Form I-9 Historical Conversion Client Reference Guide v6.13

Paper Form I-9 Record Requirements

Client is responsible for ensuring that all documents sent for scanning meet Tracker’s Form I-9 Record Requirements. Original Form I-9s of high quality Form I-9 copies are required to ensure good quality scans.

General Form I-9 Preparation Requirements

• Form I-9s must be on plain white paper.
• Form I-9s must be on 8½ x 11 inch paper.
• Form I-9s must be legible.
• Form I-9s must be full sized copies, i.e. the I-9 must encompass the entire 8 ½ x 11 inch paper, including margins.
• Form I-9s must be organized right side up.
• All records in a box should be wrapped in a plastic sheet encompassing all the records or in bundles approximately a foot wide to prevent water damage and document shifting during transit.
• Only Tracker-supported Form I-9 versions, as described below, are provided.
• If the Form I-9 is on a 2-page version (revisions 03/08/2013, 11/14/2016, 07/17/2017 or 10/21/2019), then the first Form I-9 found in the employee record must have the two pages of the Form I-9 ordered consecutively with the page containing section 1 first and the page containing sections 2 & 3 second. The Form must also be on separate pages; backsides of a single page will not be scanned.
• The first Form I-9s two pages should also belong to the same employee for the same Form I-9. Some employees may have multiple Form I-9s, therefore ensuring the 2 pages are for the same Form I-9 will help ensure Form I-9 data is not mismatched when being converted. Form I-9s must not have sticky notes or other items that interfere with printed or written text.
• Complete the Form I-9 In-Box Worksheet for each box of Form I-9 records.
• Each Form I-9 and its accompanying documentation must be separated by a Tracker-provided bar code.

Examples of not meeting these requirements include, but are not limited to, documents that require sorting, unfolding, rotating, and/or removal of sheet protectors per Form I-9.

Organizing Form

• Records must NOT contain any pages with staples or paper clips.
• The Form I-9 and supporting documents must be single-sided and on 8½ x 11 inch paper (backsides will not be scanned).
• All employee records containing single page I-9s, multiple page I-9s, multiple I-9s or employee records with additional supporting documents must be separated by a single sheet of white paper with a Tracker-provided barcode.
• The most recent Form I-9 must appear first in each employee’s record set.

I-9 Employer and Worksite Mapping

Once the paper Form I-9s have been converted into an electronic format, the I-9 Resolve application will need to associate each Form I-9 record to a location found in a client’s environment and create an employee profile for each Form I-9.

Clients can use the metadata worksheet described below to identify and map converted Form I-9 records to the corresponding Employer and Worksites found in their environments. If an employer or worksite is not identified in the metadata worksheet, , the record can be placed in an existing default location of the Client’s choosing, or a new location can be created to act as the default. Please keep in mind that in the event of an I.C.E. audit, they typically request I-9s associated with a worksite, so it is advisable to associate the I-9 with where the employee is currently active or was last active.

Form I-9 Shipping & Handling

General Electronic File Requirements

All electronic Form I-9 scanned image files must meet the following requirements:

• Files must be provided in PDF format only.
• To reduce file size, it is recommended that file images be scanned as black and white – see figure 1 in Appendix A.
• Scanned documents must be legible. We suggest a 200 DPI setting - see Figure 1 in Appendix A.
• All files must be scanned full-sized at 100% - see Figure 2 & 3 in Appendix A.
• All Form I-9 images must be right side up.
• Supporting documentation may be included in a file, however a Form I-9 image must appear first in the file and the pdf file must not exceed 9.8MB - see Figure 4 in Appendix A.
• When there are multiple Form I-9s for an employee, the most recent Form I-9 must be first in the set. Data will only be entered from the first Form I-9 - see Figure 4 in Appendix A.
• If the Form I-9 is either the 2-page 03/08/2013, the 11/14/2016, the 07/17/2017 or the 10/21/2019 revision, then the first Form I-9 found in the image file must contain the two pages of the Form I-9, ordered consecutively with the page containing section 1 first and the page containing sections 2 & 3 second.
• The first two pages should also belong to the same employee for the same Form I-9.
• Some employees may have multiple Form I-9s, therefore ensuring the 2 pages are for the same Form I-9 will help ensure Form I-9 data is not mismatched when being converted.
• If the Form I-9 is the 11/14/2016, 07/17/2017 or 10/21/2019 Revisions, and they contain the additional supplemental preparer/translator page, it should be placed between the first page containing Section 1 and the page containing Section 2 & 3.
• For employee records that contain multiple Form I-9s, Tracker will indicate on the output file that there were multiple I-9s found for an employee record. This information can then be used to track additional Section 3's.

