Navigating employment eligibility verification can be complex. What Is Form I-9, and how do you ensure compliance? At WHAT.EDU.VN, we provide clear, accessible answers to your most pressing questions, empowering you to confidently manage your responsibilities. Discover the ins and outs of Form I-9, understand its purpose, and learn how to avoid costly mistakes with expert insights and guidance. Simplify your hiring process and stay compliant effortlessly.
1. What Is Form I-9: An Overview
The Form I-9, officially known as the Employment Eligibility Verification form, is a crucial document mandated by the U.S. Department of Homeland Security (DHS) and U.S. Citizenship and Immigration Services (USCIS). It verifies the identity and employment authorization of individuals hired for employment in the United States. Both employees and employers have distinct responsibilities in completing and maintaining this form.
1.1. What is Form I-9 for Employees
As a new employee, you must complete Section 1 of Form I-9. This section requires you to attest to your employment authorization by indicating whether you are a U.S. citizen, a noncitizen national, a lawful permanent resident, or an alien authorized to work in the United States. You must also provide supporting documentation to your employer from the Lists of Acceptable Documents.
1.2. What is Form I-9 for Employers
Employers are responsible for ensuring that all new employees complete Form I-9 and for verifying the documents presented by the employee to establish their identity and employment authorization. Employers must complete Section 2 of the form, recording information about the documents presented by the employee. Employers must also retain the completed forms for a specified period and make them available for inspection by authorized government officials.
2. Key Components of Form I-9
Form I-9 is divided into several key sections and components, each serving a specific purpose in the employment eligibility verification process.
2.1. What Is Form I-9: Section 1 – Employee Information and Attestation
Section 1 is completed by the employee and requires them to provide personal information such as their name, address, date of birth, and Social Security number (optional unless the employer participates in E-Verify). The employee must also attest to their employment eligibility by selecting one of the following statuses:
- U.S. Citizen
- Noncitizen National of the United States
- Lawful Permanent Resident
- Alien Authorized to Work
2.2. What Is Form I-9: Section 2 – Employer Review and Verification
Section 2 is completed by the employer and involves examining the documents presented by the employee to verify their identity and employment authorization. The employer must record information about the documents, such as the document title, issuing authority, document number, and expiration date (if any).
2.3. What Is Form I-9: Lists of Acceptable Documents
The Form I-9 includes Lists of Acceptable Documents that employees can present to establish their identity and employment authorization. These documents are divided into three lists:
- List A: Documents that establish both identity and employment authorization (e.g., U.S. Passport, Permanent Resident Card)
- List B: Documents that establish identity only (e.g., Driver’s License, State ID Card)
- List C: Documents that establish employment authorization only (e.g., Social Security Card, Birth Certificate)
Employees must present either one document from List A or one document from List B and one document from List C.
2.4. What Is Form I-9: Supplement A – Preparer and/or Translator Certification
Supplement A is used when an employee requires assistance from a preparer or translator to complete Section 1 of Form I-9. The preparer or translator must complete this supplement, providing their name, address, and signature, certifying that they assisted the employee in completing the form accurately and truthfully.
2.5. What Is Form I-9: Supplement B – Reverification and Rehire
Supplement B is used for reverifying an employee’s employment authorization or documenting a rehire. Employers must complete this supplement when an employee’s employment authorization document expires or when rehiring a former employee.
3. Completing Form I-9: A Step-by-Step Guide
Properly completing Form I-9 is essential for compliance with federal regulations. Here’s a detailed, step-by-step guide for both employees and employers.
3.1. What is Form I-9: Employee Responsibilities
- Obtain the Form: Get the latest version of Form I-9 from the USCIS website or your employer.
- Complete Section 1: Fill out all required fields in Section 1 accurately. Provide your full legal name, address, date of birth, and other requested information.
- Attest to Employment Eligibility: Indicate your employment eligibility status by selecting the appropriate option (U.S. citizen, noncitizen national, lawful permanent resident, or alien authorized to work).
- Provide Supporting Documentation: Present acceptable documents from the Lists of Acceptable Documents to your employer. Ensure the documents are unexpired and appear genuine.
- Sign and Date Section 1: Sign and date Section 1 to certify that the information you provided is true and correct.
- Seek Assistance if Needed: If you need help completing the form, you can seek assistance from a preparer or translator. Ensure they complete Supplement A.
