33220 Federal Register / Vol. 63, No. 116 /Wednesday, June 17, 1998 / Proposed Rules

DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety

Administration

23 CFR Part 1331

[Docket No. NHTSA–98–3945]

RIN 2127–AG–91

State-Issued Driver’s Licenses and

Comparable Identification Documents

AGENCY: National Highway Traffic

Safety Administration (NHTSA), DOT.

ACTION: Notice of proposed rulemaking.

SUMMARY: This document proposes

regulations to implement the

requirements contained in section

656(b) of the Illegal Immigration Reform

and Immigrant Responsibility Act of

1996. Section 656(b) of the Act, entitled

State-Issued Driver’s Licenses and

Comparable Identification Documents,

provides that a Federal agency may only

accept as proof of identity a driver’s

license or identification document that

conforms to specific requirements, in

accordance with regulations issued by

the Secretary of Transportation. This

Notice of Proposed Rulemaking

proposes those regulations. The agency

requests comments on its proposal.

DATES: Comments must be received by

August 3, 1998.

ADDRESSES: Written comments should

refer to the docket number and the

number of this notice, and be submitted

(preferably two copies) to: Docket

Management, Room PL–401, National

Highway Traffic Safety Administration,

Nassif Building, 400 Seventh Street,

S.W., Washington, D.C. 20590. (Docket

hours are Monday-Friday, 10 a.m. to 5

p.m., excluding Federal holidays.)

FOR FURTHER INFORMATION CONTACT: Mr.

William Holden, Chief, Driver Register

and Traffic Records Division, NTS–32,

NHTSA, 400 Seventh Street, S.W.,

Washington, D.C. 20590; telephone

(202) 366–4800, or Ms. Heidi L.

Coleman, Assistant Chief Counsel for

General Law, NCC–30, NHTSA, 400

Seventh Street, S.W., Washington, D.C.

20590; telephone (202) 366–1834.

SUPPLEMENTARY INFORMATION: On

September 30, 1996, the Omnibus

Consolidated Appropriations Act for

Fiscal Year 1997, P.L. 104–208, was

signed into law. Included in the

Omnibus Act were the provisions of the

Illegal Immigration Reform and

Immigrant Responsibility Act of 1996

(hereinafter, the ‘‘Immigration Reform

Act’’). The purpose of the Immigration

Reform Act was to improve deterrence

of illegal immigration into the United

States.

Section 656(b) of the Act, entitled

State-Issued Driver’s Licenses and

Comparable Identification Documents,

provides that, after October 1, 2000,

Federal agencies may not accept as

proof of identity driver’s licenses or

other comparable identification

documents, issued by a State, unless the

driver’s license or identification

document conforms to certain

requirements.

A. Statutory Requirements

Section 656(b) establishes three

requirements that State-issued driver’s

licenses or other comparable

identification documents must meet, to

be acceptable as proof of identity:

1. Application Process—The

application process for the driver’s

license or identification document shall

include the presentation of such

evidence of identity as is required by

regulations promulgated by the

Secretary of Transportation, after

consultation with the American

Association of Motor Vehicle

Administrators (AAMVA).

2. Form—The driver’s license or

identification document shall be in a

form consistent with requirements set

forth in regulations promulgated by the

Secretary of Transportation, after

consultation with AAMVA. The form

shall contain security features designed

to limit tampering, counterfeiting,

photocopying, or otherwise duplicating,

the driver’s license or identification

document for fraudulent purposes and

to limit the use of the driver’s license or

identification document by imposters.

3. Social Security Number—The

driver’s license or identification

document shall contain a social security

number that can be read visually or by

electronic means, unless the State

issuing such driver’s license or

identification document meets certain

conditions.

To meet the conditions, the State

must not require the driver’s license or

identification document to contain a

social security number and the State

must require the submission of the

social security number by every

applicant for a driver’s license or

identification document. The State must

also require that a State agency verify

the validity of the social security

number with the Social Security

Administration (SSA).

B. Promulgation of Regulations, After

Consultation With AAMVA

The Immigration Reform Act requires

that the Secretary of Transportation

issue regulations governing State-issued

driver’s licenses and comparable

identification documents. The Act

provides, however, that the Department

must first consult with the American

Association of Motor Vehicle

Administrators.

