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u.s.
ImmigrationandCustomsEnforcement
Form1-9InspectionOverview
OnNovember6,1986,theenactment
of
theImmigrationReformandControlActrequiredemployerstoverifytheidentityandemploymenteligibility
of
theiremployeesandcreatedcriminalandcivilsanctionsforemploymentrelatedviolations.Section274A(b)
of
theImmigrationandNationalityAct(rNA),codifiedin8
U.S.c.
§
l324a
(b),requiresemployerstoverifytheidentityandemploymenteligibility
of
allindividualshiredintheUnitedStatesafterNovember6,1986.8C.F.R.§274a.2designatestheEmploymentEligibilityVerificationForm
1-9
(Form
1-9)
asthemeans
of
documentingthisverification.EmployersarerequiredbylawtomaintainforinspectionoriginalForms
1-9
forallcurrentemployees.
In
thecase
of
formeremployees,retention
of
Forms
1-9
arerequiredforaperiod
of
atleastthreeyearsfromthedate
of
hireorforoneyearaftertheemployeeisnolongeremployer,whichever
is
longer.Theadministrativeinspectionprocessisinitiatedbytheservice
of
aNotice
of
Inspection(NOI)uponanemployercompellingtheproduction
of
Forms
1-9.
U.S.ImmigrationandCustomsEnforcement(ICE)typicallywillallow3businessdaystopresenttheForms
1
9.
Often,ICEwillrequesttheemployerprovidesupportingdocumentation,whichmayincludeacopy
of
thepayroll,list
of
currentemployees,Articles
of
Incorporation,andbusinesslicenses.ICEagentsorauditorsthenconductaninspection
of
theForms
1-9
forcompliance.Whentechnicalorproceduralviolationsarefound,pursuanttorNA§274A(b)(6)(B)
(8
U.S.c.
§1324a(b)(6)(B)),anemployerisgiventenbusinessdaystomakecorrections.Anemployermayreceiveamonetaryfineforallsubstantiveanduncorrectedtechnicalviolations.EmployersdeterminedtohaveknowinglyhiredorcontinuedtoemployunauthorizedworkersunderrNA§274A(a)(l)(a)or(a)(2)
(8
U.S.C.§1324a(a)(l)(a)or(a)(2))willberequiredtoceasetheunlawfulactivity,maybefined,andincertainsituationsmaybeprosecutedcriminally.Additionally,anemployerfoundtohaveknowinglyhiredorcontinuedtoemployunauthorizedworkersmaybesubjecttodebarmentbyICE,meaningthattheemployerwillbepreventedfromparticipatinginfuturefederalcontractsandfromreceivingothergovernmentbenefits.Monetarypenaltiesforknowinglyhireandcontinuingtoemployviolationsrangefrom$375to$16,000perviolation,withrepeatoffendersreceivingpenaltiesatthehigherend.Penaltiesforsubstantiveviolations,whichincludesfailingtoproduceaForm
1-9,
rangefrom$110to$1,100perviolation.
In
determiningpenaltyamounts,ICEconsidersfivefactors:thesize
of
thebusiness,goodfaithefforttocomply,seriousness
of
violation,whethertheviolationinvolvedunauthorizedworkers,andhistory
of
previousviolations.!
I
SeerNA§274A(e)(5)(8U.S.c.1324a(e)(5))
Preparedby:WorksiteEnforcementUnitOffice
of
Investigations
Form
1-9
InspectionOverviewPage2ICEwillnotifytheauditedparty,inwriting,
of
theresults
of
theinspectiononcecompleted.Thefollowingarethemostcommonnotices:•Notice
of
InspectionResults-alsoknownasa"complianceletter,"used
to
notifyabusinessthattheywerefound
to
beincompliance.•Notice
of
SuspectDocuments-advisestheemployerthatbasedonareview
of
theForms
1-9
anddocumentationsubmittedbytheemployee,ICEhasdeterminedthattheemployeeisunauthorizedtoworkandadvisestheemployer
of
thepossiblecriminalandcivilpenaltiesforcontinuingtoemploythisindividual.ICEprovidestheemployerandemployeeanopportunitytopresentadditionaldocumentationtodemonstrateworkauthorization
if
theybelievethefindingisinerror.•Notice
of
Discrepancies-advisestheemployerthatbasedonareview
of
theForms
1-9
anddocumentationsubmittedbytheemployee,ICEhasbeenunabletodeterminetheirworkeligibility.Theemployershouldprovidetheemployeewithacopy
of
thenotice,andgivetheemployeeanopportunitytopresentICEwithadditionaldocumentationtoestablishtheiremploymenteligibility.•Notice
of
TechnicalorProceduralFailures-identifiestechnicalviolationsidentifiedduringtheauditandgivestheemployer
10
businessdaystocorrecttheforms.After
10
businessdays,uncorrectedtechnicalandproceduralfailureswillbecomesubstantiveviolations.•WarningNotice-issuedincircumstanceswheresubstantiveverificationviolationswereidentifiedbutcircumstancesdonotwarrantamonetarypenaltyandthereistheexpectation
of
futurecompliancebytheemployer.•Notice
of
IntenttoFine(NIF)-maybeissuedforsubstantive,uncorrectedtechnical,knowinglyhireandcontinuingtoemployviolations.IninstanceswhereaNIF
is
served,chargingdocumentswillbeprovidedspecifyingtheviolationscommittedbytheemployer.Theemployerhastheopportunity
to
eithernegotiateasettlementwithICEorrequestahearingbeforetheOffice
of
the
Chief
AdministrativeHearingOfficer(OCAHO)within30days
of
receipt
of
theNIF.
