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Wolfsdorf Immigration Law Group  Are You Ready For An I-9 Audit? It’s Time to Get Your I-9’s in Order! Presentation by  Be...
ICE Sends Strong Message to Employers <ul><li>&quot;Immigration and Customs Enforcement (ICE) agency is about to try a new...
Enforcement Now Has Teeth! <ul><li>Interagency cooperation the norm – local, state, federal agencies, SSA, state wage and ...
Worksite Enforcement Statistics <ul><li>FY 2004 - 850 worksite arrests </li></ul><ul><li>FY 2007 – 4,940 worksite arrests,...
Worksite Enforcement Statistics <ul><li>FY 2008 – ICE obtained criminal fines, restitutions, and civil judgments in excess...
<ul><li>What to do if ICE or DOL or IRS agents come knocking at your door </li></ul><ul><ul><ul><li>Everybody from recepti...
The I-9 Gets a Make-Over <ul><li>New Form I-9  – effective April 3, 2009 </li></ul><ul><ul><li>Only acceptable version has...
The I-9 Gets a Make-Over <ul><ul><li>What has changed? </li></ul></ul><ul><ul><ul><li>all documents presented during the F...
Other Noteworthy Changes to I-9  (December 2007) <ul><ul><li>Eliminated documents from List A, including: </li></ul></ul><...
Who Completes I-9?   <ul><li>Citizens, nationals and non-citizens. U.S. citizens include persons born in Puerto Rico, Guam...
Independent Contractors <ul><li>Exempt from I-9 requirement </li></ul><ul><li>Cannot use independent contractors (IC) to c...
Common Issues in I-9 Compliance  <ul><li>I-9 should only be completed for people an employer actually hires </li></ul><ul>...
Three Sections of I-9:Timing Issues   Section 1: Employee Information and Verification –  Complete on first day <ul><li>Se...
Section 1 Common Mistakes Employee Information and Verification <ul><ul><li>Employee did not: </li></ul></ul><ul><ul><ul><...
Section 1 Common Mistakes   (continued) <ul><li>Employee did not: </li></ul><ul><ul><li>List an A #: ________________This ...
Section 2 Common Mistakes Employer Review and Verification Employer did not: - sign or date Section 2 - fill in date of hi...
Section 2: Common Mistakes One from List A - or - One from List B +  One from List C
Section 2 Common Mistakes   (continued) Employer: -  did not complete information about document title,    issuing authori...
Section 2 Common Mistakes   (continued) <ul><li>Employer accepted: </li></ul><ul><li>- unacceptable documents (hospital bi...
Section 2 Common Mistakes <ul><ul><li>Employer: </li></ul></ul><ul><ul><li>- accepted documents that did not “reasonably r...
Section 2 Common Mistakes <ul><ul><li>Employer: </li></ul></ul><ul><ul><li>-  keeps copies of documents for some employees...
Section 3 Common Mistakes <ul><li>Employer did not re-verify when required </li></ul><ul><li>Employer did not complete the...
How to Complete an I-9 for… Alien with Nonimmigrant Visa <ul><li>e.g. E-1, E-2, E-3,  H-1B, L-1, O-1, O-2, P-1, P-1S, P-2,...
Examples of I-94 card
How to Complete an I-9 for… Individuals with EAD <ul><li>Complete Section 2, List A block </li></ul>EAD DHS/USCIS WAC12345...
Sample EAD
How to Complete an I-9 for… F-1 Students with CPT <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>For...
F-1 Students with CPT AND AND CPT Annotation  SEVIS number
How to Complete an I-9 for… J-1 Intern/Trainee <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>DS-201...
How to Complete an I-9 for… J-1 Intern/Trainee AND AND Letter from DSO approving  employment  (if academic training)
Common Issues in I-9 Compliance <ul><li>Document Abuse </li></ul><ul><ul><li>Can’t request documents before hire or during...
Common Issues in I-9 Compliance (continued) <ul><li>Original versus photocopies of documents </li></ul><ul><ul><li>Must pe...
Common Issues in I-9 Compliance (continued) <ul><li>How does an employer know if a document is real? </li></ul><ul><ul><li...
Should Employer Copy Supporting Documents? <ul><li>Past practice – if you copy – reveals mistakes in process </li></ul><ul...
To Copy or Not to Copy? <ul><li>E-Verify Employers must photocopy if document used as part of the Photo Screening Tool (pe...
Common Issues in I-9 Compliance (continued) <ul><li>What if employee is unable to provide the required documents within 3 ...
Receipt Rule <ul><li>Receipt for a replacement document when the document has been  lost, stolen, or damaged </li></ul><ul...
Receipt Rule Receipt (Passport) Dept. of  State 123456789 N/A <ul><li>When you receive actual document, line out “receipt,...
Receipt Rule <ul><li>Form I-94; temporary I-551 stamp and a photograph of the individual - considered a receipt for the Fo...
Common Issues in I-9 Compliance (continued) <ul><li>Other situations where receipt is acceptable </li></ul><ul><ul><li>AC-...
