An I-9 Compliance Checklist

I-9 Compliance Checklist

Our recent post, I-9 Compliance in an Era of Heightened Enforcement, outlined key risks and best practices for employers to pay meticulous attention to I-9 procedures. With increased audits in today's enforcement climate and the scope of penalties from Immigration and Customs Enforcement (ICE), organizations must adopt structured and proactive measures to remain compliant with employment eligibility verification requirements. This I-9 Compliance Checklist is a practical companion tool to support consistent and lawful practices throughout the hiring and employment lifecycle. It serves as a reference for HR teams, compliance officers, and business leaders working to align their internal processes with federal requirements.

Section 1: Form I-9 Completion

New Hire Responsibilities (Employee Completes Section 1)

• Ensure the employee completes Section 1 on or before their first day of work
• Verify that the employee signs and dates the form
• Ensure all required fields are completed accurately and legibly
• If the employee uses a preparer or translator, ensure that section is completed and signed
• Confirm that the employee selects only one of the four employment status options:
  • U.S. Citizen
  • Noncitizen National
  • Lawful Permanent Resident
  • Authorized to Work Until [Expiration Date]

Section 2: Employer Verification

Document Verification

• Ensure the employee provides original and unexpired documents from the List of Acceptable Documents
• If presenting a List A document, no additional documents are needed
• If presenting List B and List C documents, both must be provided
• Verify that the documents appear genuine and relate to the employee

Employer Review and Completion

• Complete Section 2 within three business days of the employee's start date
• Record the document title, issuing authority, document number, and expiration date
• Sign and date Section 2 as the employer or authorized representative
• Record the employee's first day of employment in the appropriate field

Remote Worker Considerations

• Identify authorized representatives for verifying documents of remote employees
• Provide clear instructions to authorized representatives on proper document verification
• Stay updated on current virtual verification options and compliance requirements
• Ensure remote I-9 processes maintain the same standards as in-person verification
• Document the remote verification process followed for each remote employee

Section 3: Reverification and Rehires

• Reverify work authorization if an employee's temporary employment authorization expires
• Do not reverify U.S. citizens or lawful permanent residents with an unexpired green card
• Ensure Section 3 is completed before the work authorization expiration date
• If rehiring an employee within three years of the original I-9, update Section 3 instead of completing a new form

Recordkeeping and Storage Requirements

• Retain completed I-9 forms for at least three years after the date of hire or one year after termination, whichever is later
• Store I-9 forms separately from personnel files to facilitate audits
• Ensure electronic storage systems comply with federal standards for security and accessibility
• Maintain an organized filing system for active and terminated employees
• Retain E-Verify records if applicable and required

Digital I-9 Systems

• Ensure electronic I-9 systems meet all USCIS requirements for electronic signatures and storage
• Verify the system creates and maintains audit trails for all actions taken on electronic I-9s
• Confirm system allows for proper correction of errors while maintaining original data
• Test the system's ability to produce electronic I-9s in the format required by ICE during an audit
• Implement proper access controls and authentication methods for users of electronic I-9 systems

Internal Audits and Ongoing Compliance

Regular internal audits and continuous oversight are critical for identifying blind spots and reinforcing organizational integrity. They help detect inefficiencies and inconsistencies before they escalate into serious risks. A structured review process also demonstrates accountability to stakeholders and builds trust across departments. Ultimately, staying ahead of regulatory shifts ensures operations remain smooth and penalties are avoided.

Routine I-9 Self-Audits

• Conduct internal audits at least once a year
• Review I-9s for missing signatures, incorrect dates, or expired documents
• Correct minor errors following DHS guidelines using a single-line correction with initials and date
• Do not use correction fluid or backdate information
• Complete a new I-9 for serious errors and attach it to the original
• Destroy I-9s only after the legally required retention period has passed

E-Verify Compliance (If Applicable)

• Submit E-Verify cases within three business days of the employee's start date
• Review E-Verify case results promptly and address any discrepancies
• Notify employees immediately if they receive a Tentative Nonconfirmation (TNC) and allow them to contest the results
• Close all E-Verify cases properly after employment eligibility is confirmed
• Apply E-Verify consistently to all new hires to prevent discriminatory practices

Work Authorization Expiration Tracking

• Maintain a tracking system for employees with temporary work authorization
• Set up automated reminders for upcoming expiration dates (90, 60, and 30 days prior)
• Notify employees in advance so they have time to renew work authorization
• Complete Section 3 before the expiration date to avoid unauthorized employment