AAMVA is a voluntary, nonprofit,

membership organization that

represents the State and provincial

officials (generally, referred to as motor

vehicle administrators) in the United

States and Canada who are responsible

for the administration and enforcement

of laws pertaining to motor vehicles and

their use. The issue of fraudulent

driver’s licenses and identification

documents has been of concern to

AAMVA for many years. In an effort to

address this problem, AAMVA formed a

Uniform Identification Working Group

to establish uniform identification

procedures. In May 1996, the working

group published the Uniform

Identification Practices Model Program

(hereinafter, the ‘‘model program’’).

In accordance with the dictates of the

Immigration Reform Act, NHTSA

consulted with AAMVA prior to issuing

this Notice of Proposed Rulemaking and

it considered carefully the contents of

the working group’s model program.

Although not directed to by the

legislation, NHTSA also consulted with

officials of interested Federal agencies,

including the Social Security

Administration and the Immigration

and Naturalization Service (INS).

C. Requirements in Proposed

Regulation

This Notice of Proposed Rulemaking

(NPRM) proposes a regulation that

would implement the requirements of

Section 656(b) of the Immigration

Reform Act. The requirements being

proposed are discussed below.

1. Evidence of Identity

As explained above, Section 656(b)

provides that driver’s licenses or other

comparable identification documents

issued by a State will not, after October

1, 2000, be accepted by a Federal agency

for any identification-related purpose

unless the application process for the

driver’s license or identification

document shall include the presentation

of such evidence of identity as is

required by regulations promulgated by

the Secretary of Transportation.

Consistent with the working group’s

model program, NHTSA proposes that

identical identification standards be

followed for both driver’s licenses and

identification documents. The proposed

rule provides that an applicant would

be required to submit one primary and

one secondary document for a new or

duplicate driver’s license or

identification document. Renewal

applicants would be required to show
Federal Register / Vol. 63, No. 116 /Wednesday, June 17, 1998 / Proposed Rules 33221

only their current driver’s license or

identification document. If the current

driver’s license or identification

document is unavailable, the applicant

would be required to submit instead a

primary and secondary document.

The purpose of the primary document

is to establish identity. As proposed in

this NPRM, the primary document

would need to contain the applicant’s

full legal name (including middle name)

and date of birth, and it would need to

be verifiable. The purpose of the

secondary document is to assist in

confirming identity. As proposed in this

NPRM, the secondary document would

need to contain the applicant’s name,

plus sufficient substantiating

information for all or part of the

information contained on the primary

document, to confirm the identity of the

individual.

The agency proposes to list acceptable

primary and secondary documents in

appendices to the final rule. As needed,

the agency would publish subsequent

documents in the Federal Register,

updating these appendices. Proposed

lists of acceptable primary and

secondary documents are attached to

today’s NPRM as Appendix A and

Appendix B to part 1331. The proposed

rule provides that exceptions to the

published lists of acceptable documents

could be made by States, provided the

exceptions are made in accordance with

established procedures and on an

infrequent basis and only in extreme

circumstances, such as a fire or natural

disaster.

2. Form and Security Features

To be acceptable after October 1,

2000, driver’s licenses or identification

documents shall also be in a form

consistent with requirements set forth in

regulations promulgated by the

Secretary of Transportation. The statute

requires that the form shall contain

security features designed to limit

tampering with, counterfeiting,

photocopying, or otherwise duplicating,

the driver’s license or identification

document for fraudulent purposes and

to limit the use of the driver’s license or

identification document by imposters.

Consistent with the working group’s

model program, NHTSA proposes that,

at a minimum, certain features shall be

included on both driver’s licenses and

identification documents. The proposed

list of features is included in the

proposed regulation. The agency

believes that some of the features

included on the proposed list will help

to limit the use of the driver’s license or

identification document by imposters,

such as the applicant’s date of birth and

signature, and a color photograph or

image.

‘‘Security features’’ is also included as

an item on the proposed list. The

incorporation of security features into a

driver’s license and identification

document will make it more difficult for

persons to tamper with, counterfeit,

photocopy, or otherwise duplicate, a

driver’s license or identification

document for fraudulent purposes.

Various techniques and technologies are

currently available to State licensing

agencies that are effective at deterring

these practices. The proposed rule

requires States to include one or more

security features on driver’s licenses

and identification documents. The

agency urges States, however, to adopt

as many such features as is practicable,

because the more features a State

includes on its driver’s licenses and

identification documents, the more

difficult it would be for individuals to

counterfeit or otherwise misuse these

documents.