AC-21 H-1B Portability <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>USCIS Receipt Notice or Courie...
AC-21 H-1B Portability <ul><li>Attach the following documents to I-9: </li></ul><ul><ul><li>Copy of USCIS receipt. If you ...
<ul><li>Once approved, update the I-9 (by inserting the expiration date, initial and date it) or complete a new I-9 with t...
H-1B Cap-Gap for F-1 Students <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>Expired EAD (I-766) </l...
F-1 STEM students with additional  17 month OPT <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>Expir...
NIV Extensions <ul><li>8 C.F.R.  §274a.12(b)(20) automatically extends employment authorization for 240 days if timely fil...
NIV Extensions <ul><li>Doc. Title: Form I-797 Receipt </li></ul><ul><li>Document #: USCIS Receipt Number </li></ul><ul><li...
Common Issues in I-9 Compliance  (continued) <ul><li>Can employer terminate an employee for failure to produce documents w...
Reverification <ul><li>Must reverify on or before employment authorization expires </li></ul><ul><li>Employee must choose ...
Reverification: Common Mistakes <ul><li>Do not reverify U.S. citizens/green card holders or “continuing employees” </li></ul>
Reverification: Common Mistakes <ul><li>Exception: Temporary I-551 stamps must be reverified </li></ul>** * *
Reverification: Unresolved Issues <ul><ul><li>Conditional Permanent  </li></ul></ul><ul><ul><li>Residents or CPRs with </l...
Organization of I-9s <ul><li>Never keep I-9s with personnel files </li></ul><ul><li>Organize in 3 categories </li></ul><ul...
Organization of I-9s <ul><li>Electronic Retention </li></ul><ul><li>Guidelines in M-274 on pages 15-17 </li></ul><ul><li>W...
Retention Rules <ul><li>Must retain until the  later of </li></ul><ul><ul><li>three years after the date of hire, OR  </li...
Common Issues in I-9 Compliance (continued) <ul><li>Mergers, Acquisitions and Restructuring </li></ul><ul><ul><li>No requi...
Common Issues in I-9 Compliance (continued) <ul><li>Correcting mistakes and omissions on I-9s </li></ul><ul><ul><li>Never ...
What is wrong with this I-9?
Common Issues in I-9 Compliance (continued) <ul><li>Is a Social Security number required to hire an individual? </li></ul>...
Strategies for Compliance   (Minimizing Liability) <ul><li>Have a written corporate immigration compliance policy </li></u...
Compliance Policy (continued) <ul><li>Best Practices for I-9 Compliance </li></ul><ul><ul><li>Centralize authority – assig...
Compliance Policy (continued) <ul><li>Discovery of I-9 fraud or identity theft </li></ul><ul><li>Mergers, acquisitions and...
Constructive Knowledge <ul><li>Definition: </li></ul><ul><ul><li>The term “knowing” includes not only actual knowledge but...
Constructive Knowledge? <ul><li>Failure to take reasonable steps to address the following situations: </li></ul><ul><ul><l...
“Good-Faith” Defense <ul><li>Also known as the Sonny Bono amendment </li></ul><ul><li>Good-faith compliance is a defense w...
Civil Penalties <ul><li>Knowingly hiring or continuing to employ unauthorized aliens </li></ul><ul><ul><ul><li>First offen...
Civil Penalties <ul><li>Failing to comply with Form I-9 requirements </li></ul><ul><ul><li>Paperwork violations </li></ul>...
Increased Penalties <ul><li>Apply to any violations occurring on or after March 28, 2008 </li></ul><ul><li>Increased by ap...
Criminal Penalties <ul><li>Engaging in a pattern or practice of knowingly hiring or continuing to employ unauthorized alie...
Related Offenses <ul><ul><li>Unlawful discrimination (OSC) </li></ul></ul><ul><ul><ul><li>e.g. document abuse </li></ul></...
Government Programs <ul><li>Social Security Number Verification System (SSNVS) </li></ul><ul><ul><li>Call-in number 1-800-...
Government Programs <ul><li>IMAGE (ICE Mutual Agreement Between Government and Employers) </li></ul><ul><li>Employers must...
E-Verify Program <ul><li>Program Summary </li></ul><ul><ul><li>Automated link to federal databases – DHS/SSA </li></ul></u...
E-Verify Program <ul><ul><li>Electronic query submitted once I-9 is completed </li></ul></ul><ul><ul><ul><li>No prescreeni...
E-Verify Program <ul><li>Mandatory for  all  employers in Arizona, Mississippi and South Carolina </li></ul><ul><li>Other ...
Participation in E-Verify: Pros and Cons Is it Right for You? <ul><li>Participation serves as a valid argument for good fa...
Participation in E-Verify: Pros and Cons Is it Right for You? <ul><li>Increases exposure to government audits – DHS is dat...
<ul><li>Open Forum: </li></ul><ul><li>Question and Answer Session </li></ul>
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Transcript of "I 9 master 7-09"

  1. 1. Wolfsdorf Immigration Law Group Are You Ready For An I-9 Audit? It’s Time to Get Your I-9’s in Order! Presentation by Bernard P. Wolfsdorf and Tien-Li Loke Walsh Attorneys at Law © 2009 Wolfsdorf Immigration Law Group (all rights reserved) A program focused on training Human Resource Specialists to ensure compliance with immigration regulations when hiring workers.
