The Importance of an Internal ISO 9 Audit Checklist

An internal audit checklist is an indispensable way of ensuring that your business complies with ISO standards, while simultaneously helping identify areas for potential improvement.

Employers must ensure their I-9 audits do not violate discrimination or retaliation laws, otherwise ICE could issue fines that add up quickly.

1. Audit Plan
An internal audit checklist is used to examine a company’s policies and procedures as well as identify areas for improvement within an organization. It entails inspecting documents and records, reviewing processes, speaking with employees and more.

Employers facing I-9 audits could face steep fines from Immigration and Customs Enforcement (ICE). Companies failing to correct I-9 errors and implement better policies and procedures risk being penalized hundreds of thousands of dollars for each employee who does not receive correct I-9 documentation.

To avoid fines, employers should create an effective process for communicating errors and corrections with employees. Employers should apologize for any mistakes committed by themselves or by employees and provide clear explanations as soon as possible for these missteps; for instance, if an employer accidentally marks “USCIS Number” instead of their employee’s USCIS number on Section 2 of Form I-9 they can explain that it was an honest error that has since been addressed by them.

2. Audit Strategy
Audit strategies provide a road map for how an audit will proceed. Depending on the company, audits may occur annually, quarterly, or even monthly.

Employers conducting I-9 audits will typically focus on Section 1 (employee information), though employers may also review Section 3 for reverification, rehires, and work authorization expiration dates if applicable. Employers should document any errors or omissions and take corrective actions as required.

Companies should avoid misusing I-9 audits as a tool to discriminate against employees, or they risk facing penalties by Immigration and Customs Enforcement (ICE), including heavy fines and possible criminal prosecution. Furthermore, the ICE can use data obtained during trials for harboring undocumented immigrants to trigger I-9 audits.

3. Audit Schedule
When conducting an internal audit, the first step should be establishing a schedule for subsequent reviews. Some organizations conduct them quarterly while others prefer performing them monthly – it’s essential that you know when it is best for you and set benchmarks accordingly to reach desired results.

After scheduling, the next step in conducting an audit will be deciding the type of audit necessary. If your goal is to improve processes in preparation for ISO 9001 certification, for example, then process improvements or corrective action & preventive actions may need to be prioritized as part of an effective plan.

If you want to avoid technical or substantive violations during an I-9 audit, WorkBright provides a solution to verify Section 2 documents remotely – this method is both compliant and compromise free.

4. Audit Budget
State Agencies should consider more than the items discussed in this CPRM when making their decision to establish or not establish an internal audit function. Key considerations include compliance with federal requirements, risk mitigation strategies and the need for independent, objective assurance activities.

No matter if a State Agency already has an internal audit function established or not, they should periodically assess whether such a function would be useful; particularly when organizational, operating, fiscal, program, legal and personnel changes occur that could change its initial assessment. All evaluations should be documented and submitted for DOB review and approval.

Employers should ensure all errors identified during an I-9 audit are corrected promptly and maintain a log of corrections for inclusion in their audit file.

5. Audit Resources
Third party verification vendors offer another solution for companies: They specialize in helping identify technical errors and correct them in compliance. They can also offer remote employees a way to review Section 2 documents that is permanent compliant without compromise from video or satellite office and allows full accountability.

Data submitted to Homeland Security can also trigger audits. With analytics software, the government can review this information and detect patterns of violations across industries, regions and individual companies – potentially prompting an ICE or OSC investigation if necessary. Employers should take extra caution when handling this type of data so as to strike a balance between proactive efforts and conduct that could be perceived as discriminatory; by following these tips your company can prepare itself for an internal I-9 audit to avoid costly consequences or fines.