Organizing Form I-9s

Organizing documents within pdf files is important in ensuring accurate conversion and reporting of Form I-9s. Only Form I-9s and supporting documentation should be included in the employee record to ensure file sizes are under the 9.8MB application attachment limit. For all scanned pdf files, the most recent Form I-9 must appear first in the record set.

PDF File Naming Requirements

The PDF file name must meet the following requirements.

• Each image file MUST have its own unique file name, i.e. no duplicates, across the entire population of pdf files delivered. If duplicates are found, Client will need to rename the file.
• The unique PDF file name will be used throughout the conversion process and will be saved to the Tracker system as the Import I9 ID.
• For security purposes, the file name cannot include the full SSN.
• The file name cannot exceed 100 characters (not including file extension).
• Image file name must be alphanumeric. The following special characters are not allowed: !, #, $, %, &, |, \, /, ~.
• Image file name can only contain letters, numbers, hyphens, underscores, curly braces, and parentheses (Aa-Zz, 0-9, -, _, {}, ()).
• Recommended naming convention:
• Last Name + First Name + Last 4 of SSN
• LastNameFirstNameLast4SSN = smithjohn1234

I-9 Employer and Worksite Mapping

All Employee Profiles in Tracker must have an Employer and Worksite value. These values are essential for reporting and security permissions.

Once scanned Form I-9 images have been converted into an electronic format, the I-9 Resolve application will need to associate each Form I-9 record to a location found in a Client’s environment.

Clients have two options to identify and map converted Form I-9 records to the corresponding Employer and Worksites found in their environments. For all options, if an employer or worksite is missing or does not match any found in the environment, the record can be placed in an existing default location of the Client’s choosing, or a new location can be created to act as the default.

When a Client’s Employers and Worksites are created, a unique ID is assigned to each Employer and Worksite, known as the Internal Employer ID and the Internal Worksite ID. The application uses the Internal Employer ID and Internal Worksite ID to determine which employers and worksites a Form I-9 is associated with. Most of the options described below will need these unique ID’s, which can be found in the Client Admin view of the Tracker application.

A list of all employers and worksites for a Clients environment can be exported within the Client Admin view by logging in and clicking on the, “Export Employer and Worksite List to Excel” link located in the Employer List View. (See Below).

The generated Excel file list will have among other fields, the Internal Employer ID, the Employer Name, the Internal Worksite ID, and the Worksite Name.

File Transmission Requirements

The transmission of electronic Form I-9 record files must meet the following requirements:

• Delivery of all electronic files shall be securely transmitted via FTP (Tracker’s FTP service is available. Alternatively, Client can deliver files using Client’s preferred FTP service).
• Each batch must be compressed and encrypted using the AES-256 standard before delivery. Compressing files using programs such as winzip or 7zip meet this encryption criteria. File passwords must be provided to your designated Tracker Project Manager.
• Each compressed file must have a unique filename.
• Each batch of electronic image files must have a corresponding control file.
• Each compressed batch file must not exceed 10GB.

Control File Specifications

Client can optionally provide Tracker with a corresponding control file for each batch of scanned Form I- 9s sent. The control file is used to reconcile what Client intends to send to Tracker against what is actually delivered. In the unlikely event of an issue with a FTP file transmission, the transmission failure is frequently detected by the FTP service, but a control file provides another level of transmission validation. The following fields must be contained within the control file:

• Pdf filename
• Employee’s Last Name
• Employee’s First Name
• Batch ID
• File path

Data Entry, Scanning, Import, and Review

This section outlines expectations as it pertains to the data entry and review process for all converted data.