  2. 2. ICE Sends Strong Message to Employers <ul><li>&quot;Immigration and Customs Enforcement (ICE) agency is about to try a new approach: not just targeting the workers, but also the people who employ them, in the first place. &quot;That's a challenge. There are millions of employers in the United States.&quot; </li></ul><ul><li>&quot;We're very cognizant that we just can't focus on the very top, on the biggest employers – that we have to do this at all levels.&quot; </li></ul><ul><li>&quot;ICE is committed to establishing a meaningful I-9 inspection program to promote compliance with the law...This nationwide effort is a first step in ICE's long-term strategy to address and deter illegal employment.&quot; </li></ul><ul><li>John Morton, Department of Homeland Security Assistant Secretary for ICE </li></ul><ul><li>July 1, 2009: ICE issues 652 Audit Notices in one day! </li></ul><ul><ul><ul><li>More than ICE issued in all of 2008 </li></ul></ul></ul>
  3. 3. Enforcement Now Has Teeth! <ul><li>Interagency cooperation the norm – local, state, federal agencies, SSA, state wage and labor investigators, postal service investigators, Department of Labor, enforcement agencies </li></ul><ul><li>Criminal prosecutions of company owners, managers, HR personnel with knowledge </li></ul><ul><li>Use of undercover informants </li></ul><ul><li>Heavy fines and asset seizures </li></ul><ul><li>Use of forensic experts </li></ul>
  4. 4. Worksite Enforcement Statistics <ul><li>FY 2004 - 850 worksite arrests </li></ul><ul><li>FY 2007 – 4,940 worksite arrests, including 863 arrests based on criminal charges </li></ul><ul><li>FY 2008 – 5,713 worksite arrests, including 1,101 arrests based on criminal charges </li></ul><ul><ul><ul><li>700% increase in worksite enforcement cases compared to FY 2002 </li></ul></ul></ul><ul><ul><ul><li>135 were business owners, supervisors, managers, and HR personnel </li></ul></ul></ul>
  5. 5. Worksite Enforcement Statistics <ul><li>FY 2008 – ICE obtained criminal fines, restitutions, and civil judgments in excess of $30 million </li></ul><ul><li>FY 2009 budget: $3 billion for enforcement activities; $100 million for E-Verify </li></ul>
  6. 6. <ul><li>What to do if ICE or DOL or IRS agents come knocking at your door </li></ul><ul><ul><ul><li>Everybody from reception to senior management must be aware of proper steps and chain of communication </li></ul></ul></ul>
  7. 7. The I-9 Gets a Make-Over <ul><li>New Form I-9 – effective April 3, 2009 </li></ul><ul><ul><li>Only acceptable version has edition date (Rev. 02/02/09)N on bottom right corner of all pages </li></ul></ul><ul><ul><li>This version of the I-9 will not expire until further notice </li></ul></ul>
  8. 8. The I-9 Gets a Make-Over <ul><ul><li>What has changed? </li></ul></ul><ul><ul><ul><li>all documents presented during the Form I-9 process must be unexpired. Includes </li></ul></ul></ul><ul><ul><ul><ul><li>U.S. passport </li></ul></ul></ul></ul><ul><ul><ul><ul><li>All List B documents </li></ul></ul></ul></ul><ul><ul><ul><li>New U.S. passport card added to List A on August 8, 2008 </li></ul></ul></ul>
  9. 9. Other Noteworthy Changes to I-9 (December 2007) <ul><ul><li>Eliminated documents from List A, including: </li></ul></ul><ul><ul><ul><li>Certificate of Naturalization (Form N-550 or N-570) </li></ul></ul></ul><ul><ul><ul><li>Unexpired Reentry Permit (Form I-327) </li></ul></ul></ul><ul><ul><li>M-274 Handbook for Employers </li></ul></ul><ul><ul><ul><ul><li>SS number not required for Section 1 unless enrolled in E-Verify </li></ul></ul></ul></ul>
  10. 10. Who Completes I-9? <ul><li>Citizens, nationals and non-citizens. U.S. citizens include persons born in Puerto Rico, Guam, the U.S. Virgin Islands and the Northern Mariana Islands. </li></ul><ul><ul><li>Nationals of the United States include persons born in American Samoa, including Swains Island. </li></ul></ul><ul><li>Exempt groups </li></ul><ul><ul><ul><li>“ grandfathered” employees hired before November 7, 1986 </li></ul></ul></ul><ul><ul><ul><li>Casual domestic workers </li></ul></ul></ul>
  11. 11. Independent Contractors <ul><li>Exempt from I-9 requirement </li></ul><ul><li>Cannot use independent contractors (IC) to circumvent immigration laws </li></ul><ul><ul><li>Cannot hide behind existence of written contract with contractor/subcontractor </li></ul></ul><ul><ul><li>Liability if employer has constructive knowledge (CK) </li></ul></ul><ul><ul><ul><li>ICE takes broad view of CK where employer is under obligation to make further inquiries of the contractor </li></ul></ul></ul>
  12. 12. Common Issues in I-9 Compliance <ul><li>I-9 should only be completed for people an employer actually hires </li></ul><ul><ul><li>No prescreening </li></ul></ul>
