compliance – Page 3

February 26, 2020July 24, 2024

Immigration update: Employers must use a new I-9 form for 2020

The federal government recently released an updated Form I-9, and although employers aren’t required to use the new version until May 1, 2020, best practices dictate that they should start using it immediately. The Form I-9 verifies the identity of new hires and ensures they are authorized to work in the United States, and it is the first update from the United States Citizenship and Immigration Services in a few years.

With this recent announcement, employers should take immediate steps to ensure compliance with the new form — or risk financial penalties.

Minor, but important changes

There has only been a subtle change to the form itself. Specifically, USCIS revised the Country of Issuance field in Section 1 and the Issuing Authority field (when selecting a foreign passport) in Section 2 to add Eswatini and Macedonia, North, because those countries recently announced name changes.

This change is visible only when completing the fillable Form I-9 on a computer. The paper version of the new I-9 will look identical to the current version dated July 17, 2017.

However, changes to the form’s instructions are more substantive:

Updated website addresses and other contact information: The instructions no longer contain contact information for the Immigrant and Employee Rights Section of the Department of Justice.
Clarification as to who can act as an authorized representative on behalf of an employer: The instructions make clear that employers can designate “any person” to complete and sign Section 2 of the I-9 on the employer’s behalf. The instructions also make clear that the employer, not the authorized representative, is liable for any violations committed in connection with the I-9. The lesson here is that while you may choose anyone to serve as an authorized representative, choose carefully and make sure they understand how to correctly fill out Section 2.
Instruction that employers who enter information in Section 2, List A should not enter N/A in Lists B and C (and vice versa).
Updates on the process for requesting paper Form I-9s (as an alternative to printing them from the USCIS website) and an updated Department of Homeland Security Privacy Notice.

Begin using new form immediately

Although employers can continue using the previous Form I-9 through April 30, 2020, it makes sense to scrap the use of the July 17, 2017 version and begin using the updated version right away. Employers should recycle all older blank versions they already have printed and instruct their hiring managers and human resources representatives to download the new Form I-9 for use with new hires going forward.

On May 1, 2020, all employers will be required to use the revised form, so they should avoid any delay and begin using the new version immediately. It’s important to remember, however, that they should not require current employees to fill out the new I-9 form. Rather, they should use the new Form I-9 only for new hires moving forward.

Also read: 3 ways HR leaders can stay ahead of changing immigration policies

Non-compliance can be costly

Although the changes to the Form I-9 and its instructions are slight, failure to use the new form and comply by the May 1 deadline can result in large fines. I-9 audits have increased threefold in recent years (from 1,360 to 5,981 per year), while worksite investigations have increased even more dramatically (from 1,691 to 6,848 per year).

Potential fines are also increasing — paperwork violation fines can now range between $230 to $2,292 per employee. Civil penalties for knowingly hiring or employing unauthorized workers currently range from $573 to $4,586 per employee for the first violation. Second- and third-violation civil penalties can range between $4,586 up to $22,972 per employee. Arrests and criminal convictions for knowingly hiring or employing unauthorized workers are on the rise as well.

Conclusion

It is unlikely that the Trump administration will slow down DHS’s employer-driven immigration compliance mechanisms. Based upon recent actions from the administration to increase enforcement and hire more ICE agents, along with statistics demonstrating significant increases in I-9 audits and worksite investigations, it is increasingly likely you could face enforcement actions in the form of ICE audits, workplace raids and employee detention. Accordingly, now is the time to review your I-9s and your compliance policies to minimize exposure should the government show up on your doorstep demanding to see your I-9s.

Also read: Do you know what to do if ICE shows up at your business?

December 18, 2018June 29, 2023

Key Elements of Complying With State Sexual Harassment Prevention Requirements

Sexual harassment has been a constant topic of discussion in the media, in the workplace and around dinner tables since the rise of the #MeToo movement in late-2017. Employers and employees alike have questioned what this societal shift means for their workplace interactions and responsibilities.