3.2. What is Form I-9: Employer Responsibilities
- Provide Form I-9 to New Employees: Ensure all new employees receive Form I-9 and the accompanying instructions.
- Review Section 1: Review Section 1 to ensure the employee has completed it accurately and truthfully.
- Examine Supporting Documents: Examine the documents presented by the employee to verify their identity and employment authorization. Ensure the documents are unexpired and appear genuine.
- Complete Section 2: Complete Section 2 by recording information about the documents presented by the employee, such as the document title, issuing authority, document number, and expiration date (if any).
- Sign and Date Section 2: Sign and date Section 2 to certify that you have examined the documents and that they appear to be genuine and relate to the employee.
- Retain Form I-9: Retain the completed Form I-9 for the required retention period, which is typically three years from the date of hire or one year after employment ends, whichever is later.
- Make Forms Available for Inspection: Make the forms available for inspection by authorized government officials upon request.
- Reverify Employment Authorization: If an employee’s employment authorization document expires, reverify their employment authorization by completing Supplement B.
- Document Rehires: When rehiring a former employee, document the rehire by completing Supplement B.
- Comply with Anti-Discrimination Laws: Ensure that you do not discriminate against employees based on their citizenship status or national origin when completing Form I-9.
4. Acceptable Documents for Form I-9
Understanding the Lists of Acceptable Documents is crucial for both employees and employers. These lists specify the documents that can be presented to establish identity and employment authorization.
4.1. List A Documents
List A documents establish both identity and employment authorization. Some common examples include:
- U.S. Passport or U.S. Passport Card
- Permanent Resident Card (Form I-551)
- Employment Authorization Document (Form I-766)
- Foreign Passport with a temporary I-551 stamp or notation
- For a nonimmigrant alien authorized to work for a specific employer because of his or her status, a foreign passport with Form I-94 bearing the same name as the passport and containing an endorsement of the alien’s nonimmigrant status, as long as the endorsement has not yet expired and the proposed employment is not in violation of any restrictions or limitations identified on the Form I-94.
4.2. List B Documents
List B documents establish identity only. Employees presenting a List B document must also present a List C document. Some common examples include:
- Driver’s License or State ID Card issued by a state or outlying possession of the United States (provided it contains a photograph or other identifying information such as name, date of birth, gender, height, eye color, and address)
- School ID card with a photograph
- Voter Registration Card
- U.S. Military card or draft record
- Military dependent’s ID card
- U.S. Coast Guard Merchant Mariner Card
For individuals under 18 who are unable to present a document listed above:
- School record or report card
- Clinic, doctor, or hospital record
- Day-care or nursery school record
4.3. List C Documents
List C documents establish employment authorization only. Employees presenting a List C document must also present a List B document. Some common examples include:
- Social Security Account Number card (other than one stating “not valid for employment”)
- Birth Certificate issued by a state, county, municipal authority, or outlying possession of the United States bearing an official seal
- Original or certified copy of a birth certificate issued by the Department of State (Form FS-545 or Form DS-1350)
- Native American Tribal Document
- Form I-197, United States Citizen Identification Card
- Form I-179, Identification Card for Use of Resident Citizen in the United States
5. Common Mistakes to Avoid on Form I-9
Completing Form I-9 correctly is crucial for avoiding penalties and ensuring compliance with federal regulations. Here are some common mistakes to watch out for:
5.1. Errors in Section 1
- Incomplete Information: Failing to complete all required fields in Section 1.
- Incorrect Information: Providing inaccurate information, such as an incorrect Social Security number or date of birth.
- Missing Signature: Forgetting to sign and date Section 1.
5.2. Errors in Section 2
- Accepting Expired Documents: Accepting documents that have expired.
- Failing to Record Document Information: Not recording all required information about the documents presented, such as the document title, issuing authority, document number, and expiration date (if any).
- Accepting Unacceptable Documents: Accepting documents that are not on the Lists of Acceptable Documents.
- Missing Signature: Forgetting to sign and date Section 2.
- Not Checking the “DHS Alternative Procedure” Box When Applicable: For certain employers using a DHS-authorized alternative procedure to remotely examine employee documentation, neglecting to check the box in Section 2 indicating this.
5.3. General Errors
- Using an Outdated Form: Using an outdated version of Form I-9. Always use the most current version available on the USCIS website.
- Failing to Retain Forms: Not retaining completed Form I-9s for the required retention period.