  13. 13. Three Sections of I-9:Timing Issues Section 1: Employee Information and Verification – Complete on first day <ul><li>Section 2: Employer Review and Verification </li></ul><ul><li>Complete Section 2 within 3 business days </li></ul><ul><li>Section 3: Updating and Reverification </li></ul>1 2 3
  14. 14. Section 1 Common Mistakes Employee Information and Verification <ul><ul><li>Employee did not: </li></ul></ul><ul><ul><ul><ul><ul><li>Sign or date the form </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Complete Section 1 on date of hire </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Check one of the four boxes regarding status or checked the wrong box </li></ul></ul></ul></ul></ul>
  15. 15. Section 1 Common Mistakes (continued) <ul><li>Employee did not: </li></ul><ul><ul><li>List an A #: ________________This is the number on the Alien Registration Card or EAD Card </li></ul></ul><ul><ul><li>Complete expiration date - Employee authorized to work until ____/____/_____ expiration date of work permission, plus the A number on either the EAD Card or the I-94 Card. </li></ul></ul><ul><li>Make sure the employee signs and dates the Form I-9. If not signed, employer assumes liability for false statements in Section 1. </li></ul>
  16. 16. Section 2 Common Mistakes Employer Review and Verification Employer did not: - sign or date Section 2 - fill in date of hire - did not complete Section 2 within 3 business days of hire
  17. 17. Section 2: Common Mistakes One from List A - or - One from List B + One from List C
  18. 18. Section 2 Common Mistakes (continued) Employer: - did not complete information about document title, issuing authority, document number and expiration date - photocopied the documents but did not complete the form
  19. 19. Section 2 Common Mistakes (continued) <ul><li>Employer accepted: </li></ul><ul><li>- unacceptable documents (hospital birth certificate, </li></ul><ul><li> foreign birth certificate, restricted SS card, expired </li></ul><ul><li> document) </li></ul><ul><li>- documents that have been removed from current list </li></ul><ul><li> (Naturalization Certificate) </li></ul>
  20. 20. Section 2 Common Mistakes <ul><ul><li>Employer: </li></ul></ul><ul><ul><li>- accepted documents that did not “reasonably relate to the </li></ul></ul><ul><ul><li>employee (different names, different date of birth) </li></ul></ul><ul><ul><li>- reviewed too many documents –discrimination </li></ul></ul>
  21. 21. Section 2 Common Mistakes <ul><ul><li>Employer: </li></ul></ul><ul><ul><li>- keeps copies of documents for some employees, but not all </li></ul></ul><ul><ul><li>- employer representative who signed the form was not the </li></ul></ul><ul><ul><li> same person who saw the original documents </li></ul></ul>
  22. 22. Section 3 Common Mistakes <ul><li>Employer did not re-verify when required </li></ul><ul><li>Employer did not complete the information required in Section 3 </li></ul><ul><li>Employer did not sign Section 3 </li></ul>
  23. 23. How to Complete an I-9 for… Alien with Nonimmigrant Visa <ul><li>e.g. E-1, E-2, E-3, H-1B, L-1, O-1, O-2, P-1, P-1S, P-2, P-3, R-1 </li></ul><ul><li>Complete Section 2, List A block </li></ul>I-94 card USCIS/DHS 123456789 DATE Passport # (Country) DATE
  24. 24. Examples of I-94 card
  25. 25. How to Complete an I-9 for… Individuals with EAD <ul><li>Complete Section 2, List A block </li></ul>EAD DHS/USCIS WAC123456789 DATE
  26. 26. Sample EAD
  27. 27. How to Complete an I-9 for… F-1 Students with CPT <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>Form I-20 (all pages) with CPT notation </li></ul></ul><ul><ul><li>I-94 card </li></ul></ul><ul><ul><li>Unexpired foreign passport </li></ul></ul>
  28. 28. F-1 Students with CPT AND AND CPT Annotation SEVIS number
  29. 29. How to Complete an I-9 for… J-1 Intern/Trainee <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>DS-2019 </li></ul></ul><ul><ul><li>I-94 card </li></ul></ul><ul><ul><li>Unexpired foreign passport </li></ul></ul><ul><ul><li>Letter from responsible officer (if academic training) </li></ul></ul>
  30. 30. How to Complete an I-9 for… J-1 Intern/Trainee AND AND Letter from DSO approving employment (if academic training)
  31. 31. Common Issues in I-9 Compliance <ul><li>Document Abuse </li></ul><ul><ul><li>Can’t request documents before hire or during interview </li></ul></ul><ul><ul><li>Can’t specify which documents to accept – provide List and let employee choose which documents to present </li></ul></ul><ul><ul><li>Can’t require more documents than required on the List </li></ul></ul><ul><ul><li>Can’t refuse to honor acceptable documents </li></ul></ul><ul><ul><li>Can’t ask to see document listed from Section 1 attestation </li></ul></ul>