Though the issue remains at the forefront of the news cycle, many alleged sexual harassment incidents aren’t widely known or reported. State legislators are working to change that. More than 30 jurisdictions have introduced more than 100 pieces of legislation in 2018 toward sexual harassment prevention.

One of the first goals of these state mandated sexual harassment prevention policies is general education, making sure everyone is aware that sexual harassment is prohibited and to provide a definition of what it may include. Sexual harassment is a broad but very fact-specific form of discrimination that can include:

Unwanted verbal or physical sexual advances.
Sexually explicit statements.
Sexually oriented gestures, noises, remarks, jokes or comments.
Remarks the recipient feels are offensive or objectionable.
Sexual or discriminatory displays/publications anywhere in the workplace.
Other harassing or hostile conduct that’s directed at recipients because of their sex.

All of the above may be considered examples of sexual harassment. Offering such examples is a significant item in the list of minimum standards New York is requiring of all anti-sexual harassment policies. Policies must also outline federal and state statutory provisions, and include remedies available to victims, procedures for a timely investigation and a complaint form for employees.

Also read: #MeToo — Movement or Moment?

It’s important to note that sexual harassment can be overt (such as inappropriate touching, unwanted sexual advances or telling of crude jokes) or subtle (including interfering with an individual’s ability to perform their job because of their gender). An employee can be sexually harassed by a supervisor, subordinate, employee, intern, independent contractor, temporary or contract worker, vendor, client, visitor or customer.

Another key principle of much of the anti-sexual harassment legislation introduced this year is training. In New York, for example, all employers must provide annual interactive sexual harassment prevention training for every one of their employees working in the state — including part-time, seasonal and temporary employees. The initial training must be completed by October 9, 2019. The training must be interactive, should be provided in the language the employee speaks, and — according to the guidance — must include the following components:

An explanation of sexual harassment consistent with guidance issued by the Department of Labor in consultation with the Division of Human Rights.
Examples of conduct that would constitute unlawful sexual harassment.
The federal and state statutory provisions concerning sexual harassment and remedies available to victims of sexual harassment.
Employees’ rights of redress and all available forums for adjudicating complaints.
Addressing conduct by supervisors and any additional responsibilities for such supervisors (note that all employees must be trained on this content, not just supervisors).

Though compliance with the new policy and training requirements for sexual harassment prevention can seem daunting, the New York State Department of Labor in consultation with the New York State Division of Human Rights has provided model materials that employers and HR managers can use to comply with the requirements in the state. The potential costs of a sexual harassment complaint against a business can be steep, so it’s in everyone’s best interest to be compliant with sexual harassment prevention training requirements. The typical harassment claim can take nearly 318 days to be settled, according to the 2017 “Hiscox Guide to Employee Lawsuits,” and some estimates place the average legal costs to defend and settle a claim to be upward of $160,000. Not to mention the irreparable damage a sexual harassment claim can have on your company’s reputation and the morale and productivity of the workplace.

Also read: Addressing #MeToo in the Workplace and HR’s Response

In addition to model materials and other guidance that may be provided by enforcing agencies to help employers meet the state’s unique requirements, businesses can also turn to an HR services provider to help them comply with new or existing provisions. State-specific requirements can be both comprehensive and complex. Even the most seasoned HR professional will likely have questions around the specific components of their state-mandated notice, policy and education programs. A reputable HR services provider will have a team of compliance experts on staff to help businesses ensure their policies and practices align with the requirements of their particular state (or states if they operate in multiple locations).

No matter where your organization does business, part of your HR role is to adopt and implement policies and procedures to prevent and address sexual harassment in the workplace. More importantly, promoting an inclusive culture of respect and free from sexual harassment can be essential in maintaining an engaged and productive workforce and even attracting the right talent to the organization.

This content is for educational purposes only, is not intended to provide specific legal advice, and should not be used as a substitute for the legal advice of a qualified attorney in your state. The information in this article may not reflect the most current legal developments, may be changed without notice and is not guaranteed to be complete, correct or up to date.

August 15, 2016July 25, 2018

Before the Whistle Blows: Creating a Speak-up Culture at Work

We’d all like to believe that the companies we work for are on the up-and-up. That from the top of the organizational chart to the bottom, everyone is on the same page when it comes to honest business practices and integrity.