The agency proposes to provide a list

of suggested security features in an

appendix to the final rule. As needed,

the agency would publish subsequent

documents in the Federal Register,

updating this appendix. A proposed list

of such features is attached as Appendix

C to part 1331 in today’s NPRM.

3. Social Security Number

The Immigration Reform Act provides

that, to be acceptable after October 1,

2000, driver’s licenses or identification

documents shall contain a social

security number that can be read

visually or by electronic means, except

in States that meet certain conditions.

As stated previously, States meet the

conditions if they require the

submission of the social security

number by every applicant for a driver’s

license or identification document, but

do not require that the social security

number be included on the driver’s

license or identification document. The

State must also require that an agency

of the State verify the validity of the

social security number with the Social

Security Administration. The NPRM

implements this provision by indicating

that States may include social security

numbers on driver’s licenses and

identification documents, but must

require all applicants to submit their

social security number and must verify

each applicant’s social security number

as described below.

a. Validation

The proposed regulation specifies

that, with one exception described

below, all States shall verify the validity

of each applicant’s social security

number with the Social Security

Administration, whether or not the

social security number is to be included

on the driver’s license or identification

document, unless previously validated.

The working group’s model program

recommended that ‘‘key’’ information,

such as social security numbers, should

be verified for each transaction. The

model program, which was published in

May 1996, stated, ‘‘Electronic

verification with the Social Security

Administration is now possible,’’ and

the model program urged all States to

‘‘take advantage of the electronic access

and verify [social security numbers]

with the SSA.’’

For those States that were not capable

at that time of performing electronic

verification, the model program stated

that ‘‘manual verification should be

required.’’ It was recommended that

certain documents could be used to

verify social security numbers

manually, such as social security cards

(but not metal cards), letters from the

Social Security Administration, IRS/

State tax forms (but not a W–2 form),

financial statements containing social

security numbers, payroll stubs

containing social security numbers or

military ID’s containing social security

numbers.

The agency hopes that, by October 1,

2000, each State will be capable of

verifying social security numbers

electronically, rather than manually.

Therefore, the agency has proposed in

the NPRM that, beginning October 1,

2000, each State shall verify each

application for a new, duplicate or

renewal driver’s license or identification

document electronically with the Social

Security Administration, unless

previously validated.

The agency requests comments on

this proposed requirement. In

particular, the agency seeks comments

regarding whether States do not expect

to be capable of verifying the social

security numbers for all driver’s license

and identification document applicants

by October 1, 2000. If it is expected that

any State may not have such a

capability by that date, the agency

requests that comments include a

prediction of the date by which such

State may have this capability.

b. Individuals Unable to Obtain Social

Security Numbers

The Immigration Reform Act requires

all States to request the social security

number from every applicant for a

driver’s license or identification

document.

It has been brought to the agency’s

attention, however, that some

individuals who may wish to apply for
33222 Federal Register / Vol. 63, No. 116 /Wednesday, June 17, 1998 / Proposed Rules

a driver’s license or identification

document may not have a social

security number. Many nonimmigrant

aliens (such as foreign students) are

lawfully present in the United States

long enough to need to obtain a State

issued driver’s license, but may not

have INS work authorization or any

other reason to be eligible to obtain a

social security number. Some States

have sought guidance from the agency

on how they can comply with the

Immigration Reform Act without having

to deny a driver’s license to ‘‘legal

aliens’’ who are prevented by their

status from obtaining a social security

number.

The Immigration Reform Act was not

enacted into law to prevent individuals

who are legally in the United States

from holding valid driver’s licenses or

identification documents. Rather, the

statute was enacted to deter illegal

immigration into the United States.

The agency proposes to permit States

to continue processing applications for

driver’s licenses and identification

documents for individuals legally in the

United States. At the time of application

for a new or duplicate driver’s license

or identification document, such

individuals would be required under

the proposed rule to submit (in addition

to primary and secondary documents) a

document demonstrating their lawful

presence in the United States. This

‘‘proof of lawful presence’’ document

would need to be verified by confirming

that the document reasonably appears

on its face to be genuine as it relates to

the applicant.