  32. 32. Common Issues in I-9 Compliance (continued) <ul><li>Original versus photocopies of documents </li></ul><ul><ul><li>Must personally examine the document </li></ul></ul><ul><ul><li>Photocopies not acceptable </li></ul></ul><ul><ul><ul><li>Exception: certified copy of birth certificate </li></ul></ul></ul>
  33. 33. Common Issues in I-9 Compliance (continued) <ul><li>How does an employer know if a document is real? </li></ul><ul><ul><li>reasonable test – acceptable if it reasonably appears on its face to be genuine and relates to the individual presenting it </li></ul></ul><ul><ul><li>Signs of fraud – e.g. if SS number has more than 9 digits or SS number that begins with 000, 800 or 900 (unused) </li></ul></ul>
  34. 34. Should Employer Copy Supporting Documents? <ul><li>Past practice – if you copy – reveals mistakes in process </li></ul><ul><ul><li>Current practice: keep copies </li></ul></ul><ul><ul><ul><li>Critical to efficient review and correction of I-9s during internal audit </li></ul></ul></ul><ul><ul><ul><li>Useful defense in government audit or investigation against a claim that documents never presented </li></ul></ul></ul><ul><ul><ul><li>Evidence to show good faith – copy shows that document on its face, reasonably appeared genuine </li></ul></ul></ul>
  35. 35. To Copy or Not to Copy? <ul><li>E-Verify Employers must photocopy if document used as part of the Photo Screening Tool (permanent resident (I-551) and Employment Authorization Document (I-766) </li></ul><ul><li>If not E-Verify employer, no requirement to copy </li></ul><ul><li>Don’t copy more documents than required </li></ul>
  36. 36. Common Issues in I-9 Compliance (continued) <ul><li>What if employee is unable to provide the required documents within 3 business days? </li></ul><ul><ul><li>Can accept receipt in some circumstances </li></ul></ul><ul><li>What is “Receipt rule?” </li></ul><ul><ul><li>3 situations qualify </li></ul></ul>
  37. 37. Receipt Rule <ul><li>Receipt for a replacement document when the document has been lost, stolen, or damaged </li></ul><ul><ul><li>valid for 90 days </li></ul></ul><ul><ul><ul><li>must present the replacement document to complete the Form I-9 within 90 days </li></ul></ul></ul><ul><ul><li>Receipts for new document replacing expired document not allowed </li></ul></ul><ul><ul><ul><li>Receipts for renewals of EADs are not acceptable for verification and reverification purposes </li></ul></ul></ul>
  38. 38. Receipt Rule Receipt (Passport) Dept. of State 123456789 N/A <ul><li>When you receive actual document, line out “receipt,” put expiration date, date and initial </li></ul>
  39. 39. Receipt Rule <ul><li>Form I-94; temporary I-551 stamp and a photograph of the individual - considered a receipt for the Form I-551, Permanent Resident Card. </li></ul><ul><ul><li>If I-551 stamp has no expiration date - must present I-551 within one year from the date of issuance </li></ul></ul><ul><li>Form I-94 containing an unexpired refugee admission stamp </li></ul><ul><ul><li>must present acceptable documentation to complete the Form I-9 within 90 days of hire date or expiration date of employment authorization </li></ul></ul>
  40. 40. Common Issues in I-9 Compliance (continued) <ul><li>Other situations where receipt is acceptable </li></ul><ul><ul><li>AC-21 H-1B portability </li></ul></ul><ul><ul><li>H-1B Cap-gap for F-1 students on OPT </li></ul></ul><ul><ul><li>F-1 STEM graduates with extended 17-month OPT </li></ul></ul><ul><ul><li>Nonimmigrant visa extensions – e.g. E-1, E-2, H-1B, L-1, O-1, P-1, etc. </li></ul></ul><ul><ul><ul><li>Timely filing of extension with USCIS automatically grants 240 days of continued employment authorization </li></ul></ul></ul>
  41. 41. AC-21 H-1B Portability <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>USCIS Receipt Notice or Courier Notice </li></ul></ul><ul><ul><li>I-94 card showing H-1B status with original employer </li></ul></ul><ul><ul><li>Unexpired foreign passport </li></ul></ul>
  42. 42. AC-21 H-1B Portability <ul><li>Attach the following documents to I-9: </li></ul><ul><ul><li>Copy of USCIS receipt. If you use courier receipt as evidence of filing, replace it with a copy of the USCIS filing receipt once received; </li></ul></ul><ul><ul><li>Copy of the alien employee’s I-94 card (demonstrating lawful admission into the United States and H-1B status). </li></ul></ul><ul><ul><li>Unexpired foreign passport </li></ul></ul>
