I-9 TRAINING PROGRAM
Note from Tracker Corp:
These slides are also available within the Tracker I-9 software.
You are welcome to use this document within your company without any copyright concerns. Please do not distribute it outside your
company without first requesting our permission.
Copyright © 2009 Tracker Corp
VERSION 2009-10-21
Table of Contents
What is Form I-9 and When Is It Needed?
Employer’s Role in Completing Form I-9
Acceptable Documents for Form I-9
(Section 2)
Compliance and Penalties for Errors
Copyright © 2009 Tracker Corp
2
What is the Form I-9?
It’s the form used to verify an employee’s authorization to work in the
U.S., required by law since 1986 for all employees providing services
in the U.S.
The Dept. of Homeland Security (DHS), Dept. of Labor (DOL) or
Immigration and Customs Enforcement (ICE) conduct audits of U.S.
employers to enforce this program.
Copyright © 2009 Tracker Corp
3
Three Sections of the Form I-9
Section 1: Employee Information and
Verification
1
Section 2: Employer Review and
Verification
2
Section 3: Updating and
Reverification
3
Copyright © 2009 Tracker Corp
4
Who Completes the I-9 and When?
Section 1: Section 1 on Day 1, when employment begins Employee
Information and Verification
Employee must complete or before.
Employee must provide original identity and work authorization
documents (for Section 2) within three business days of starting
work.
Because of E-Verify the USU HR office must have the
completed I-9 form by the morning of the 3rd business day.
Section 2: Employer Review and Verification
Employer must complete within three business days of the
employee starting work (or by the 1st day of employment if the
individual will work for three or fewer days).
Because of E-Verify the USU HR office must have the
completed I-9 form by the morning of the 3rd business day.
Section 3: Updating and Reverification done by HR- Most Common
Reason:
Employee is a foreign national whose work permission has an
expiration; employer must reverify before permission expires.
Copyright © 2009 Tracker Corp
5
Employer’s Role: Section 1
Blank Form I-9 may be reproduced provided both sides
(Form and List of Acceptable Documents) are copied.
Ensure that the employee signs and dates the Form
I-9. If not, employer assumes liability for false
statements in Section 1.
If employer types or translates Section 1 for
employee, employer must sign Preparer/Translator
section.
Note: It is the employer’s responsibility to ensure Section 1 is
complete and accurate to the best of your knowledge.
Copyright © 2009 Tracker Corp
6
Employer’s Role: Section 2
Establish the employee’s identity and verify work
authorization.
Review the documentation presented by the employee and
record the document title, issuing authority, document
number and expiration date. *Do NOT over document.
Copyright © 2009 Tracker Corp
7
Employer’s Role: Section 2 Continued
Acceptable documents for I-9 purposes are
broken down into different lists, according to
what they help the employer establish:
● List A documents establish both identity and work
authorization
● List B documents establish only identity
● List C documents establish only work authorization
Note: Always allow the employee to choose which documents to
present. Telling them which documents to present for Section 2 or
using more documents than required (over documentation) is
considered Document Abuse and will result in a fine.
Copyright © 2009 Tracker Corp
8
Acceptable Documents for Form I-9
Current Version: 08/07/09
List A OR B AND C
Examples:
1
2
SS Card
Don’t ask for more
documents than you need:
3
4
5
One from List A
- OR One from List B
(containing photo)
6
+
One from List C
Copyright © 2009 Tracker Corp
9
List A Documents
Establish Both Identity & Work Authorization
* As of April 3, 2009, employers can no longer accept any expired documents
U.S. Passport or U.S. Passport Card
Example
Permanent Resident Card or Alien Registration Receipt Card (Form I-551)
Example
Foreign passport with a temporary I-551 stamp or temporary
I-551 printed notation on a machine-readable immigrant visa
Example
Employment Authorization Document with a photograph (Form I-766
only.)
Example
Foreign passport with an unexpired Arrival-Departure Record, Form I-94
or Form I-94A, bearing the same name as the passport and containing an
endorsement of the alien’s nonimmigrant status, if that status authorizes
the alien to work for the employer
Example
Passport from the Federated States of Micronesia (FSM) or the Republic
of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating
nonimmigrant admission under the Compact of Free Association Between
the United States and the FSM or RMI Example
Copyright © 2009 Tracker Corp
10
List B Documents
Establish Identity
* As of April 3, 2009, all identity documents must be unexpired
Driver’s license or ID card issued by a state or outlying possession of the
U.S. provided it contains a photograph or information such as name, date of
birth, gender, height, eye color and address
ID card issued by federal, state or local government agencies or entities,
provided it contains a photograph or information such as name, date of
birth, gender, height, eye color and address
School ID card with a photograph
Voter’s registration card
U.S. Military card or draft record
Military dependent’s ID card
U.S. Coast Guard Merchant Mariner Card
Native American tribal document
Driver’s license issued by a Canadian government authority
For persons under age 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
Copyright © 2009 Tracker Corp
11
List C Documents
Establish Work Authorization
U.S. Social Security Card (referred to as Social Security Account Number Card),
other than one that specifies on the face of the document that it does not
authorize employment in the United States.