The reality is that all organizations suffer lapses in ethics and compliance at times. Strengthening a company’s ethics program — and making it central to business strategy — won’t eliminate such lapses, but research shows it can reduce misconduct “by as much as 66 percent in organizations with effective programs,” according to the Ethics and Compliance Initiative, a report based on the findings of a panel of 24 thought-leaders including myself.

A key element of any effective ethics and compliance program involves promoting a “speak-up” culture that empowers employees to report suspected violations early.

Creating a “speak-up” culture puts a premium on ethical decision-making across the board with responsibility shared by all. But setting the tone and promoting that culture rests squarely on the shoulders of organizational leaders.

Their endorsement and modeling create an atmosphere of openness and trust that reassures employees who are understandably anxious about coming forward, whether out of fear of being let go or fear of being ostracized. Leaders who take employee concerns seriously and follow through send a strong message about integrity.

But as the ECI report highlights, there are several desirable and effective practices that broadly apply. They involve formal mechanisms as well as thoughtfulness and creativity.

Provide Multiple Methods for Reporting

One starting place for organizations is to make sure that managers and supervisors receive thorough training in how to respond to and guide employees who come forward. These sessions may also expand to include full team training with hypothetical scenarios or case studies. Simultaneously, the organization ensures that the ethics and compliance policy is clear on how violations are identified and acted upon. Employees must know what constitutes misconduct within the organization and at what point it should be reported. From there, employees need to know the methods available for speaking up.

A high quality ethics program will have multiple methods for reporting concerns. These may include talking confidentially with a supervisor, an ethics and compliance officer or a human resources representative. Use of a company “hotline” or reporting website can also go a long way toward encouraging employees who are more comfortable reporting anonymously. Global organizations should include translation services as needed and the ability to report day or night. Whatever the method, the program should make clear how the complaint will next be handled.

Treat All Reporters the Same

When an employee chooses to report face-to-face, the manager should focus on the investigation of the allegation, not the reporter, no matter how often they have come forward or the perceived seriousness (or lack thereof) of the allegation. This approach will underscore a commitment to addressing problems while at the same time sending a message about consistency and fair treatment for all employees.

Managers may also wish to acknowledge the employee’s courage as doing so may help ameliorate a natural sense of discomfort or fear. Most importantly, the manager must emphasize the organization’s policy of non-retaliation for coming forward. Protecting an employee from blowback from the start and at every step of the way as the investigation proceeds supports a team commitment to resolution by the manager and the reporter.

As the issue proceeds, the organization should check in with the reporter periodically to make sure they have not experienced any retaliation. Substantiated instances must be brought to the attention of senior management and, as appropriate, the board.

For employees who just want to report the initial finding and skip the check-in process, the company can monitor their career success over the long term to get a read on well-being and any possible retaliation.

Acknowledge the Outcome

When a case concludes, where possible the organization will want to close the loop by communicating directly with the reporter about the outcome. Managers should reiterate their gratitude and admiration for coming forward. But the moment also presents a golden opportunity to reinforce the speak-up culture across the board.

Organizations should consider sharing the results with all employees in a manner that does not include identifying details about the parties involved (such as an appropriately scrubbed employee newsletter entry). When the wrongdoing is very public, the organization should generally acknowledge the issues to all employees and the actions it took to rectify them.

Establishing a high quality ethics program with a strong speak-up culture requires thorough planning and commitment. It’s not a simple matter of checking off the one-size-fits-all boxes. Compliance is an ongoing process that requires frequent check-in and check-ups.

But it’s well worth it. Research shows that in organizations with effective ethics and compliance programs, reporting of wrongdoing to managers increased by 88 percent, according to the ECI Report. In the long run, promoting a speak-up culture not only helps to protect an organization from possible misconduct and reputational damage, but it also demonstrates the organization’s commitment to its employees.

Matthew Pachman is the chief risk and compliance officer at FTI Consulting. Comment below or email editors@workforce.com.