Article source: Brown Immigration Law, OH
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Immigration enforcement activity has increased, with regulators focusing not only on employees but also on the businesses that hire them. The Department of Homeland Security (DHS) has expanded its audit activity beyond industries traditionally associated with immigrant labor. That means any employer may be subject to a Notice of Inspection (NOI).
An I-9 audit can be stressful, but preparation makes the process manageable. The following checklist highlights the steps employers can take to meet their legal responsibilities under federal immigration law.
What Is an I-9 Audit?
An I-9 audit verifies that your business has properly documented every employee’s authorization to work in the U.S. Auditors review completed forms and supporting documentation to ensure compliance with federal law.
The Internal I-9 Audit Checklist, Step by Step
The following steps, performed with the assistance of an experienced I-9 compliance naturalization lawyer, can help your company prepare for an NOI from ICE:
Step 1: Plan and Scope the Audit
ICE does not prescribe how to conduct an internal audit, and an audit alone does not guarantee protection from penalties. However, a well-designed process demonstrates that your business is acting in good faith. Employers may review all I-9 records for current and former workers, though that may not be practical for large organizations. In such cases, a representative sample can be audited. When selecting files, follow these principles:
- Include both current and terminated employees.
- Use a random process to avoid any appearance of targeting based on national origin or other protected characteristics.
Step 2: Review Each I-9 Thoroughly
Review each I-9 record to confirm that:
- A form exists for every worker
- The correct version of the form was used at the time of hire
- All required fields are completed
- Proper supporting documents are on file
- Document descriptions on the form match the copies in your records
- Information is consistent across the form and documentation
- Both the employer’s and employee’s signatures and dates are present
Common issues include missing signatures, incomplete sections, or mismatched document information. Identifying these errors early allows for proper correction.
Step 3: Correct Errors the Right Way
Errors must be corrected without creating the appearance of backdating or falsification. The original form must always be kept; it cannot be discarded and replaced with a newly completed form. Corrections should be made directly on the existing form, with the date and initials of the person making the change.
The exact method may depend on the type of error and whether the employee is still on staff. When in doubt, contact a corporate immigration lawyer for guidance on appropriate correction procedures.
Step 4: Address Missing Forms
If a worker’s file lacks an I-9, complete the current version of the form immediately. Do not backdate it. Instead, record the actual hire date and, if appropriate, include a note explaining the oversight. Supporting documentation should be gathered in line with the current rules.
Step 5: Documentation and Retention Best Practices
You should make a point of documenting all of your audit activities, including the errors found, the corrections applied, and the communications between you and your workers about the updates. You must also keep acceptable documentation proving work authorization. Each employee must provide either:
- One document from List A (e.g., a Permanent Resident Card or Employment Authorization Document), or
- One document from List B (identity, such as a driver’s license) and one from List C (work authorization, such as a Social Security card).
All forms and supporting records should be stored securely for the required retention period.
Step 6: Train Staff and Set Audit Cadence
Preventing future errors is easier than correcting past ones. You should provide training for HR staff responsible for I-9 preparation and retention. A written policy outlining procedures reduces inconsistency across hiring teams and may reduce costs, too. Establishing a regular audit schedule (annually or biannually are the most common options) helps catch mistakes before they accumulate, and demonstrates ongoing good-faith compliance. An immigration law firm can help you establish your audit cadence and provide necessary training for your team.
What Happens If ICE Comes Knocking?
An ICE audit initiates with an NOI, which gives you at least three business days to produce the requested I-9 forms. Because of this short window, there is no opportunity to perform a full internal review once the notice arrives. Employers who conduct regular pre-NOI audits are better positioned to respond quickly and show compliance.
What Triggers an I-9 Audit?
I-9 audits may be prompted by tips submitted to DHS, but many occur simply to ensure overall compliance. They are not new; audits have been carried out under every administration, and will continue to be ordered regardless of policy shifts. Because an NOI can arrive at any time, employers benefit from conducting internal audits in advance. This proactive step reduces the risk of penalties and demonstrates good-faith compliance. Violations can lead to civil fines ranging from $230 to $2,292 per form, with higher penalties for patterns of noncompliance. In serious cases, criminal liability may also apply. Employers should consider reviewing their I-9 records if:
- There has been a recent increase in hiring HR leadership, or staff have changed.
- It has been years since the last compliance check.
Even if errors are found, conducting an internal audit shows regulators that the company made a serious effort to comply.
Reduce Your Compliance Risks by Partnering With Counsel
Internal audits and consistent training can significantly reduce the risk of fines or penalties. Still, the rules governing I-9 completion and correction can be complex. An immigration attorney can help employers design policies, conduct reviews, and address any issues uncovered during an audit. Engaging legal counsel before an NOI arrives ensures your business has the systems in place to respond confidently if regulators request your records.