  43. 43. <ul><li>Once approved, update the I-9 (by inserting the expiration date, initial and date it) or complete a new I-9 with the new H-1B expiration date from the I-797 Approval Notice </li></ul>
  44. 44. H-1B Cap-Gap for F-1 Students <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>Expired EAD (I-766) </li></ul></ul><ul><ul><li>New Form I-20 (all pages) (showing extended employment authorization dates) </li></ul></ul><ul><ul><li>USCIS Receipt Notice (I-797) showing receipt of H-1B petition or USCIS Approval Notice </li></ul></ul><ul><li>Once H-1B approved, update or complete new I-9 </li></ul>
  45. 45. F-1 STEM students with additional 17 month OPT <ul><li>Complete Section 2, List A block with: </li></ul><ul><ul><li>Expired EAD card (I-766) </li></ul></ul><ul><ul><li>New Form I-20 (all pages) (updated to show school recommended STEM authorization, beginning on date after the expiration of EAD) </li></ul></ul><ul><ul><li>USCIS receipt showing timely filing of I-765 extension </li></ul></ul><ul><ul><li>Receipt valid for 180 days </li></ul></ul><ul><li>Once approved – update I-9 with EAD </li></ul>
  46. 46. NIV Extensions <ul><li>8 C.F.R. §274a.12(b)(20) automatically extends employment authorization for 240 days if timely filed extension </li></ul><ul><li>Complete Section 3 of I-9 with USCIS Receipt Notice </li></ul>
  47. 47. NIV Extensions <ul><li>Doc. Title: Form I-797 Receipt </li></ul><ul><li>Document #: USCIS Receipt Number </li></ul><ul><li>Expiration date: calculate the date that is 240 days (8 months) beyond the current expiration date and notate 8 C.F.R. §274a.12(b)(20) </li></ul><ul><li>Once approved, update Section 3 with the new expiration date (line out, initial and date) or complete a new I-9. </li></ul>
  48. 48. Common Issues in I-9 Compliance (continued) <ul><li>Can employer terminate an employee for failure to produce documents within 3 business days? </li></ul>
  49. 49. Reverification <ul><li>Must reverify on or before employment authorization expires </li></ul><ul><li>Employee must choose from List of Acceptable documents </li></ul><ul><li>Employer has option to complete new I-9 instead of completing Section 3 </li></ul><ul><li>If used I-9 dated before 02/02/09, must use new I-9 to reverify </li></ul><ul><ul><ul><li>Write employee’s name in Section 1, complete Section 3, attach to old I-9 </li></ul></ul></ul>
  50. 50. Reverification: Common Mistakes <ul><li>Do not reverify U.S. citizens/green card holders or “continuing employees” </li></ul>
  51. 51. Reverification: Common Mistakes <ul><li>Exception: Temporary I-551 stamps must be reverified </li></ul>** * *
  52. 52. Reverification: Unresolved Issues <ul><ul><li>Conditional Permanent </li></ul></ul><ul><ul><li>Residents or CPRs with </li></ul></ul><ul><ul><li>2-year green cards </li></ul></ul>
  53. 53. Organization of I-9s <ul><li>Never keep I-9s with personnel files </li></ul><ul><li>Organize in 3 categories </li></ul><ul><ul><li>I-9s for current employees </li></ul></ul><ul><ul><li>I-9s for employees with expiration dates that require reverification </li></ul></ul><ul><ul><li>I-9s for terminated employees that may require purging/destruction at the appropriate time </li></ul></ul>
  54. 54. Organization of I-9s <ul><li>Electronic Retention </li></ul><ul><li>Guidelines in M-274 on pages 15-17 </li></ul><ul><li>What to avoid and what to look for in I-9 software </li></ul>
  55. 55. Retention Rules <ul><li>Must retain until the later of </li></ul><ul><ul><li>three years after the date of hire, OR </li></ul></ul><ul><ul><li>one year after the date of termination  </li></ul></ul><ul><li>Example #1 Example #2 </li></ul><ul><li>Hired: 3/1/2000 Hired: 3/1/2000 </li></ul><ul><li>Left: 5/1/2001 Left:8/5/2003 </li></ul><ul><li>3 yrs after hire = 3/1/2003 3/1/2003 </li></ul><ul><li>1 yr after term = 5/1/2002 8/5/2004 </li></ul><ul><li>Retain until: 3/1/2003 Retain until: 8/5/2004 </li></ul>
  56. 56. Common Issues in I-9 Compliance (continued) <ul><li>Mergers, Acquisitions and Restructuring </li></ul><ul><ul><li>No requirement to complete I-9s, but assume liability if defective </li></ul></ul><ul><ul><li>Importance of internal self-audits </li></ul></ul><ul><ul><ul><li>I-9s </li></ul></ul></ul><ul><ul><ul><li>Immigration files </li></ul></ul></ul><ul><ul><ul><li>Contractors/Subcontractors </li></ul></ul></ul>
  57. 57. Common Issues in I-9 Compliance (continued) <ul><li>Correcting mistakes and omissions on I-9s </li></ul><ul><ul><li>Never too late to complete I-9s </li></ul></ul><ul><ul><li>How to correct mistakes and omissions </li></ul></ul><ul><ul><li>Never delete, white-out, black-out </li></ul></ul><ul><ul><li>Never backdate </li></ul></ul>
  58. 58. What is wrong with this I-9?