The agency proposes to list acceptable

‘‘proof of lawful presence’’ documents

in an appendix to the final rule. As

needed, the agency would publish

subsequent documents in the Federal

Register, updating this appendix. A

proposed list of acceptable ‘‘proof of

lawful presence’’ documents is attached

to today’s NPRM as Appendix D to part

1331.

States that include an individual’s

social security number on driver’s

licenses and identification documents

may choose to include instead on

documents for individuals who do not

have a social security number an

alternative numeric identifier. An

alternative numeric identifier is a

unique identification number issued by

a State driver licensing agency to an

individual who does not have a social

security number. The alternative

numeric identifier should not contain

the same number sequence as a social

security number to protect against

confusion with or duplication of a social

security number. In addition, the agency

proposes that States must require

applicants who claim not to hold social

security numbers to sign certifying

statements to that effect.

4. Certification of Compliance

The proposed rule provides that

States must demonstrate compliance

with the requirements of the regulation

by submitting a certification to the

National Highway Traffic Safety

Administration. The certification shall

contain a statement by an appropriate

State official, that the State’s driver’s

licenses and identification documents

conform to the requirements contained

in the regulation.

The agency seeks comments regarding

whether States expect to be able to meet

all requirements of the regulation by

October 1, 2000. If it is expected that

any State may not be able to meet all

requirements by that date, the agency

requests comments about whether the

regulation should contain a provision

setting forth a procedure to allow States

to request an extension of time to

comply with the requirements of the

regulation. If such a provision should be

included, the agency seeks comments

about what criteria should be used to

determine when an extension should be

granted.

5. Grants

Section 656(b)(2) requires the

Secretary of Transportation to make

grants available to the States to assist

them in issuing driver’s licenses and

comparable identification documents

that satisfy the requirements of the law.

The President included a request for

$325,000 in his fiscal year 1999 budget

for these grants. The Department of

Transportation is still developing its

fiscal year 2000 budget.

Written Comments

Interested persons are invited to

comment on this Notice of Proposed

Rulemaking. It is requested, but not

required, that two copies be submitted.

All comments must be limited to 15

pages in length. Necessary attachments

may be appended to those submissions

without regard to the 15 page limit. (49

CFR 553.21.) This limitation is intended

to encourage commenters to detail their

primary arguments in a concise fashion.

Written comments to the public

docket must be received by August 3,

1998. All comments received before the

close of business on the comment

closing date will be considered and will

be available for examination in the

docket at the above address before and

after that date. To the extent possible,

comments received after the closing

date will also be considered. However,

the rulemaking action may proceed at

any time after that date. NHTSA will

continue to file relevant material in the

docket as they become available after

the closing date, and it is recommended

that interested persons continue to

examine the docket for new materials.

To expedite submission of comments,

simultaneous with the issuance of this

notice NHTSA will mail copies to all

Governor’s Representatives for Highway

Safety and to the motor vehicle

administrators for each State.

Those persons desiring to be notified

upon receipt of their comments in the

docket should enclose, in the envelope

with their comments, a self-addressed

stamped postcard. Upon receiving the

comments, the docket supervisor will

return the postcard by mail.

Copies of all documents will be

placed in Docket No. NHTSA-98–3945;

in Docket Management, Room PL–401,

Nassif Building, 400 Seventh Street,

SW, Washington, DC 20590.

Regulatory Analyses and Notice

Executive Order 12778 (Civil Justice

Reform)

This proposed rule would not have

any preemptive or retroactive effect. The

enabling legislation does not establish a

procedure for judicial review of rules

promulgated under its provisions. There

is no requirement that individuals

submit a petition for reconsideration or

other administrative proceedings before

they may file suit in court.

Executive Order 12866 (Regulatory

Planning and Review) and DOT

Regulatory Policies and Procedures

The agency has examined the impact

of the proposed action and has

determined that the proposed action is

not significant under Executive Order

12866 and the Department of

Transportation’s Regulatory Policies and

Procedures.

The action will not have an annual

effect on the economy of $100 million

or more or adversely affect in a material

way a sector of the economy,

competition, jobs, the environment,

public health or safety, or State, local or

tribal governments or communities. It

will not create a serious inconsistency

or otherwise interfere with an action

taken or planned by another agency, and

it will not materially alter the budgetary

impact of entitlements, grants, user fees,

or loan programs or the rights and

obligations of recipients thereof. Nor

does it raise novel legal or policy issues.

