I-9 AND E-VERIFY VENDOR DUE DILIGENCE

Transcription

1 I-9 AND E-VERIFY VENDOR DUE DILIGENCE WHITE PAPER

2 I-9 and E-Verify Vendor Due Diligence Key questions to ask electronic I-9 vendors to ensure you are making the best choice for your business. 1. Vendor Capacity and Long Term Viability 1. How many total full-time employees are dedicated specifically to your I-9 & E-Verify software service? 2. Describe the tenure of the technical team assigned to develop and support the specific I-9 product line, including how long they have been involved in developing the application. 3. Please describe the approximate budget for research and development of your your I-9 and E-Verify solution. 4. Describe the internal resources deployed to ensure adequate changes are made to your product thereby ensuring clients remain in compliance with the latest legislation and regulations. 5. Will you indemnify us for mistakes made by your software? If so, what is the maximum allowable damages that would be payable under this clause? 6. How many implementations has your company handled in the last 12 months? 2. History of Specific Product Line 1. How long have you offered an electronic I-9 program (provide date of initial launch)? 2. What is the total number of direct clients using your specific I-9 & E-Verify Service? (By direct clients we mean those who have gone through an extensive RFP process and have chosen your solution rather than through a reseller relationship) 3. How many total I-9s were created in your system during the last calendar year? 4. Is your company a Web Services E-Verify Employer Agent? If yes, please indicate when you first enrolled as an agent and approximately how many employers are enrolled as clients under your E-Verify agent umbrella.

3 3. Solution Design 1. How often do you release upgrades (both mandatory and client-driven)? 2. How do you determine your customers future product needs and expectations and translate them into product specifications? 3. What is the process for evaluating, approving, and implementing changes to the solution? 4. Which external legal I-9 & E-Verify experts are providing guidance to ensure your solution is in compliance? Please indicate whether or not these experts were paid for their evaluation service. 5. Should service be terminated, describe in detail the process and how our data will be returned? Is there a cost associated with this data export? 4. Employee Workflow Requirements 1. Can your product be integrated with human resources systems, applicant tracking systems, and other applications? If yes, please describe how this can be accomplished. 2. Describe the various options for initiating an electronic I-9 in your solution for a newly hired employee. In doing so, please provide a high-level overview of one or more typical workflows. 3. Does your solution enable a new hire to complete and sign section 1 of the I-9 before the employee starts work for pay? 4. Can your system pre-populate section 1 of an electronic I-9 from an HRIS/ ATS system data feed? If not, describe best practices on how to ensure the employee completes section 1 in an efficient manner. 5. If information is not pre-populated, can your system check that employee data provided from an HRIS/ATS data feed matches what is entered by the employee in section 1 of the I-9? If yes, please describe how the system alerts the user of the discrepancy and enables a resolution. 6. Have you added additional elements to your section 1 Form I-9 interface, which are not present on the paper form? If yes, please describe these changes. 7. Does your solution enable both remote and in-person completion of section 1? If yes, describe how the process differs between these two options. 8. Can your solution facilitate mass hiring events where many employees need to complete section 1 at the same time and location? If yes, please provide details. 9. Does your solution enable the completion of electronic I-9s for remote employees who are unable to visit an employer location? 10. Does your solution offer a predefined network of agents who are trained in completing section 2 of an I-9 for remotely hired employees? If yes, describe the network in detail.

4 Does your solution enable a remote employee to find his/her own agent for purposes of completing section 2? If yes, please describe this process in detail. If a current employee changes locations within our company or division, how does your system manage this internal movement? Is a new I-9 required? 5. Verifier Workflow Requirements 1. Describe how an I-9 verifier (e.g., HR, hiring manager, etc.) can access and complete section 2 in your solution. Include a brief description of the various interfaces offered and whether these can vary based on the type of verifier. 2. Does your solution pre-populate information into section 2? If yes, please describe the information which is automatically entered for the verifier. 3. Does your system restrict the list of acceptable documents in section 2 based on the attestation in section 1? If not, describe how you prevent the selection of a document which is inconsistent with the employee s attestation. 4. Describe how your solution enables the uploading of supporting document copies including from a mobile device. 5. Does your solution enable us to define whether or not copies of supporting documents should be retained? If yes, please describe the available options. 6. Does the solution offer tips and guidance for recording I-9 documentation, including sample images and markups which highlight where to find document numbers, issuing authorities, and expiration dates? If yes, describe how these materials were prepared. 7. Do you have any existing integrations with multi-function printers which would enable us to directly scan/upload supporting documents to your system? If yes, please describe. 8. Does your solution enable verifiers to escalate I-9 issues or questions internally to our organization or externally to outside counsel? If yes, please describe how this functionality works.