- Discrimination: Discriminating against employees based on their citizenship status or national origin when completing Form I-9.
- Not Making Forms Available for Inspection: Failing to make the forms available for inspection by authorized government officials upon request.
6. Form I-9 Retention Requirements
Employers must retain Form I-9 for a specific period to comply with federal regulations. Understanding these retention requirements is essential for avoiding penalties.
6.1. How Long to Keep Form I-9
Employers must retain Form I-9 for the longer of:
- Three years after the date of hire, or
- One year after employment terminates.
6.2. Storage of Form I-9
Employers can store Form I-9s either electronically or in paper form. If storing forms electronically, ensure that the system complies with DHS standards for electronic Form I-9 generation, storage, and retention.
6.3. Making Forms Available for Inspection
Employers must make Form I-9s available for inspection by authorized government officials from agencies such as the Department of Homeland Security (DHS), the Department of Labor (DOL), and the Department of Justice (DOJ).
7. Form I-9 Audits and Compliance
Employers should be prepared for potential Form I-9 audits by government agencies. Here’s what you need to know about audits and compliance.
7.1. What to Expect During a Form I-9 Audit
During a Form I-9 audit, government officials will review your company’s Form I-9s to ensure compliance with federal regulations. They may request to see all Form I-9s for current employees, as well as forms for former employees within the retention period.
7.2. How to Prepare for an Audit
To prepare for a Form I-9 audit, employers should:
- Conduct regular self-audits of their Form I-9s to identify and correct any errors or omissions.
- Ensure that all employees have completed Section 1 of Form I-9 accurately and truthfully.
- Verify that all required information is recorded in Section 2.
- Ensure that all supporting documents are acceptable and unexpired.
- Retain all completed Form I-9s for the required retention period.
- Train HR staff on proper Form I-9 completion and retention procedures.
7.3. Penalties for Non-Compliance
Failure to comply with Form I-9 regulations can result in significant penalties, including:
- Civil Fines: Fines ranging from $252 to $2,507 for each substantive paperwork violation.
- Criminal Penalties: In cases of knowingly hiring unauthorized workers, employers may face criminal penalties, including fines and imprisonment.
- Debarment: Employers may be debarred from participating in government contracts.
8. Electronic Form I-9 (E-I9)
Many employers are transitioning to electronic Form I-9 systems to streamline the employment eligibility verification process.
8.1. What Is an Electronic Form I-9 System
An electronic Form I-9 system allows employers to complete, store, and manage Form I-9s electronically. These systems must comply with DHS standards for electronic Form I-9 generation, storage, and retention.
8.2. Benefits of Using an E-I9 System
- Improved Accuracy: E-I9 systems can help reduce errors and omissions by providing prompts and validation checks.
- Streamlined Process: E-I9 systems can automate many of the manual tasks associated with Form I-9 completion and retention.
- Enhanced Compliance: E-I9 systems can help employers stay compliant with federal regulations by providing automated alerts and reminders.
- Cost Savings: E-I9 systems can reduce paper costs, storage costs, and administrative costs.
8.3. Choosing the Right E-I9 System
When choosing an E-I9 system, consider factors such as:
- Compliance: Ensure the system complies with DHS standards for electronic Form I-9 generation, storage, and retention.
- Ease of Use: Choose a system that is user-friendly and easy to navigate.
- Integration: Ensure the system integrates with your existing HR and payroll systems.
- Security: Choose a system that provides robust security features to protect sensitive employee data.
- Cost: Compare the costs of different E-I9 systems and choose one that fits your budget.
9. Form I-9 and Remote Employees
With the rise of remote work, employers need to understand how to complete Form I-9 for remote employees.
9.1. Completing Form I-9 for Remote Hires
Employers can designate an authorized representative to complete Section 2 of Form I-9 on their behalf for remote employees. The authorized representative can be any person the employer designates, such as a notary public, attorney, or HR professional.
9.2. DHS Flexibility for Remote Verification
Due to the COVID-19 pandemic, DHS has provided some flexibility for remote verification of Form I-9 documents. Employers should stay updated on the latest guidance from DHS regarding remote verification procedures.
9.3. Documenting Remote Verification
When using remote verification procedures, employers should document the process and retain copies of the documents presented by the employee.
10. Common Form I-9 Scenarios and Solutions
Navigating Form I-9 can present various challenges. Here are some common scenarios and practical solutions.
