Form I-9 Training for New - Society for Human Resource Management

Report
Form I-9 Training for New Managers:
Understanding and Completing the Form I-9
Reviewed August 2011
Introduction
This training is recommended for all hiring managers or hiring
representatives of the HR department who are responsible for
assisting new hires with their new-hire paperwork, including
Form I-9, which is a requirement of federal law.
Note to Presenter:
This sample presentation is intended for presentation to hiring
managers, hiring representatives and human resource
representatives who have limited knowledge of the Form I-9
process.
©SHRM 2008
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Agenda

Review the purpose of Form I-9.

How to complete Form I-9.
o Section 1.
o Section 2.
o Section 3.

Frequently asked questions on completing Form I-9.
©SHRM 2008
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Purpose of Form I-9
In compliance with the Immigration Reform and Control Act of
1986, all U.S. employers must verify the identity and
employment eligibility of all new employees (both citizen and
noncitizen) hired after November 6, 1986.
This requirement is satisfied by having the new employees
complete Form I-9.
Form I-9 also is used to reverify work authorization information
for rehires and employees who renew their work authorization
documentation.
©SHRM 2008
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Sample Form I-9
Section 1
Completed by the
new employee.
Section 2
Completed by the
hiring department.
Section 3
Used to update and
reverify eligibility of
employment.
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Introduction to Form I-9
Form I-9 consists of three sections:
Section 1 – Employee Information and Verification
Must be completed by the new employee on the date the
employee begins employment and can also be completed
prior to the beginning of employment, after an
employment offer has been made to the individual.
Section 2 – Employer Review and Verification
Must be completed by the company’s representative
before or within three business days of beginning
employment.
Section 3 – Updating and reverification
This section is used only to update or reverify Form I-9.
©SHRM 2008
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Section 1
Employee Information and Verification Section

Section 1 of the form must be completed and signed by the new
employee on the date employment begins (or prior to that date) .

A translator or preparer may be used by the employee to
complete Section 1 of the form. However, the form must be
signed by the employee, and the translator or preparer must
complete the last portion of Section 1.

Social Security numbers are not required from new employees
(unless E-verify is used by the employer).

When an employees enters an employment authorization
expiration date in Section 1, the employer is required to reverify
employment authorization for the employee in Section 3 on or
before the expiration date provided by the employee.
©SHRM 2008
Introduction to Form I-9
Section 2
Employer Review and Verification Section

The new employee must present original and unexpired
document(s) that prove his or her identity and employment
authorization. Certified copies of birth certificates are acceptable.
Documents from List A show both identity and employment
authorization.
o Documents from List B show identity only (employers participating in
E-verify can only accept List B documents with a photograph).
o Documents from List C show employment authorization only.
o

You must accept any document(s) from the Lists of Acceptable
Documents presented by the new employee that reasonably
appear on their face to be genuine and relate to the person. You
cannot specify which document(s) an employee should present.

Examine the documents presented and fully complete Section 2
by recording the title, issuing authority, number and expiration
date (if any) of the document(s).
©SHRM 2008
Introduction to Form I-9
Section 2
Acceptable Documents: List A
List A consists of documents that establish both identity and
employment eligibility.
1.
U.S. passport or passport card.
3.
Employment Authorization Document
that contains a photograph (Form I-766).
2.
Permanent Resident Card or Alien
Registration Receipt Card
(Form I-551).
4.
Foreign Passport that contains a
temporary I-551 stamp or temporary I551 printed notation on a machinereadable immigrant visa.
3.
In the Commonwealth of the Northern
Mariana Islands (CNMI) only, a foreign
passport along with special documents
issued by the CNMI.
6.
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.
7.
In the case of a nonimmigrant alien authorized to work for a specific employer incident to
status, a foreign passport with Form I-94 or Form I-94A bearing the same name as the
passport and containing an endorsement of the alien’s nonimmigrant status, as long as the
period of endorsement has not yet expired and the proposed employment is not in conflict
with any restrictions or limitations identified on the form.
©SHRM 2008
Introduction to Form I-9
Section 2
Acceptable Documents: List B
List B consists of documents that establish identity.
For persons over the age of 18:
7.
U.S. Coast Guard Merchant Mariner Card.
1
Driver’s license or ID card issued by a state
or outlying possession of the United States,
provided it contains a photograph or
information such as name, date of birth,
gender, height, eye color and address.
8.
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.
2
School ID card with a photograph.
9.
Native American tribal document.
3
Voter’s registration card.
4
U.S. military card or draft record.
10.
School record or report card.
5
Military dependent’s ID card.
11.
Clinic, doctor, or hospital record.
6
Driver’s license issued by a Canadian
government authority.
12.
Daycare or nursery school record.
For persons under age 18 who are
unable to present a document listed
above:
©SHRM 2008
Introduction to Form I-9
Section 2
Acceptable Documents: List C
List C consists of documents that establish employment authorization.
1.
U.S. Social Security account number card
other than one that specifies on the face that
the issuance of the card does not authorize
employment in the United States.
5.
Original or certified copy of a birth
certificate issued by a state, county,
municipal authority or outlying possession
of the United States bearing an official
seal.
NOTE: A copy (such as a metal or plastic
reproduction) is not acceptable.
2.
Certification of Birth Abroad issued by the
U.S. Department of State (Form FS-545).
6.
Native American tribal document.
3.
Certification of Report of Birth issued by the
U.S. Department of State (Form DS-1350).
7.
U.S. Citizen Identification Card (Form I197).
4.
Identification Card for Use of Resident
Citizen in the United States (Form I-179).
8.
Employment authorization document
issued by DHS.
©SHRM 2008
Section 2
Receipt Rule