If
theemployertakesnoactionafterreceivingaNIF,ICEwillissueaFinalOrder.
Ifa
hearingisrequested,OCAHOassignsthecasetoanAdministrativeLawJudge
(ALJ),
andsendsallpartiesacopy
of
aNotice
of
Hearingandgovernment'scomplaint,thussettingtheadjudicativeprocessinmotion.TheNotice
of
Hearingspellsouttheproceduralrequirementsforansweringthecomplaintandthepotentialconsequences
of
failure
to
fileatimelyresponse.ManyOCAHOcasesneverreachtheevidentiaryhearingstagebecausethepartieseitherreachasettlement,subjecttotheapproval
of
theALJ,ortheALJreachesadecisiononthemeritsthroughdispositiveprehearingrulings.Preparedby:WorksiteEnforcementUnitOffice
of
Investigations
Form
1-9
InspectionOverviewPage3
Determination
of
RecommendedFine
ThecumulativerecommendedfinesetforthintheNotice
of
IntenttoFineisdeterminedbyaddingtheamountderivedfromthe
Knowing
Hire
/
Continuing
to
Employ
FineSchedule
(plusenhancementormitigation)withtheamountderivedfromthe
Substantive
/
UncorrectedTechnical
ViolationsFineSchedule
(plusenhancementormitigation).Typically,thedate
of
theviolationshallbethedateICEconductedtheForm
1-9
inspectionandnotthedatetheForm
1-9
wascompletedbytheemployer.
Penalties
forKnowing
Hire
/
Continuing
to
Employ
Violations
Employersdetermined
to
haveknowinglyhireorcontinuingtoemployviolationsshallberequiredtoceasetheunlawfulactivityandmaybefined.Theagentorauditorwilldividethenumber
of
knowinghireandcontinuingtoemployviolationsbythenumber
of
employeesforwhomaForm
1-9
shouldhavebeenpreparedtoobtainaviolationpercentage.Thispercentageprovidesabasefineamountdependingonwhetherthis
is
aFirstTier
(l
sl
timeviolator),SecondTier
(2
nd
timeviolator),orThirdTier
(3
rd
orsubsequenttimeviolator)case.Thestandardfineamountlisted
in
thetablerelates
to
eachknowinghireandcontinuingtoemployviolation.Therange
of
thethreetiers
of
penaltyamounts
2
areasfollows:
Knowing
Hire
/
Continuing
to
Employ
Fine
Schedule
(For
violations
occurring
on
or
after
3/27/08)
Knowing
Hireand
Continuing
to
Employ
Violations
0%-
9%
10%
-19%
20%
-
29%
First
Tier
$375-$3,200$375$845$1315
Standard
Fine
Amount
Second
Tier
$3,200-$6,500$3,200$3,750$4,300
Third
Tier
$4,300$16,000$4,300$6,250$8,200
2
Sincethepassage
of
IRCA
in
1986,federalcivilmonetarypenaltieshavebeenincreasedontwooccasions
in
1999and2008pursuanttotheFederalCivilPenalties
In
flationAct
of
1990,asamendedbytheDebtCollectionImprovementAct
of
1996.Theseadjustmentsaredesignedtoaccountforinflation
in
thecalculation
of
civilmonetarypenaltiesandaredetermined
by
anon-discretionary,statutoryformula.(See
73
FR
10130(February26,2008)
Preparedby:WorksiteEnforcementUnitOffice
of
Investigations
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