10.1. Employee Unable to Provide Required Documents
If an employee is unable to provide the required documents from the Lists of Acceptable Documents, they may be able to present a receipt for a replacement document. The employee must present the actual document within 90 days of the date of hire.
10.2. Employee Name Change
If an employee has changed their name, they should provide documentation of the name change, such as a marriage certificate or court order. The employer should record the new name in Section 2 of Form I-9 and attach the documentation of the name change to the form.
10.3. Employee with Expired Employment Authorization Document
If an employee’s employment authorization document expires, the employer must reverify their employment authorization by completing Supplement B of Form I-9. The employee must present a valid, unexpired document from either List A or List C.
10.4. Employee Rehired After a Break in Service
When rehiring a former employee, the employer must complete Supplement B of Form I-9. If the employee’s previous Form I-9 is still within the retention period, the employer can use that form. If the previous Form I-9 is no longer within the retention period, the employer must complete a new Form I-9.
10.5. Employee Requests Copy of Form I-9
Employees have the right to request a copy of their Form I-9. Employers must provide a copy of the form to the employee upon request.
11. Form I-9 Training and Resources
Proper training and access to reliable resources are essential for ensuring Form I-9 compliance.
11.1. Training for HR Professionals
HR professionals should receive comprehensive training on Form I-9 completion, retention, and compliance. Training should cover topics such as:
- Form I-9 overview and purpose
- Completing Section 1 and Section 2 of Form I-9
- Understanding the Lists of Acceptable Documents
- Retention requirements
- Audit procedures
- Avoiding discrimination
11.2. Online Resources
Several online resources can help employers and employees navigate Form I-9, including:
- USCIS Website: The USCIS website provides access to the latest version of Form I-9, instructions, and other helpful resources.
- DHS Website: The DHS website provides guidance on Form I-9 compliance and enforcement.
- WHAT.EDU.VN: Our website offers expert insights, tips, and resources to simplify the Form I-9 process.
11.3. Professional Assistance
Employers can also seek professional assistance from attorneys or HR consultants specializing in immigration compliance.
12. Frequently Asked Questions (FAQs) About Form I-9
Here are some frequently asked questions about Form I-9 to help clarify common concerns and issues.
12.1. General Questions
| Question | Answer |
|---|---|
| What is the purpose of Form I-9? | Form I-9 verifies the identity and employment authorization of individuals hired for employment in the United States. |
| Who is required to complete Form I-9? | All new employees hired after November 6, 1986, must complete Form I-9. |
| Where can I find the latest version of Form I-9? | The latest version of Form I-9 can be found on the USCIS website. |
| How long do employers need to retain Form I-9? | Employers must retain Form I-9 for the longer of three years after the date of hire or one year after employment terminates. |
| Can I complete Form I-9 electronically? | Yes, employers can use electronic Form I-9 systems that comply with DHS standards for electronic Form I-9 generation, storage, and retention. |
| What happens if I make a mistake on Form I-9? | If you make a mistake on Form I-9, correct it by drawing a line through the incorrect information, entering the correct information, and initialing and dating the correction. |
| Can an employee present photocopies of documents for Form I-9? | No, employees must present original documents or certified copies (if permitted by the instructions) for Form I-9. |
| Can an employer specify which documents an employee must present for Form I-9? | No, employers cannot specify which documents an employee must present. Employees can choose which acceptable documents to present from the Lists of Acceptable Documents. |
| What are the penalties for Form I-9 violations? | Penalties for Form I-9 violations can include civil fines ranging from $252 to $2,507 for each substantive paperwork violation and criminal penalties in cases of knowingly hiring unauthorized workers. |
| How does Form I-9 relate to E-Verify? | E-Verify is an online system that allows employers to electronically verify the employment eligibility of their employees. Form I-9 is a prerequisite for using E-Verify. |
12.2. Document-Related Questions
| Question | Answer |
|---|---|
| What documents are acceptable for Form I-9? | Acceptable documents are listed in the Lists of Acceptable Documents on Form I-9. These documents are divided into List A (documents that establish both identity and employment authorization), List B (documents that establish identity), and List C (documents that establish employment authorization). |
| What if an employee doesn’t have a Social Security card? | While a Social Security card is a List C document, employees can present other acceptable documents from List C, such as a birth certificate or other employment authorization document. |
| Can a foreign passport be used for Form I-9? | Yes, a foreign passport can be used as a List A document if it contains a temporary I-551 stamp or notation or Form I-94 bearing the same name as the passport and containing an endorsement of the alien’s nonimmigrant status, as long as the endorsement has not yet expired and the proposed employment is not in violation of any restrictions or limitations identified on the Form I-94. |