To estimate the costs and benefits of

the proposed action, NHTSA prepared a

Preliminary Regulatory Evaluation

(PRE), assessing the costs and benefits.

It has been placed in the docket for this
Federal Register / Vol. 63, No. 116 /Wednesday, June 17, 1998 / Proposed Rules 33223

proceeding and is available for public

inspection. Based on the analysis

contained in the PRE, NHTSA predicts

that States will incur costs to comply

with the requirements of the regulation.

The costs will be associated with

redesigning driver’s licenses and

identification documents to include

social security numbers, adding security

and other features to these documents,

computer programming changes,

verifying social security numbers,

rewriting forms and training employees.

Based on estimates that it received from

five States (Delaware, Iowa, Montana,

Utah and Wisconsin), the agency

estimates the total national first year

costs associated with the regulation to

range from $24,846,652 to $72,568,996.

The total annual estimated national

costs thereafter range from $7,697,984 to

$51,713,028. The primary benefit of the

proposed rule is that it will help limit

tampering with, counterfeiting,

photocopying, or otherwise duplicating,

driver’s licenses or identification

documents for fraudulent purposes. It

will also help limit the use of driver’s

licenses or identification documents by

imposters.

The proposed action is not significant

under the Department’s Regulatory

Policies and Procedures because it does

not involve important Departmental

policies; rather it is being proposed for

the purpose of implementing the

provisions contained in Public Law

104–208.

Regulatory Flexibility Act

In compliance with the Regulatory

Flexibility Act (Pub. L. 96–354, 5 U.S.C.

601–612), the agency has evaluated the

effects of this proposed action on small

entities. Based on the evaluation, we

certify that this action will not have a

significant impact on a substantial

number of small entities. Accordingly,

the preparation of a Regulatory

Flexibility Analysis is unnecessary.

Paperwork Reduction Act

This notice contains information

collection requirements that have been

submitted to the Office of Management

and Budget for review under the

provisions of the Paperwork Reduction

Act. The title, description, and

respondent description of the

information collection are shown below

with an estimate of the annual burden.

Title: Improvements in Identification

Related Documents—State-Issued

Driver’s Licenses and Comparable

Identification Documents.

OMB Clearance number: Not

assigned.

Description of the need for the

information and proposed use of the

information: In order to ensure that

States comply with the Act and

regulations, NHTSA is proposing to

require each State to certify its

compliance. Once the State has made

the necessary modifications to its

procedures and systems and has begun

to carry out the requirements of the Act,

it would submit to NHTSA a letter

certifying that it complies with the

regulations.

Description of likely respondents

(including estimate of proposed

frequency of response to the collection

of information): The respondents are the

State driver licensing agencies. All

respondents would submit to NHTSA a

letter certifying compliance with the

regulations one time only.

Estimate of total annual reporting and

record keeping burden resulting from

the collection of information: NHTSA

estimates that each respondent will

incur 15 minutes in preparing and

submitting the certification letter for a

total of 13.5 hours (15 minutes × 54

respondents) x $38.00 per hour

employee cost, for a total cost of

$513.00.

Individuals and organizations may

submit comments on the information

collection requirements by August 3,

1998, and should direct them to the

docket for this proceeding and the

Office of Management and Budget, New

Executive Office Building, Room 10202,

Washington D.C. 20503, Attention: Desk

Officer for DOT/OST. Persons are not

required to respond to a collection of

information unless it displays a

currently valid OMB control number.

National Environmental Policy Act

The agency has analyzed this

proposed action for the purpose of the

National Environmental Policy Act of

1969 (42 U.S.C. 4321 et seq.) and has

determined that it would not have any

significant impact on the quality of the

human environment.

The Unfunded Mandates Reform Act

The Unfunded Mandates Reform Act

of 1995 (Public Law 104–4) requires

agencies to prepare a written assessment

of the costs, benefits and other affects of

proposed final rules that include a

Federal mandate likely to result in the

expenditure by State, local or tribal

governments, in the aggregate, or by the

private sector, of more than $100

million annually. This proposed rule

does not meet the definition of a Federal

mandate, because the resulting annual

expenditures will not exceed the $100

million threshold.

Executive Order 12612 (Federalism

Assessment)

This proposed action has been

analyzed in accordance with the

principles and criteria contained in

Executive Order 12612, and it has been

determined that this proposed action

would not have sufficient federalism

implications to warrant the preparation

of a Federalism Assessment.