An individual may present a receipt in lieu of a document listed
on Form I-9 to complete Section 2 or Section 3. The receipt is
valid for a temporary period. There are three different
documents that qualify as receipts under the rule:
1.
For a replacement document when the document has been lost,
stolen or damaged: the receipt is valid for 90 days, after which the
employee must present the replacement document to complete
Form I-9.
2.
The arrival portion of Form I-94/I-94A containing a temporary I-551
stamp and photograph. This is valid until the expiration date of the
temporary I-551 stamp or one year from the date of issue if no
expiration date.
3.
The departure portion of Form I-94/I-94A with an unexpired
refugee admission stamp. This is valid 90 days from the date
employment begins or on the date employment authorization
expires.
©SHRM 2008
Section 2
Receipt Rule (continued)

Receipts showing that a person has applied for an initial grant
of employment authorization or for renewal of employment
authorization are not acceptable.

When an acceptable receipt is presented, record the
document’s title in Section 2 and write down the word “receipt”
and its document number.

When the employee later presents the actual document, cross
out the word “receipt” and any accompanying document
number, insert the number from the actual document presented,
and initial and date the change.
©SHRM 2008
Section 2
Photocopying
Retaining Copies of Form I-9 Documentation
(Note to presenter: Choose one or more of the following statements for your presentation, based on company
policy or legal requirements)



Make and retain copies of all documentation provided and
attach to Form I-9.
Do not make copies of documentation provided.
We participate in E-Verify and use Photo Matching. When the
employee presents a document used as part of Photo Matching
(currently the U.S. passport and passport card, Permanent
Resident Card (Form I-551) and the Employment Authorization
Document (Form I-766)), you must retain a photocopy of the
document the employee presents and attach it to the I-9.
©SHRM 2008
Section 3
Purpose
Section 3 is applicable to employees who indicated a work authorization
expiration date in Section 1, rehires and/or employees with a name
change. Completing this section will update the employee’s information
and/or reverify his or her work authorization.

Updating employee information: (Employers are permitted to
update the I-9 for name changes, but are not required to do so.)
o If an employee’s name has changed at the time this form is
being updated, complete Block A.
o The company’s representative then completes the last line of
Section 3.
o The employee is not required to present documentation to
show his or her new name.
©SHRM 2008
Section 3
Reverification
Reverifying means updating the employee’s work authorization;
this is only done when an expiration date is entered in Section
1. This must be done on or before the expiration date recorded
in Section 1.

Steps for reverification:
o The employee must present a document that shows either an
extension of the initial employment authorization or new
employment authorization. This can be any document from List
A or C.
o Record the new document title, document number and
expiration date (if any), then sign and date Section 3.
o If Section 3 has already been used for a previous reverification
or update, use a new Form I-9. If you use a new Form I-9,
write the employee’s name in Section 1, complete Section 3
and retain the new Form I-9 with the original.
©SHRM 2008
Section 3
Reverification (continued)

U.S. citizens and noncitizen nationals never need reverification.

Do not reverify an expired U.S. passport or passport card, an
Alien Registration Receipt Card/Permanent Resident Card
(Form I-551) or a List B document that has expired.

Employees cannot work beyond the date their employment
authorization expires without reverifying.
©SHRM 2008
Section 3
Rehire
If the employee is rehired within three (3) years of the date the
Form I-9 was originally completed, you have a choice of
reverifying the rehire with the use of Section 3 or by completing
a new Form I-9 for the rehire. (Employer should choose the
method and be consistent)

If the employee’s previously completed Form I-9 indicates
that the individual is still eligible to work, you must complete
Block A (if applicable), Block B and the signature block to
update the original form.