5 6. I-9 Management Requirements 1. Does your solution enable centralized HR to review and approve I-9s created by verifiers in order to ensure accuracy and consistency? If yes, describe how centralized HR is notified of I-9s needing review. 2. Does your solution allow us to control who submits I-9s to E-Verify, as required? 3. Describe your reporting options (i.e. on-demand reports linking to employee and I-9 records and highlevel reports to chart overall progress)? Who can generate reports and how are they viewed? Which fields can be included in the reports? 4. Outside of reporting, can your system enable us to see our employee s I-9(s), E-Verify cases, and attached documents from one central screen? 5. Outside of reporting, can your system enable us to search for I-9s or employees based upon responsible I-9 verifier, type of I-9 (electronic or historical) and date of completion? 6. Do you have different levels of privileges and administrative rights (e.g. for front-line HR employees vs. managers)? If so is there an additional cost for such access? 7. Does your system provide a standardized notification system ( tickler ) for various I-9 and E-Verify deadlines? If yes, describe the overall functionality including whether or not each tickler can be customized with our own language. 8. Does your system enable ticklers to be sent to specific groups of employees? Please describe. 9. Does your system enable ticklers to be sent at a predefined time of the day? Please describe. 10. Does your system enable ticklers to be sent to company representatives who are not users of the system? Please describe. 11. Does your system enable registering multiple E-Verify MOUs under one account? If yes, can a single user login and manage all of the entities from one screen?

6 7. Compliance with Form I-9 and E-Verify rules 1. Describe how your software prevents new hires and employer representatives from making errors on an electronic I Describe the error validation rules (if any) associated with the social security number, alien registration number, and I-94 number fields. Be specific as to how your system prevents common mistakes. 3. Does your system prevent the creation of duplicate I-9 records for specific employees? If yes, please provide details. 4. Does your system enable us to maintain a partially completed I-9 record (e.g., employee completes section 1 and is terminated 2 days later after being unable to produce acceptable documents)? If yes, describe how we could later rehire the employee and complete a new I-9 once the documents are received. 5. Does your system enable us to record a receipt for a lost, stolen, or damaged document? If yes, please provide details including any reminder notifications which may be received. 6. Does your solution automatically submit I-9s with receipts to E-Verify? 7. Describe the process in your solution for reverifying an I-9 which indicates expiring work authorization. 8. Does your solution enable the electronic completion and storage of E-Verify-generated notices and letters? If yes, please describe. 9. How does your solution manage situations when the E-Verify system maintained by DHS is down or unavailable? 10. Does your system enable us to update an electronic I-9 with corrected information based on a response from E-Verify? If yes, describe the process for updating the electronic I-9, including any automated prompts which facilitate completion. 11. Describe how your solution documents the period of interim work authorization in the following situations: a. Employee in H-1B status with a prior employer begins work for us based on the H-1B portability provision b. We file an extension of stay for a nonimmigrant employee where the law permits an automatic 240 days of work authorization c. Current employee in F-1/OPT status applies for a 24-month STEM extension (but has yet to receive the EAD) d. Current employee in temporary protected status receives an automatic extension of work authorization based on a federal register notice