| What if an employee’s document expires after completing Form I-9? | Employers are required to reverify an employee’s employment authorization if their employment authorization document expires. This is done by completing Supplement B of Form I-9. |
| Can a driver’s license from any state be used for Form I-9? | Yes, a driver’s license issued by a state or outlying possession of the United States can be used as a List B document, provided it contains a photograph or other identifying information. |
| What if an employee only has receipts for their documents? | Employees may present a receipt for a replacement document, but they must present the actual document within 90 days of the date of hire. |
| Can an employer accept a laminated Social Security card? | While a laminated Social Security card can be accepted, employers should carefully examine it to ensure it appears genuine and has not been altered. |
| What if an employee’s name on the document doesn’t match their current name? | Employees should provide documentation of the name change, such as a marriage certificate or court order. |
| Can an employer require an employee to provide a specific document? | No, employers cannot specify which documents an employee must provide. Employees can choose which acceptable documents to present from the Lists of Acceptable Documents. |
| What should an employer do if they suspect a document is fraudulent? | If an employer suspects a document is fraudulent, they should consult with legal counsel and follow company policy. They should not accept the document and should notify the appropriate government authorities. |
12.3. Remote Employee Questions
| Question | Answer |
|---|---|
| How do I complete Form I-9 for a remote employee? | Employers can designate an authorized representative to complete Section 2 of Form I-9 on their behalf for remote employees. The authorized representative can be any person the employer designates, such as a notary public, attorney, or HR professional. |
| What if I can’t physically examine the documents of a remote employee? | Due to the COVID-19 pandemic, DHS has provided some flexibility for remote verification of Form I-9 documents. Employers should stay updated on the latest guidance from DHS regarding remote verification procedures. |
| Can I use video conferencing to examine documents for Form I-9? | DHS has provided some flexibility for using video conferencing to examine documents for Form I-9 during the COVID-19 pandemic. Employers should stay updated on the latest guidance from DHS regarding remote verification procedures. |
| How do I document the remote verification process? | When using remote verification procedures, employers should document the process and retain copies of the documents presented by the employee. |
| What are the liabilities for incorrect remote verification? | Employers are responsible for ensuring that the remote verification process is conducted accurately and in compliance with federal regulations. Failure to do so can result in penalties. |
| Who can act as an authorized representative for remote Form I-9 verification? | The authorized representative can be any person the employer designates, such as a notary public, attorney, or HR professional. |
| What information should be included in the authorized representative agreement? | The authorized representative agreement should include the representative’s name, address, contact information, and a statement that they agree to comply with all applicable laws and regulations related to Form I-9 verification. |
| What if the remote employee is located outside of the United States? | Generally, Form I-9 requirements apply to employees working within the United States. Consult with legal counsel regarding specific situations involving employees working outside of the United States. |
| How can I ensure the authorized representative is properly trained? | Employers should provide comprehensive training to the authorized representative on Form I-9 completion, retention, and compliance. |
| What records should I keep of the remote verification process? | Employers should keep records of the authorized representative agreement, copies of the documents presented by the employee, and any other documentation related to the remote verification process. |
13. How WHAT.EDU.VN Can Help
At WHAT.EDU.VN, we understand the complexities of Form I-9 compliance. We offer a range of resources to help employers and employees navigate the employment eligibility verification process with ease.
13.1. Free Question and Answer Platform
Our platform provides a free question and answer service where you can ask any question about Form I-9 and receive prompt, accurate answers from our team of experts. Whether you’re an employer seeking guidance on compliance or an employee with questions about completing Section 1, we’re here to help.
13.2. Expert Insights and Tips
We offer expert insights and tips on Form I-9 completion, retention, and compliance. Our articles, guides, and FAQs provide valuable information to help you avoid common mistakes and stay up-to-date on the latest regulations.
13.3. Streamlined Solutions
We strive to simplify the Form I-9 process by providing clear, accessible information and resources. Our goal is to empower you to confidently manage your employment eligibility verification responsibilities and avoid costly penalties.
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