If the employee’s previously completed Form I-9 indicates
that the work authorization has expired, complete Block B,
Block C and the signature block.
©SHRM 2008
Section 3
Rehire (continued)

Update or complete a new Form I-9 on the date re-employment
begins.

You must complete a new Form I-9 if the original Form I-9 has
been replaced by a newer version.
©SHRM 2008
Frequently Asked Questions
Do I need to fill out Forms I-9 for independent contractors
or their employees?
No. For example, if you contract with a construction company to
perform renovations on your building, you do not have to
complete Forms I-9 for that company’s employees. The
construction company is responsible for completing Forms I-9
for its own employees. However, you may not use a contract,
subcontract or exchange to obtain the labor or services of an
employee if you know that the employee is unauthorized to
work.
©SHRM 2008
Frequently Asked Questions
Must I complete an I-9 form for interns and unpaid
employees?
You may only complete Form I-9 for an employee who will
receive payment or compensation. Unpaid interns are not
employees and do not complete Form I-9.
Check with your human resources department when making the
determination of who completes Form I-9.
©SHRM 2008
Frequently Asked Questions
May I accept a photocopy of a document presented by a
new hire?
No. All new employees must present the original documents
when verifying authorization for employment. The only
exception is accepting a certified copy of a birth certificate.
©SHRM 2008
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Frequently Asked Questions
Can I accept an expired document (passport, driver's
license, etc.) to establish a new hire's identity for I-9
purposes?
No. All documents MUST be unexpired at the time the I-9 form
is completed.
©SHRM 2008
Frequently Asked Questions
Can I refuse to hire a person who shows an employment
authorization card that will expire in three months?
No. You cannot refuse to hire persons solely because their
employment authorization is temporary. The existence of a
future expiration date does not preclude continuous
employment authorization for an employee and does not mean
that subsequent employment authorization will not be granted.
In addition, consideration of a future employment authorization
expiration date in determining whether an individual is qualified
for a particular job may be an unfair immigration-related
employment practice in violation of the anti-discrimination
provision of the Immigration and Nationality Act.
©SHRM 2008
Frequently Asked Questions
May I terminate an employee who fails to produce the
required documents within three business days of his or
her start date?
Yes. You may terminate an employee who fails to produce the
required document or documents, or an acceptable receipt for a
document, within three business days of the date employment
begins. This does not include the actual day of hire. [If employer
policy differs, insert here.]
©SHRM 2008
Frequently Asked Questions
My employee’s Employment Authorization Document
(Form I-766) expired, and the employee now wants to show
me a Social Security card. Do I need to see a current DHS
document?
No. During reverification, an employee must be allowed to
choose which documentation to present from either List A or
List C. If an employee presents an unrestricted Social Security
card upon reverification, the employee does not need to present
a current DHS document. However, if an employee presents a
restricted Social Security card upon reverification, you must
reject the restricted Social Security card as an unacceptable
Form I-9 document and ask the employee to choose different
documentation from List A or List C of Form I-9.
©SHRM 2008
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Frequently Asked Questions
Do I need to complete a new Form I-9 when one of my
employees is promoted within my company or
transfers to another company office at a different
location?
No. You do not need to complete a new Form I-9 for
employees who have been promoted or transferred.
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Frequently Asked Questions
What should I do if an employee presents a Social Security
card marked “NOT VALID FOR EMPLOYMENT,” but states
that he or she is now authorized to work?
You should ask the employee to provide another document to
establish his or her employment authorization, since such
Social Security cards do not establish this and are not
acceptable documents for Form I-9. Such an employee should
go to the local Social Security Administration (SSA) office with
proof of his or her lawful employment status to be issued a
Social Security card without employment restrictions.
©SHRM 2008
Frequently Asked Questions
The name on the document my employee presented to me
is spelled slightly differently than the name she entered in
Section 1 of Form I-9. Can I accept this document?
If the document contains a slight spelling variation and the
employee has a reasonable explanation for the variation, the
document is acceptable as long as you are satisfied that the
document otherwise reasonably appears to be genuine and to
relate to him or her.
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Questions? Comments?
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Questions? Comments?
Further questions or comments can be directed to the
Human Resources Department
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Sources
•
•
Form I-9 Employers’ Handbook
http://www.uscis.gov/files/form/m-274.pdf
Form I-9
http://www.uscis.gov/files/form/i-9.pdf
©SHRM 2008
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