  59. 59. Common Issues in I-9 Compliance (continued) <ul><li>Is a Social Security number required to hire an individual? </li></ul><ul><ul><li>NO!!! </li></ul></ul><ul><ul><li>How to generate paycheck without a social security number </li></ul></ul>
  60. 60. Strategies for Compliance (Minimizing Liability) <ul><li>Have a written corporate immigration compliance policy </li></ul><ul><li>Corporate compliance policy must include clear statement: </li></ul><ul><ul><li>non-discrimination practices </li></ul></ul><ul><ul><li>prohibiting the hire of undocumented workers – zero tolerance policy </li></ul></ul><ul><ul><li>appropriate use of independent contractors </li></ul></ul>
  61. 61. Compliance Policy (continued) <ul><li>Best Practices for I-9 Compliance </li></ul><ul><ul><li>Centralize authority – assign to responsible party </li></ul></ul><ul><ul><li>Tickler system to ensure </li></ul></ul><ul><ul><ul><li>timely reverification of expirations </li></ul></ul></ul><ul><ul><ul><li>timely purging/destruction </li></ul></ul></ul><ul><ul><li>Centralize storage </li></ul></ul><ul><ul><li>Conduct regular internal audits </li></ul></ul><ul><ul><li>Conduct regular training for anyone involved in I-9 compliance </li></ul></ul>
  62. 62. Compliance Policy (continued) <ul><li>Discovery of I-9 fraud or identity theft </li></ul><ul><li>Mergers, acquisitions and restructuring </li></ul><ul><li>Social Security mismatch letters </li></ul>
  63. 63. Constructive Knowledge <ul><li>Definition: </li></ul><ul><ul><li>The term “knowing” includes not only actual knowledge but also knowledge which may fairly be inferred through notice of certain facts and circumstances which would lead a person, through the exercise of reasonable care, to know about a certain condition </li></ul></ul><ul><ul><li>Depends on totality of circumstances </li></ul></ul>
  64. 64. Constructive Knowledge? <ul><li>Failure to take reasonable steps to address the following situations: </li></ul><ul><ul><li>An employee’s request for the employer’s sponsorship for a labor certification (green card) or visa petition (nonimmigrant visa) </li></ul></ul><ul><ul><li>Receipt of a no-match letter from the Social Security Administration </li></ul></ul><ul><ul><li>Recent cases have broadened interpretation of CK </li></ul></ul><ul><ul><ul><li>CK arising from “reckless and wanton disregard” – interpreted to include employers who recklessly entrust incompetent employees with hiring or I-9 compliance responsibility. e.g. failure to reverify an I-9 </li></ul></ul></ul>
  65. 65. “Good-Faith” Defense <ul><li>Also known as the Sonny Bono amendment </li></ul><ul><li>Good-faith compliance is a defense with respect to a “knowingly hiring an unauthorized alien” charge </li></ul><ul><li>Only applies to failures occurring on or after September 30, 1996 </li></ul>
  66. 66. Civil Penalties <ul><li>Knowingly hiring or continuing to employ unauthorized aliens </li></ul><ul><ul><ul><li>First offense: not less than $375 and not more than $3,200 for each unauthorized alien </li></ul></ul></ul><ul><ul><ul><li>Second offense: not less than $3,200 and not more than $6,500 for each unauthorized alien; or </li></ul></ul></ul><ul><ul><ul><li>Subsequent offenses: not less than $4,300 and not more than $16,000 for each unauthorized alien </li></ul></ul></ul>
  67. 67. Civil Penalties <ul><li>Failing to comply with Form I-9 requirements </li></ul><ul><ul><li>Paperwork violations </li></ul></ul><ul><ul><ul><li>e.g. failure to complete, retain and/or make available for inspection </li></ul></ul></ul><ul><li>Penalty: Not less than $110 and not more than $1,100 for each violation </li></ul><ul><ul><li>DHS considers the following in assessing the amount of penalty: </li></ul></ul><ul><ul><ul><li>Size of business </li></ul></ul></ul><ul><ul><ul><li>Good faith of employer </li></ul></ul></ul><ul><ul><ul><li>Seriousness of violation </li></ul></ul></ul><ul><ul><ul><li>Whether or not the individual was an unauthorized alien; and </li></ul></ul></ul><ul><ul><ul><li>History of previous violations of the employer </li></ul></ul></ul>
  68. 68. Increased Penalties <ul><li>Apply to any violations occurring on or after March 28, 2008 </li></ul><ul><li>Increased by approximately 25% ($100 to $1,000) </li></ul><ul><li>Penalties assessed on a per-alien basis </li></ul>
  69. 69. Criminal Penalties <ul><li>Engaging in a pattern or practice of knowingly hiring or continuing to employ unauthorized aliens </li></ul><ul><ul><li>Fines of up to $3,000 per employee and/or 6 months imprisonment </li></ul></ul><ul><li>Engaging in fraud or false statements or otherwise misusing visas, immigration permits and identity documents </li></ul><ul><ul><li>Fines and/or imprisonment for up to 5 years </li></ul></ul>