In consideration of the foregoing, a

new Part 1331 is added to chapter III of

Title 23 of the Code of Federal

Regulations to read as follows:

Part 1331—State-Issued Driver’s

Licenses and Comparable

Identification Documents

Subpart A—General

Sec.

1331.1 Scope.

1331.2 Purpose.

1331.3 Definitions.

Subpart B—Procedures

Sec.

1331.4 Application process.

1331.5 Form and security features.

1331.6 Social security number.

1331.7 Effective date.

1331.8 Certification.

Appendices to Part 1331

Appendix A—Primary documents.

Appendix B—Secondary documents.

Appendix C—Security features.

Appendix D—Proof of lawful presence

documents.

Authority: Pub. L. 104–208, 110 Stat.

3009–716 (5 U.S.C. 301) delegation of

authority at 49 CFR 1.50.

Subpart A—General

§ 1331.1 Scope.

This part provides procedures for

States to comply with the provisions of

section 656 (Improvements in

Identification—Related Documents) of

Title VI (Miscellaneous provisions) of

the Omnibus Consolidated

Appropriations Act for Fiscal Year 1997

(Public Law 104–208) relating to the

acceptance by Federal agencies for

identification purposes of a driver’s

license, or other comparable

identification document, issued by a

State.

§ 1331.2 Purpose.

The purpose of this part is to

implement the provisions of section

656(b) of the Illegal Immigration Reform

and Immigrant Responsibility Act, 5

U.S.C. 301.

§ 1331.3 Definitions.

(a) State means all fifty States and the

District of Columbia, Puerto Rico,

Guam, and the Virgin Islands
33224 Federal Register / Vol. 63, No. 116 /Wednesday, June 17, 1998 / Proposed Rules

(b) Federal agency means any of the

following:

(1) An executive agency (as defined in

5 U.S.C. 105).

(2) A military department (as defined

in 5 U.S.C. 102).

(3) An agency in the legislative branch

of the Government of the United States.

(4) An agency in the judicial branch

of the Government of the United States.

(c) Driver’s license means a license

issued by a State to any individual that

authorizes the individual to operate a

motor vehicle on highways.

(d) Other comparable identification

document means a personal

identification card issued by a State to

non-drivers for identification purposes.

(e) Primary document means a

verifiable document used to provide

evidence of identity which contains an

applicant’s full legal name (including

middle name) and date of birth.

(f) Secondary document means a

document used to provide additional

evidence of identity which contains an

applicant’s name plus sufficient

substantiating information for all or part

of the information contained on the

primary document.

(g) Proof of lawful presence document

means a verifiable document used to

establish the identity and lawful

presence of an individual who does not

have and is ineligible to obtain a social

security number.

(h) Valid social security number

means a unique identification number

issued by the Social Security

Administration to every individual who

meets the Agency’s requirements to

receive a number.

(i) Alternative numeric identifier

means a unique identification number

issued by a driver licensing agency to an

individual who does not have a social

security number.

Subpart B—Procedures

§ 1331.4 Application process.

A Federal agency may not accept for

any identification related purpose a

driver’s license or other comparable

identification document issued by a

State, unless the license or document

satisfies the following requirements.

(a)(1) The application process for an

original or duplicate license or

document shall include presentation of

one primary and one secondary

document. Lists of acceptable primary

and secondary documents are attached

to this part as Appendix A and

Appendix B, respectively.

(2) States may accept documents that

are not listed in Appendix A or

Appendix B of this part at their

discretion in cases where an applicant

cannot submit the required

document(s). Such exceptions shall be

made only in accordance with

established procedures and on an

infrequent basis and only in extreme

circumstances, such as a fire or natural

disaster.

(b) The application process for a

renewal license or document shall

include presentation of an applicant’s

current license or document. If the

current license or document is

unavailable the applicant would be

required to submit instead a primary

and secondary document.

§ 1331.5 Form and security features.

The license or document shall contain

the following features:

(a) Jurisdiction of issuance;

(b) Indicator that the document is a

driver’s license or identification card,

whichever is applicable;

(c) Driver license/ID card number;

(d) Full name of the applicant;

(e) Date of birth;

(f) The license classification,

restriction(s), or endorsement(s) (if a

driver license);

(g) Color photograph or image;

(h) Expiration date;

(i) Signature;

(j) Address (mailing or residential, as

determined by the issuing agency);

(k) Issuance date;

(l) Physical description, which may

include sex, height, weight, eye and hair

color, and

(m) One or more security features—A

list of suggested security features is

included in Appendix C of this part.