• In connection with document imaging and data collection activities, Tracker will use commercially reasonable efforts to correctly identify and categorize Form I-9 (including Historical Form I-9s) supporting documentation but Tracker shall not be responsible for categorization errors due to omission, or poorly formed, illegible, or ambiguous words or characters.
• The Tracker application relies upon the following Form I-9 fields to determine tasks, when these tasks are due, and when certain actions can be performed for record, therefore omission of any of these fields in the original document provided to Tracker can impact accurate notifications:
  • Section 1 Employment Status – Must be present to prevent new Section 3 from having work authorization document data. Work authorization document data should not be entered for U.S. Citizens, Non-citizen Nationals, most Legal Permanent Residents and some Foreign Nationals.
  • Section 2 Start Date – Required to determine the most accurate Purge eligible date. Migrated Form I-9 records without a Section 2 Start Date will be purge eligible 3 years after the date saved to the Termination Date field on the Summary Tab.
  • Section 2 Signature Date – Required for Section 3 Rehires. Section 3 will not be available for processing rehires when a migrated Form I-9 record does not have a Section 2 Signature Date. Client can always create a new Form I-9 for processing rehires.
  • Section 2 /Section 3 Document ID – Required for determining Reverification tasks. A migrated Form I-9 that does not include a Document ID will not track Reverification tasks. Document ID's are Tracker specific codes associated with the list of acceptable documents for every revision of the I-9. The document ID's will be determined based on the document title during the conversion process. In some cases, if the document title is unclear or not present, the associated Document ID cannot be identified and therefore cannot be tracked for reverification. Clients are given the opportunity to identify the Document ID within the application once it is imported if Client so chooses.
  • Section 2 or Section 3 Document Expiration Date – Required for accurately tracking Reverification task due dates. A migrated Form I-9 that has a Document ID for a document type that requires reverification (e.g. Employment Authorization Document – Form I-766) but does not have a document expiration date will set the Reverification Due date to the date the migrated Form I-9 was imported into the system.
• Please note the limitations above if one or more of the listed Form I-9 fields is not captured as part of the conversion because the field value is not present, illegible, or not within the scope of the conversion service.
• In instances where there are omissions, significant ambiguities or other areas where the operator is unable to correctly categorize supporting documentation, Tracker will endeavor to flag the data record in question for Client follow-up.
• Tracker will perform data entry on Form I-9 fields only. Any notes or writing not in a Form I-9 field will not be keyed. Tracker will also not reference any other documentation other than the I- 9 to determine I-9 values. For example, Tracker will not look at the scanned driver's license to determine what is written in the name field of Section 1. What is keyed will be based solely on what can be discerned from the name field on the I-9.
• Only English Forms will be keyed, if not written in English, some fields may be flagged with an error if translation is needed. Special characters, including accent marks will not be keyed.
• All data will be keyed exactly as it appears on the Form I-9, in certain cases if the keyed data does not conform exactly as the Form I-9 requests, the data may be flagged as an error.
• Corrections will be keyed as indicated; however, indecipherable or ambiguous corrections will be flagged for follow-up.
• All records undergoing paper conversion will be scanned into a .PDF file, each having a resolution of not less than 200 dots per inch (DPI).
• Each employee record set will be scanned into a single pdf image file. No backside of any form or supporting documents will be scanned. Employee record sets with multiple Form I-9s or those with supporting documents will also be scanned into a single pdf file if grouped together.
• For all employee records undergoing conversion, only records containing official Form I-9s released by USCIS, will be uploaded to the Tracker Platform. Official revisions of the Form I-9 at the time of this writing are as follows:
  • 10/21/2019
  • 07/17/2017 N
  • 11/14/2016 N
  • 03/08/2013 N
  • 08/07/2009 Y
  • 02/02/2009 N
  • 06/05/2007 N
  • 05/31/2005 Y
  • 11/21/1991 N
  • 05/07/1987
• USCIS has indicated additional revisions of the Form I-9 which were not previously specified on their website, however since they do not have official copies of these forms and their associated instructions available to the public, Tracker cannot determine what requirements relate to these I-9s. Until an official version of these forms are made available, along with their associated instructions and M-274, Tracker cannot support the conversion and import of these records at this time.
  • 06/27/2010 Y (Form I-9 CNMI)
  • 11/12/2009 (Form I-9 CNMI)
  • 06/16/2008 N** (Mistakenly released on June 16, 2008, and removed on June 26, 2008)
  • 03/26/2007 N
  • 05/21/1990
  • 03/20/1987
• Once records are loaded into the Tracker platform, Client can perform all actions detailed in the Tracker I-9 User Manual. Permissions will vary depending on User roles and security groupings as determined by Client’s system administrator.
• Conversion accuracy can be affected by the quality of copies provided to Tracker. In cases where the scan or paper copied delivered to Tracker is completely illegible, the I-9 will be uploaded but processing fees will still apply.
• Notifications for reverifications will not be provided by Tracker prior to the loading of records into the Tracker application, Client will be responsible for tracking reverification timelines for their employees.

