employee recordkeeping & i-9 compliance
TRANSCRIPT
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EMPLOYEE RECORDKEEPING &
I-9 COMPLIANCEPresented by Monica Weimar,
PHR, SHRM-CP
• File Types
• File Retention
• Storage Options
• Granting Access
• Record Destruction
• Form I-9:
• Acceptable
Documents
• Penalties & Other
Considerations
• E-Verify
• Audits
Agenda
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File Types
• Application, resume, and interview notes
• Signed job description and employment offer
• Signed handbook acknowledgement form
• Performance evaluations
• Status changes (positon and pay changes)
• Training completion certificates
• Disciplinary documentation
Basic Personnel File
• Insurance and medical enrollment forms
• Beneficiary designation forms
• Retirement plan enrollment documents
• Medical documents from temporary leaves of absence
• Continued health insurance documents (COBRA)
• Family Medical Leave Act (FMLA) leave documents
• Pre-employment test results
Medical / Benefits File
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• Form W-4
• Timesheets (if printed)
• Pay increase/decrease documentation
• Paid and unpaid time off records
• Wage garnishment documentation
Payroll File
• One per injury
• First Report of Injury claim form
• Medical documents including doctor’s notes and
insurance information
Workers’ Compensation Claim File
• Keep current employee and terminated employee
files separately
• Alphabetized in a 3-ring binder
Form I-9 File
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File Retention
Best Practices
• Maintain applications, resumes, and other records related to the refusal to hire
for one year from decision date
• Maintain employee files for the length of employment and 7 years after
termination
• Generally satisfies all retention requirements
• Meets most state’s statute of limitations on tort, fraud, and contract claims
Form I-9 Retention Requirements
Retain for as long as the employee is employed, and the later of the following:
• 3 years after the hire date, or
• 1 year after termination
An easy way to assess the appropriate destroy date:
• Enter the date the employee started work + 3 years = answer A
• Enter the employee’s termination date + 1 year = answer B
Store until the later date, A or B
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Benefits Information:
6 years
post-employment
Safety & Injury
Information
(non-toxic exposure):
5 years after
record creation
Payroll Records:
5 years
post-employment
Other File Retention Periods
Storage Options
• Security
• Disaster Recovery
• File Access
• Organization
Paper Storage Considerations
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• Employee’s request
• Record accessibility
• Confidentiality
• Security controls
• Audit request
• Record management and
destruction
• Signatures
• Electronic W-4 and I-9
Forms
Electronic Storage Considerations
Granting Access
File Access
• No federal law requiring an employer to provide access
• Many states require that an employer provide an employee access to their file
• Recommend company policy where state regulations don’t exist
• Why create this policy?
• What to include?
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Record Destruction
Form I-9
• The purpose
• Why further discussion is necessary
• Current edition states: ”03/08/2013” at the bottom
Form I-9
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Form I-9 Updates
• Current edition is scheduled to expire on 3/31/16
• Propose changes were announced last November
• Final form & changes have not yet been published
• Use the current form until a revised form is
published
• Proposed changes to create a “smart” form
Who Completes Form I-9
• Employer or employer representative
• Section 2 must be completed by the individual that reviewed the IDs
• Notary public acting as an employer representative
• Discuss this with a notary ahead of time, as some cannot complete section 2
• No notary is required
When is a Form I-9 NOT Required
• Non-Employees such as volunteers, unpaid interns, and independent contractors
• Employees:
• Hired before 11/6/1986
• Hired for casual domestic work in a private home
• Providing labor to you who are employed by a contractor providing contract
services (e.g., employee leasing or temporary agencies);
• Not physically working on U.S. soil
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Section 1: Employee’s
Responsibility
Section 2, Part I: Employer’s
Responsibility
Section 2, Part II: Certification
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Section 3: Reverification
and Rehires
Form I-9: Acceptable Documents
Employees must present: one ID from
List A; OR one ID from List B and List C
List of Acceptable Documents
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List A of Acceptable Documents
Lists B &C of Acceptable Documents
List of Acceptable Documents
• Documents must be unexpired
• Documents must be presented within 3 business days of hire
• Photocopied documents are not acceptable
• Receipts in lieu of IDs
• Accept documents that reasonably appear to be genuine and relate to the
person presenting them
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Issuing Authorities
Document Type Issuing Authority
U.S. Passport / Passport Card U.S. Department of State
Permanent Resident Card U.S. Citizenship and Immigration Services (USCIS)
Employment Authorization Card U.S. Citizenship and Immigration Services (USCIS)
Driver’s License / State-Issued ID Any state, territory, or Canadian government authority
Social Security Card U.S. Social Security Administration
Birth Certificate U.S. Department of State
Form I-9: Penalties & Other Considerations
• Employer
• Civil penalties and civil document fraud
• Criminal penalties
• Unlawful discrimination claim
• Employee
Penalties
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Unlawful Discrimination
• It is illegal to discriminate based upon citizenship or immigration status
• Laws prohibit employers from hiring only U.S. citizen or lawful permanent
residents
• Employers may not require “proof” prior to an accepted job offer
• Choice of document
Allowed Candidate Questions
• Acceptable employment application questions:
• Are you authorized to work lawfully in the United States for [Company
Name]?
• Will you now or in the future require [Company Name] to commence
(“sponsor”) an immigration case in order to employ you (for example, H-1B
or other employment-based immigration case)?
→This is sometimes called “sponsorship” for an employment-based visa status.
E-Verify
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E-Verify Requirements
• Requires copies of documents provided for the I-9 and a social security number
• Optional for most U.S. employers
• Required by federal or state law:
• Federal contractors and subcontractors if the contractor contains the Federal
Acquisition Regulation E-Verify clause
• Required in: Alabama, Arizona, Mississippi, and South Carolina
• Required for some employers, based on size in:
Georgia and Tennessee
Form I-9: Audits
• Why audit
• When to audit
• What is generally found in an audit
Conducting an Internal I-9 Audit
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• Determine priorities
• Organize documents
• Reach out to each employee without an I-9 or with
an incomplete I-9
• Corrections
• Terminated employees
• Recording the audit
Internal I-9 Audit Steps
Monica Weimar, PHR, SHRM-CPHR Specialist
Monica has held roles as an HR Generalist and
Payroll and Benefits manager at a large ski resort,
providing HR guidance to more than 500
employees. She also has HR experience in the
healthcare field. Monica is the HR Committee
Chair for the Ronald McDonald House Charities of
Central Oregon, and holds a Bachelor of Science
degree from Linfield College.
Thank you!