  70. 70. Related Offenses <ul><ul><li>Unlawful discrimination (OSC) </li></ul></ul><ul><ul><ul><li>e.g. document abuse </li></ul></ul></ul><ul><ul><ul><ul><li>asking for more documents than required by I-9 </li></ul></ul></ul></ul><ul><ul><ul><ul><li>asking for particular documents such as a “green card” </li></ul></ul></ul></ul><ul><ul><ul><ul><li>rejecting documents that appear to be reasonably genuine </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Treating employees who “look or sound foreign” differently </li></ul></ul></ul></ul><ul><ul><li>Document Fraud </li></ul></ul><ul><ul><li>Conspiracy to transport and harbor unlawful aliens </li></ul></ul><ul><ul><li>Money laundering </li></ul></ul>
  71. 71. Government Programs <ul><li>Social Security Number Verification System (SSNVS) </li></ul><ul><ul><li>Call-in number 1-800-772-6270 </li></ul></ul><ul><ul><li>Online system verifies up to 10 names/SSNs for immediate results </li></ul></ul><ul><ul><ul><li>http://www.ssa.gov/employer/ssnv.htm </li></ul></ul></ul><ul><ul><li>Overnight system – uploads a file with up to 250,000 names/SSNs for next business day results </li></ul></ul>
  72. 72. Government Programs <ul><li>IMAGE (ICE Mutual Agreement Between Government and Employers) </li></ul><ul><li>Employers must: </li></ul><ul><ul><li>submit to I-9 audit by ICE </li></ul></ul><ul><ul><li>Use the SSNVS to verify the SSNs of existing workforce </li></ul></ul><ul><ul><li>Commit to “Best Hiring Practices” </li></ul></ul><ul><ul><li>ICE provides training, education to IMAGE partners on proper hiring procedures, fraudulent document detection, and antidiscrimination laws </li></ul></ul>
  73. 73. E-Verify Program <ul><li>Program Summary </li></ul><ul><ul><li>Automated link to federal databases – DHS/SSA </li></ul></ul><ul><ul><li>Employers register online at www.uscis.gov </li></ul></ul><ul><ul><li>Memorandum of Understanding (MOU) is signed by employer, DHS and SSA </li></ul></ul><ul><ul><li>Staff members using E-Verify must complete tutorial online </li></ul></ul>
  74. 74. E-Verify Program <ul><ul><li>Electronic query submitted once I-9 is completed </li></ul></ul><ul><ul><ul><li>No prescreening </li></ul></ul></ul><ul><ul><ul><li>Only for new hires and existing employees classified as “employees assigned to the contract.” </li></ul></ul></ul><ul><ul><ul><li>Some exceptions: institutes of higher learning, state and local governments, governments of federally recognized Indian tribes, sureties performing under a takeover agreement with a federal agency </li></ul></ul></ul><ul><ul><ul><ul><li>Can choose to only use E-Verify on </li></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>new employees assigned to the contract </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>existing employees assigned to the contract </li></ul></ul></ul></ul></ul><ul><ul><li>Automated response regarding employment eligibility </li></ul></ul><ul><ul><li>Follow-up required for “tentative non-confirmations” </li></ul></ul>
  75. 75. E-Verify Program <ul><li>Mandatory for all employers in Arizona, Mississippi and South Carolina </li></ul><ul><li>Other states with some sort of E-Verify requirement (mostly state/public agencies): </li></ul><ul><ul><li>Colorado, Georgia, Minnesota, Missouri, North Carolina, Oklahoma, Rhode Island, Tennessee, Utah </li></ul></ul><ul><li>September 8, 2009: all federal contractors and subcontractors must use E-Verify </li></ul>
  76. 76. Participation in E-Verify: Pros and Cons Is it Right for You? <ul><li>Participation serves as a valid argument for good faith compliance for Management and HR in the event of an audit, raid or enforcement action by government </li></ul><ul><li>E-Verify is the future </li></ul><ul><ul><li>almost all immigration related legislation pending before Congress includes some form of E-Verify participation requirement </li></ul></ul>
  77. 77. Participation in E-Verify: Pros and Cons Is it Right for You? <ul><li>Increases exposure to government audits – DHS is data-mining </li></ul><ul><ul><li>Participation does not guarantee against government enforcement actions </li></ul></ul><ul><li>MOU gives ICE broad access to company records, including employment records, right to interview employees, periodic on-site visits </li></ul><ul><li>Controversy over accuracy of databases </li></ul><ul><li>Concern over lack of available resources and funding of the program </li></ul><ul><li>Increased risk of wrongful termination </li></ul><ul><li>Administrative burden – non-confirmation resolution is time-consuming and disruptive </li></ul><ul><li>Decentralized hiring or remote hiring sites present challenges </li></ul><ul><li>State variances confusing – some states require mandatory participation; some prohibited from participating </li></ul>
  78. 78. <ul><li>Open Forum: </li></ul><ul><li>Question and Answer Session </li></ul>
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