7 8. Migration and Remediation of Historical I-9s 1. Does your solution enable the migration of historical I-9s (in a paper or electronic format), along with supporting documents, E-Verify results, and audit logs? If yes, describe this process in detail, including the related professional services offered by your company. 2. Provide an approximate number of data migration projects completed by your organization, including the total number of I-9s which have been migrated into your solution. 3. Have you migrated electronic I-9 data from another vendor solution? If yes, please provide details including any special considerations. 4. Does your solution identify errors on the historical I-9s? If yes, please describe how the errors are detected and the specific Form I-9 versions supported (including date and validity periods) 5. Does your solution enable us to correct mistakes on historical I-9s? If yes, please describe this process in detail and include information on how these corrections satisfy DHS compliance rules. 6. Do you offer any automated services relating to the remediation of historical I-9s? If yes, please describe how the automation works and any additional assistance you can provide. 7. Do you offer best practices regarding how certain I-9 errors or omissions may be corrected? If yes, please provide an example that you would typically communicate to an employer beginning a self-audit process. 8. Does your solution enable our outside legal counsel to review historical I-9s? If yes, describe how your organization typically interacts with counsel and facilitates review through the solution. 9. How long have you been offering data migration services? Please provide earliest referenceable account who used this service. 10. Does your solution enable us to submit the I-9s of existing employees to E-Verify under a qualifying federal contract (FAR)? If yes, please describe the process for determining which I-9 records are E-Verify-ready and gathering additional information or making corrections as required.

8 9. Electronic I-9 Regulatory Compliance 1. Describe the processes and controls in your solution which ensure the integrity, accuracy and reliability of our electronic I-9 records. 2. How does the solution prevent and detect the unauthorized or accidental creation of, addition to, alteration of, deletion of, or deterioration of an electronically completed or stored Form I-9 records, including the electronic signature if used? 3. Describe your inspection and quality assurance program relating to the storage of electronic I-9s. 4. Does your solution maintain a detailed index and retrieval system which would permit searching and reviewing I-9 records? If yes, please list the specific pieces of data which can be queried. 5. Describe your section 1 electronic signature process, including the specific actions the employee must take in order to complete the attestation. 6. Does your solution create and preserve a record verifying the identity of the employee producing the signature in situations where the I-9 was completed using the verifier s computer and login? If yes, please explain. 7. Describe your methodology for creating and maintaining audit trails as required under the regulations, including the specific data which is tracked and the various triggers for recording the information. 8. Can you provide redacted audit trails showing an I-9 record which has been created and signed in your system? If yes, please provide one sample from 2010 and one from Are automated changes to the I-9 made by your solution recorded in the audit trail? For example, this may include the insertion of data from other sources or pre-population of data fields. 10. Do you maintain audit trails for other areas of your solution which would enable us to track changes relating to Form I-9 assignment, E-Verify submissions, and reminders? If yes, please describe the extent of these audit trails. 11. Does your solution enable the purging (i.e., deleting) of I-9s which have exceeded the Form I-9 retention period? If yes, please describe the logic for identifying these I-9 records and how a user may initiate purging.

9 10. Ongoing Training and Support 1. How does your company provide ongoing training, customer support, and technical support? Please include the size of your customer support team and any relevant performance metrics. 2. Do you notify clients of new enhancements and bug fixes within your system interface? If yes, please describe. 3. Do you offer free webinars on I-9 and E-Verify compliance which do not involve a demo of your software? If yes, please provide the number of webinars held during the past 2 years, names of participating speakers, and average number of attendees. 4. Describe additional services, resources and support your company provides for which we have not requested information. 11. Audit Response 1. Do you provide clients (and their counsel) with assistance in the event of a Notice of Inspection? If yes, please describe the process in detail and indicate how much this service costs (including rush fees). 2. Have you assisted clients with a web-based or in-person demonstration of the solution before government inspectors? If yes, please provide a brief summary of this interaction and lessons learned. 3. Have you assisted clients in responding to an E-Verify Monitoring and Compliance Desk Review or onsite visit? If yes, please provide a brief summary. 4. Describe any unusual audit requests that you have received during the past 3 years and how you worked with your clients to satisfy the request. 5. Does your system enable the export of I-9 audit trails in Excel? Want to learn more about our products, pricing or have a live demonstration? Visit our website at http: /