Remaining Employees without a Form I-9 in Tracker

After the conversion of Form I-9s is complete and loaded into the Tracker application, Clients may find a delta between all employees in their other system of record and the number of employees in Tracker with a Form I-9.

This can happen for a number of a reasons, including but not limited to the following:

• Lost, or misplaced Form I-9 in Client storage facilities.
• Discarding of purge eligible Form I-9s for terminated employees.
• No Form I-9 ever having been created.
• The employee was hired on before 11/07/1986 (the earliest date the Form I-9 was allowed for use), thereby excluding the employee from needing a Form I-9.
• The employee record provided to Tracker did not contain a Form I-9.

For these remaining records, Clients can continue to try and locate the Form I-9, or create a new one for all active employees. Clients can create new I-9s in one of three ways:

1. Manually through Tracker’s I-9 Complete UI.
2. Batch created by Clients using the Tracker API (additional licensing fees apply).
3. Batch created by Tracker (additional fees apply).

General Limitations

All Client hard copy Form I-9s and electronic records created using the Service ("Client Data") shall remain the property of Client. Tracker shall not use, copy or disclose Client Data except to the extent required in connection with the operation and maintenance of the Service. Client shall have sole responsibility for the accuracy, quality, integrity, reliability and use of the Client Data and any intellectual property ownership or other rights to the Client Data. Tracker shall not be responsible for Client deletion, correction, destruction, damage, loss or failure to store Client Data.

Client acknowledges that the Service does not audit Client's records with the DHS, ICE, USCIS or other employment verification requirements but rather helps Client convert Form I-9s to electronic format. If Client chooses to license I-9 Resolve, Client acknowledges that these services act as a self-audit and are not to be construed as an audit by the government agencies mentioned above. Tracker shall not be liable for Client's failure to comply with employment verification or other similar Form I-9 requirements or for any audit of Client records, including any failure of Client to obtain proper employment verification documentation.

Client acknowledges that Service information provided by Tracker in connection with the Conversion or I-9 Resolve product is not intended to be, and shall not be construed as, legal advice or a legal opinion. Client shall be solely responsible for complying with all other laws, rules and regulations promulgated by DHS, ICE or USCIS regarding the completion of Form I-9s, including by way of example and not limitation, timely completion of Form I-9s, posting notices of its participation in E-Verify and anti-discrimination provisions.

Metadata File Specifications

As mentioned previously, the metadata request list will be given to Clients to provide Tracker with basic information to create an employee profile and to associate it with a specified employer/worksite. In addition to the basic required information listed, some additional optional fields are listed which help to further identify records and also act to organize records which contain multiple I-9s. For Client's using I- 9 Resolve, some optional fields are also listed, which if provided are leveraged to flag more errors and perform additional auto-remediation. Although some fields are optional, Tracker highly recommends providing as much information as possible to take advantage of the full potential of the application, as it makes your data more accurate and complete.

The table below outlines the metadata that will be required by Tracker, as well as optional fields Clients may want to provide.

Data Field Benefits

The table below provides a list of the optional data fields and the corresponding benefits they may provide in regard to a Form I-9 record.

Resolution of Errors

Errors requiring metadata to resolve will be corrected based on data provided by the Client. Tracker is not responsible for inaccurate error resolutions due to inaccurate or incomplete metadata. Tracker’s I-9 Resolve application will flag errors based on a conservative interpretation of USCIS, DHS, and ICE policy.

Acceptance & Agreement

Client Representative Signature

Client Representative – Printed Name Date

Scan and Email the signed Acceptance & Agreement signature page to your Implementation Project Manager or Fax to: 415-808-8801