I-9 COMPLIANCE

Requirements, Procedures, and Solutions

Jim Corkill, Associate Vice Chancellor, Controller

3/23/2022

Business & Financial Services Controller’s Office

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Who Needs a Form I-9?

USCIS requires a Form I-9 for employees who perform labor or services in return for actual or anticipated wages or other remuneration.

Employee: A person who performs labor or services in the United States in return for wages or other remuneration

Remuneration: Anything of value an employer gives in exchange for labor or services, such as money, meals, lodging or other benefits, but does not include gifts

At UCSB this also includes:

• Any unpaid visitors anticipated to receive remuneration from UCSB

Does NOT include:

• Employees hired prior to Nov. 6, 1986
• Volunteers
• Contingent Workers

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Business & Financial Services Controller’s Office

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I-9 Violations & Penalties

Employers who knowingly violate or circumvent the Form I-9 process may be subject to civil and/or criminal penalties

• Debarment from government contracts
• Fines range from $573 - $20,130 per violation

https://www.ice.gov/factsheets/i9-inspection

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3

Defining the Hire Date

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First day of work vs. first day of pay

Example of when hire date is triggered by pay:

Appointment start date

Example of when hire date is triggered by work:

First day of work

First pay date

Hire Date for I-9

July 1

July 1

August 1

September 27

August 1

July 1

August 1

July 1

Grad Student on 4 pay check plan

September 1

September 27

October 1

September 27

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Business & Financial Services Controller’s Office

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I-9 Completion Timeline

No later than 3 business days* after the employee’s hire date (first day of work vs. pay):

• The employee must present work authorization documentation to employer
• The employer must complete, sign, and date Section 2

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UCSB may need to terminate the employee if they do not provide documentation by the required deadline

• It is the hiring department’s responsibility to inform and follow-up with employees regarding deadlines

*Business days include Saturday and Sunday if the employee is scheduled to work those days

List of Acceptable Documents

• The employee must provide:

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• Documents must be the original and unexpired

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• Documents cannot be paper copies, digital copies, or copies presented over a screen (e.g., Skype)
• California abstract birth certificates are not valid for List C documentation
• Per USCIS, a State-issued REAL ID is a list B document requiring a list C document for certification

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I-9 TRACKER COMPLETE

Online tool used to create and track campus I-9 forms. Benefits include:

• Integration with UCPath
• Employee information and effective date
• Tracks compliance of I-9 forms over time
• Allows employees to fill out Section 1 of the form before they arrive for their first day
• Allows a third party to validate documents remotely for Section 2 (if needed)
• Provides a single dashboard that shows all pending I-9 actions at a glance (Campus Payroll Office only)
• Provides ability to view and customize reporting on upcoming I-9 actions (Campus Payroll Office only)

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I-9 Tracker Workflow

Hire action finalized in UCPath

Start

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

I-9 Tracker Workflow

Hire action finalized in UCPath

Start

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

ServiceNow Tip!

When submitting a ServiceNow ticket for an employee with a pending hire template in UCPath, populate the employee name manually and indicate “TBD” in the employee ID field.

If you don’t have an ID from path yet enter “TBD” in the ticket.

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I-9 Tracker Workflow

Hire action finalized in UCPath

Start

Tracker receives information about Hire action from UCPath

Hire Information

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

Tracker generates a profile for the Employee

I-9 Tracker Workflow

Hire action finalized in UCPath

Start

Tracker receives information about Hire action from UCPath

Tracker generates a profile for the Employee

Completes I-9 Section 1 in Tracker using instructions from Tracker I-9 Complete

Tracker Account Information

Hire Information

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

I-9 Tracker Workflow

Hire action finalized in UCPath

Start

Tracker receives information about Hire action from UCPath

Tracker generates a profile for the Employee

Completes I-9 Section 1 in Tracker using instructions from Tracker I-9 Complete

Verifies documents and assists completing I-9 Section 2 in Tracker

Tracker Account Information

Hire Information

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

I-9 Tracker Workflow

Hire action finalized in UCPath

Start

Tracker receives information about Hire action from UCPath

Tracker generates a profile for the Employee

Completes I-9 Section 1 in Tracker using instructions from Tracker I-9 Complete

Verifies documents and assists completing I-9 Section 2 in Tracker

Tracker Account Information

Hire Information

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

I-9 Tracker Workflow

Hire action finalized in UCPath

Start

Tracker receives information about Hire action from UCPath

Tracker generates a profile for the Employee

Completes I-9 Section 1 in Tracker using instructions from Tracker I-9 Complete

Verifies documents and assists completing I-9 Section 2 in Tracker

Tracker Account Information

Hire Information

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

I-9 Tracker Workflow

Hire action finalized in UCPath

Start

Tracker receives information about Hire action from UCPath

Tracker generates a profile for the Employee

Completes I-9 Section 1 in Tracker using instructions from Tracker I-9 Complete

Verifies documents and assists completing I-9 Section 2 in Tracker

Receives I-9 verification information from Tracker

Tracker stores

I-9 documentation

Tracker Account Information

I-9 Completion Date

Hire Information

UCPath

Tracker I-9 Complete

BFS/Remote Site

I-9 Processor

Employee

BFS Hours For I-9 Verifications

8:30 – 11:00 AM

and

1:30 – 3:30 PM

Monday through Friday

�No appointment is necessary.