Form Updates and Changes

• Assign responsibility to monitor USCIS announcements for I-9 form updates
• Implement a process to transition to new I-9 versions within required timeframes
• Train staff on changes when new forms are released
• Update internal guidance documents to reflect form changes
• Maintain records of which form version was used for each employee

ICE Audits and Site Visits: Be Prepared

Being ready for ICE audits and site visits demonstrates a company's commitment to operating within the bounds of immigration law. It minimizes disruption to business operations by ensuring that all required documentation and protocols are in place ahead of time. Preparation also protects against unexpected liabilities that can arise from overlooked compliance issues. Ultimately, it reinforces a culture of accountability and reduces exposure to reputational and financial risks.

Steps to Take Before an Audit

• Designate a compliance officer responsible for I-9 and ICE matters
• Ensure all I-9 forms are easily accessible in case of an audit
• Keep a list of company representatives authorized to handle ICE inspections
• Conduct periodic mock audits to prepare for real inspections
• Develop an audit response protocol and communication plan

If You Receive a Notice of Inspection (NOI)

• Respond within three business days as required by ICE
• Notify legal counsel or an HR compliance specialist immediately
• Review I-9s for errors and correct them before submission if permitted
• Submit only the documents specifically requested by ICE
• Maintain a log of all communications with government officials during the audit process

Other Considerations

Avoiding Discrimination and Retaliation Claims

• Apply I-9 and E-Verify procedures consistently for all employees
• Do not request specific documents—allow employees to present any acceptable ones
• Do not treat employees differently based on citizenship, nationality, or immigration status
• Train HR and hiring managers on proper I-9 procedures and anti-discrimination policies
• Document the legitimate, non-discriminatory basis for any I-9 reverification requests

Compliance Training Program

• Conduct comprehensive I-9 training for all personnel involved in the hiring process
• Schedule refresher training at least annually and whenever significant changes occur
• Document all training sessions with attendance records and training materials
• Test knowledge comprehension after training sessions
• Include role-specific training for different positions (HR, hiring managers, authorized representatives)

Mergers & Acquisitions Due Diligence

• Review I-9 compliance of target companies during due diligence
• Assess potential liability from past non-compliance
• Develop a plan to address any I-9 deficiencies after acquisition
• Consider whether new I-9s need to be completed based on corporate structure changes
• Document all remediation efforts for any discovered compliance issues

State-Specific Requirements

• Identify states where your company operates that have additional employment verification requirements
• Implement processes to comply with state-specific I-9 or E-Verify mandates
• Update state compliance requirements when laws change
• Train HR staff on state-specific compliance requirements
• Document compliance with both federal and state verification requirements

Penalties and Liability Awareness

• Maintain awareness of current penalty amounts for I-9 violations (ranging from $273 to $2,701 per violation for first offenses as of 2023, with higher penalties for repeated violations, subject to change)
• Understand potential personal liability for company officers related to I-9 compliance failures
• Calculate potential exposure based on workforce size and compliance gaps
• Consider I-9 compliance insurance or setting aside reserves for potential violations
• Document all good faith compliance efforts to potentially mitigate penalties

Final Check: Are You Fully I-9 Compliant?

• All employees have a valid, properly completed I-9 on file
• All I-9 forms are stored securely and are accessible for audits
• All required I-9s for terminated employees are retained or properly discarded if past the retention period
• E-Verify is used correctly if required
• Work authorization expiration dates are tracked and managed appropriately
• HR and hiring teams are trained on I-9 compliance best practices
• The company is prepared for a potential ICE audit
• State-specific requirements are identified and addressed
• Digital I-9 systems (if used) meet all federal requirements
• Processes are in place to monitor and implement form updates

The Key Takeaway

Effective I-9 compliance requires more than periodic review—it involves sustained, organized efforts and timely action at every stage of employment. This checklist is intended to promote accountability, reduce risk exposure, and support lawful workforce management. As immigration policy and enforcement practices continue to evolve, it is advisable for employers to periodically revisit their procedures and consult with qualified legal professionals when addressing complex or unclear situations. A well-maintained and up-to-date I-9 process is not only a legal obligation but also a fundamental component of responsible business operations. Companies that need assistance with an internal audit or training for their HR team should strongly consider consulting an immigration attorney or compliance specialist. Taking proactive steps now will help ensure lasting compliance and avoid costly lessons.

An I-9 Compliance Checklist

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.