Example
Certification of Birth Abroad issued by the Department of State (Form FS-545)
Certification of Report of Birth issued by the Department of State (Form DS1350)
Original or certified copy of a birth certificate issued by a state, county,
municipal authority or outlying possession of the U.S. bearing an official seal
Native American tribal document
U.S. Citizen ID Card (Form I-197)
ID card for use of Resident Citizen in the U.S. (Form I-179)
Employment Authorization Document issued by DHS (other than those listed
under List A)
Copyright © 2009 Tracker Corp
12
Section 1 Common Errors
Employee Information and Verification
4
3
1
2
Employee did not:
1. Sign the document
2. Enter the date signed (not DOB)
3. Attest by choosing of the four boxes and provide applicable number and expiration
date (if required)
4. Enter date of birth and Social Security Number* (if available)
Copyright © 2009 Tracker Corp
13
Section 1 Common Errors
(continued)
1
2
3
The last two of the four boxes:
1. Alien # (A#): ________________This is the number on the Permanent
Resident Card or Employment Authorization Document Card (EAD).
2. Admission # :
This is the number on the I-94.
3. Alien authorized to work (Alien # from EAD or Admission # from I-94
card) until ____/____/_____ expiration date of work authorization .
Make sure the employee signs and dates the Form I-9. If not signed,
employer assumes liability for false statements in Section 1.
Copyright © 2009 Tracker Corp
14
Section 2 Common Errors
Employer Review and Verification
California Drivers License
State of California
C3665577
08/22/08
1
3
Elmer Fuzz
2
Electrical Engineer
Goofball Systems, Inc. 5555 Snooze Lane, Menlo Park, CA 94035
1.
2.
List A OR Lists B and C not completed (or completed incorrectly –
unacceptable documents or over documentation)
Employer did not sign
3.
Employer did not enter the employee’s start date
4.
Employer did not enter the date the form was completed
Copyright © 2009 Tracker Corp
4
15
Section 2 Common Errors
(continued)
Social Security card
Social Security Admin
111-11-1111
California Drivers License
State of California
A3339977
9/22/10
The information in Section 2 was entered in the wrong columns.
It should be either:
• One document from List A
OR
• One document each from List B AND List C.
Most common errors:
• Documents provided by the employee are not original and/or
unexpired
• Missing or incomplete employer information
• Form I-9 was not completed within three days of hire
Copyright © 2009 Tracker Corp
16
Penalties for Violations
Technical Errors (information recorded incorrectly or missing but
available) – 10 days to correct before fined
Substantive Errors - $700-$900 per error depending on error and
number of offenses
Penalties for record keeping violations range from up to $1,100
each for the “first offense” to $3,200 each person for a “pattern
or practice” of violations. There could be criminal fines and
imprisonment for knowingly hiring unauthorized workers.
Utah State University is in jeopardy of losing federal contracts if
out of compliance with Department of Homeland Security
regulations.
Random audits are being performed by Department of Homeland
Security (DHS), Department of Labor (DOL) or Immigration and
Customs Enforcement (ICE).
Copyright © 2009 Tracker Corp
17
Understanding E-Verify
E-Verify is the federal government’s Internet-based system
for US employers to verify the employment eligibility of
new hires against DHS and SSA databases.
Employers (HR) electronically submit the same information
entered on the I-9 Form.
The E-Verify system sends online confirmation or nonconfirmation information to employers in response to
queries submitted electronically.
End of Presentation
Copyright © 2009 Tracker Corp
18
U.S. Passport and U.S. Passport Card
A U.S. Passport is a document issued by the
State Department to persons who have
established citizenship in the U.S. by birth,
naturalization or derivation. Passports are
very reliable documents that may be used
within the U.S. to establish citizenship,
identity and work authorization.
NOTE: There are several different versions of the
U.S. passport that are currently valid and vary
from the version illustrated at left.
A U.S. Passport Card is a is a wallet-size
card similar to the U.S. Passport, except
that it can only be used for land and sea
travel between the U.S. and Canada,
Mexico, the Caribbean and Bermuda. The
U.S. Department of State began producing
the passport card in July 2008.
Copyright © 2009 Tracker Corp
Back to List
19
Permanent Resident Card
The Permanent Resident Card, Form I-551, was introduced in January 1977 and phased
in over a period of time. In addition to the photograph, the I-551 contains the bearer's
signature and finger print. As with the older I-151 cards, this version I-551 generally
does not contain an expiration date.
Alien # 9 digits
Document
Expiration
Date
Document # 3 Letters, 10 digits
Copyright © 2009 Tracker Corp
Back to List
20
Unexpired Foreign Passport With
Temporary I-551 Stamp
Note: Not all VISAs serve as
temporary I-551 documents.
Must have annotation.
Visa
Number
Upon endorsement serves as
temporary I-551 evidencing residence
for 1 year
Copyright © 2009 Tracker Corp
Back to List
21
Employment Authorization Document
Alien # 9 digits
Document
Expiration
Date
Document # 3 Letters, 10 digits
Copyright © 2009 Tracker Corp
Back to List
22
Unexpired Foreign Passport, Form I-94, and
Work Authorization (cont. on next slide)
Or Admission
Number
Type of VISA and
expiration date (we
typically see D/S =
Duration of Status)
I-94 # 11 digits
Copyright © 2009 Tracker Corp
Next Slide
23
Unexpired Foreign Passport, Form I-94,
and Work Authorization (cont. from prev. slide)
Form I-20 for F-1 VISA
holders (students)
Issuing
Authority
Form DS-2019 for J-1 VISA
holders (non-students)
SEVIS/
Document
Number
Expiration
Date
Form Type
(I-20 or
DS-2019)
Copyright © 2009 Tracker Corp
Note: This information can
be listed in List C area
Back to List
24
Passport from the Federated States of
Micronesia or the Republic of
Marshall Islands
Copyright © 2009 Tracker Corp
Back to List
25
Social Security Card
Acceptable for List C
document – Unrestricted
Unacceptable for List C
document – Restricted
Issuing Authority
(watermark)
Copyright © 2009 Tracker Corp
Back to List
26