting procedure for reporting to ICE any violations or discovered deficiencies Establish a protocol for responding to no-match letters received from the Social Security Administration Establish a tip line for employees to report activity relating to the employment of unauthorized aliens and a protocol for responding to employee tips Establish and maintain safeguards against the use of the verification process for unlawful discrimination Establish a protocol for assessing the adherence to the "best practices" guidelines by the company's contractors/ subcontractors Submit an annual report to ICE to track results and assess the effect of participation in the IMAGE program

2.  Form I-9 violations are typically investigated and enforced by
the U.S. Immigration and Customs Enforcement (ICE)
 ICE audit process begins with an issuance of a Notice of
Investigation or NOI with the organization having 3 business
days to respond
 Notice will seek the records for:
◦ All supporting documentation
◦ Payroll records
◦ A list of current employees
◦ Articles of incorporation and business licenses
 ICE reviews and provides:
◦ List of technical or procedural violations found
◦ Notice of suspect documents (alien numbers do not match government
records)
◦ Notice of discrepancies (SSNs do not match government records)
 Organization has 10 days to make corrections

3. Employers who violate the law may be subject to:
 civil fines
 criminal penalties (when there is a pattern or practice of
violations)
 debarment from government contracts
 a court order requiring the payment of back pay to the
individual discriminated against
 a court order requiring the employer to hire the
individual discriminated against

4.  Employee doesn’t sign/date in Section 1
 Employee does not complete Section 1 on the first day of
employment
 Employee doesn’t indicate citizenship status
 Employer doesn’t properly or completely enter documents in
Section 2
 Employer requests certain documents
 Employer doesn’t complete Section 2 by 3rd day of work
 Employer doesn’t enter date of hire
 Employer representative doesn’t sign, date and print name in
Certification section
 Improper retention

5.  Establish an internal training program, with annual updates on:
◦ how to manage the completion of the Form I-9
◦ how to detect fraudulent use of documents in the Form I-9 process
◦ how to use E-verify
 Permit the I-9 and E-verify process to be conducted only by individuals who
have received this training - and include a secondary review as part of each
employee's verification to minimize the potential for a single individual to
subvert the process
 Arrange for annual Form I-9 audits by an external auditing form or trained
employee not otherwise involved in the Form I-9 and electronic verification
process

6.  Establish a self-reporting procedure for reporting to ICE any violations or
discovered deficiencies
 Establish a protocol for responding to no-match letters received from the
Social Security Administration
 Establish a tip line for employees to report activity relating to the
employment of unauthorized aliens and a protocol for responding to
employee tips
 Establish and maintain safeguards against the use of the verification
process for unlawful discrimination
 Establish a protocol for assessing the adherence to the "best practices"
guidelines by the company's contractors/ subcontractors
 Submit an annual report to ICE to track results and assess the effect of
participation in the IMAGE program

7. Want to learn more about form I-9 , its
requirements and best practices to comply with
them? ComplianceOnline webinars and seminars
are a great training resource. Check out the
following links:
 I-9 Compliance: Knowing What to Do and When
to Do It
 I-9 Compliance: How to Avoid an ICE Meltdown
 Form I-9: ICE Storms Could Cost Your Company
Millions
 Form I-9 and E-Verify, How to Stay Compliant
 How to Ensure ICE I-9 Compliance
 How to Survive an I-9 Audit