Common feedback from employees not showing up timely:

“I have to work during the time you are open.”

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Departments should give the employee time on their first day to walk over to BFS for their verification in order to do their part in ensuring I-9 documentation compliance

3/23/2022

Business & Financial Services Controller’s Office

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I-9 Contacts at UCSB

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Veronika Reidel (I-9 Payroll Analyst)

Veronika.Reidel@bfs.ucsb.edu

3/23/2022

Business & Financial Services Controller’s Office

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Questions & Answers

Question: If a student is working over weekends, then does the weekend count?

Answer: If an employee is scheduled to work on a Saturday or Sunday, these days of week count as a business day toward the 3 day time period for I9 completion

3/23/2022

Business & Financial Services Controller’s Office

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Questions & Answers

Question: Is tracker sending the I9 email to the email address in UC Path?

Answer: Tracker uses the “Home” address in UCPath. If this address is left blank in the initial UCPath template, the email will not go out. Submit a ServiceNow ticket to Payroll if you did not populate the “Home” address in the initial UCPath template.

3/23/2022

Business & Financial Services Controller’s Office

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Questions & Answers

Question: Are employees able to come in even if they haven't completed section 1?

Answer: Yes, the Payroll team will assist employees with completing Section 1 if they have not done so prior to arriving.

3/23/2022

Business & Financial Services Controller’s Office

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Questions & Answers

Question: When I go to the security clearance page in UCPath, it states that the I-9 is inactive?

Answer: Instructions on how to view the history of inactive and active security clearance entries can be found on page 4 of the Validating I-9 Compliance in UCPath job aid found here:

https://www.bfs.ucsb.edu/files/docs/payroll/UCPath-Job-Aid_Validating-I9-Completion.pdf

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Business & Financial Services Controller’s Office

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Questions & Answers

Question: How long does it take Tracker to update UCPath?

Answer: Tracker updates UCPath 4 times a day and overnight.  The security clearance in UCPath should reflect a new status no more than 2 hours after the employee has completed the I-9 process. If after reviewing the Security Clearance screen you are still unsure of the status, contact BFS and they can confirm if a completed I-9 is on file for the employee. 

3/23/2022

Business & Financial Services Controller’s Office

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Questions & Answers

Question: How do we know if an employees documents have expired (if we don't have access to them)?

Answer: You can view the documentation expiration dates in UCPath by going to  PeopleSoft > Workforce Administration > Personal Information > Citizenship and click the UC Work Authorization Tab.  BFS monitors expiration dates and sends a reminder to the employee that re-verification is needed. 

3/23/2022

Business & Financial Services Controller’s Office

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Question: Can a department request an off-site processor to come to a student mass hire and process I9 part 2's? For example: Have BFS come to all the students at once rather than have all the students go to BFS individually

Answer: BFS is the only authorized processor for Section 2 of the I-9. For mass hire campus locations, we have found that working with the department to schedule I9 processing in waves is most efficient. Please contact BFS for more information.

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The remote I9 Section 2 process is only for employees working for the university outside of Santa Barbara County.

Questions & Answers

3/23/2022

Business & Financial Services Controller’s Office

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Questions & Answers

Question: In the case that the department does not officially hire until the 2nd week of the quarter, even if start date is earlier, do you still have to give the list to Tracker

Answer: For many reasons, it is critical that employees are hired and onboarded in a timely fashion. Upcoming payroll deadlines and the UCPath Center processing times for template hire transactions need to be factored into the timing of an employee’s start date. Advance planning and rapid action after unexpected changes are critical.

3/23/2022

Business & Financial Services Controller’s Office

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Questions & Answers

Question: If the 3 days have passed, do we put them on a 'leave of absence' or terminate them?

Answer: If an employee is not compliant with I9 Section 1 and/or Section 2 the employee is to be terminated and work for the University discontinued.

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Once the I9 process is complete, the department can rehire the employee using a UCPath template effective date no less then the I9 completion date.  

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Business & Financial Services Controller’s Office

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WRAP UP

Thank You!

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Business & Financial Services Controller’s Office

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