§ 1331.6 Social security number.

(a) Before issuing a license or

document each State shall:

(1) Require the submission of the

social security number by every

applicant for a license or document.

(2) Verify electronically the validity of

each applicant’s social security number

with the Social Security Administration.

(b) States may require licenses and

documents to contain social security

numbers that can be read visually or by

electronic means.

(c) Before issuing a license or

document to an alien individual who

does not possess and is ineligible to

obtain a social security number, each

State shall:

(1) Require the applicant to present,

in addition to the documents required to

be presented under § 1331.4 (a) and (b),

a document demonstrating lawful

presence in the United States in a status

in which the applicant may be ineligible

to obtain a social security number. A list

of acceptable ‘‘proof of lawful presence’’

documents is attached to this part as

Appendix D.

(2) Verify the validity of each

applicant’s ‘‘proof of lawful presence’’

document by confirming that the

document reasonably appears on its face

to be genuine as it relates to the

applicant.

(d) States shall require each applicant

who claims not to hold a social security

number to sign a certifying statement to

that effect.

(e) States may require licenses and

documents issued to individuals who

do not possess social security numbers

to contain an alternative numeric

identifier that can be read visually or by

electronic means.

§ 1331.7 Effective date.

Sections 1331.4 through 1331.6 shall

take effect beginning on October 1,

2000, but shall apply only to licenses or

documents issued to an individual for

the first time and to replacement or

renewal licenses or documents issued

according to State law.

§ 1331.8 Certification.

(a) To demonstrate compliance with

this part, a State shall certify that its

licenses and documents conform to the

requirements contained in this

regulation. The certification should be

submitted by September 30, 2000, to the

National Highway Traffic Safety

Administration, 400 Seventh St., S.W.

Washington D.C. 20590.

(b) The certification shall contain a

statement by an appropriate State

official, that the State’s licenses and

documents conform to the requirements

of this part.

Appendices to Part 1331

Appendix A—Primary Documents

A primary document must contain the full

name and date of birth of the individual, and

must be verifiable, i.e., the State must be able

to contact the issuing agency to determine

the authenticity of the document. Primary

documents include:

(1) State issued or Canadian photo driver’s

license that has not been expired for more

than one year.

(2) State issued or Canadian issued photo

identification card that has not been expired

for more than one year.

(3) Microfilm/copy of a State issued or

Canadian driver’s license or identification

card that has not been expired for more than

one year that is certified by the issuing

agency.

(4) Original or certified copy of a United

States or Canadian birth certificate. The

certificate must have a raised seal and be

issued by an authorized government agency

such as the bureau of Vital Statistics or State

Board of Health. Hospital issued certificates

and baptismal certificates are not acceptable.

(5) The following Immigration and

Naturalization Service (INS) documents are

also acceptable, as long as they are original

and unexpired:
Federal Register / Vol. 63, No. 116 /Wednesday, June 17, 1998 / Proposed Rules 33225

(a) Certificate of Naturalization (N–550, N–

570, or N–578).

(b) Certificate of Citizenship (N–560, N–

561, or N–645).

(c) Northern Marianas Card.

(d) American Indian Card.

(e) United States Citizen Identification

Card (I–179 or I–197).

(f) Resident Alien Card or Permanent

Resident Card (I–551).

(g) Temporary Resident Card (I–688).

(h) Arrival-Departure Record (in a valid

foreign passport) (I–94).

(i) Valid foreign passport containing an I–

551 stamp.

(j) U.S. Re-entry Permit (I–327).

(k) Refugee Travel Document (I–571).

(l) Employment Authorization Card or

Employment Authorization Document (I–

688A, I–688B, I–766).

(m) Arrival-Departure Record stamped

‘‘refugee’(I–94) (Refugee I–94’s will not likely

be in a foreign passport).

(6) Canadian Immigration Record and Visa

or Record of Landing (IMM 100).

(7) Report of Birth Abroad by a Citizen of

the United States, issued by a United States

consular officer.

(8) Court order which must contain the

individual’s full name, date of birth and

court seal. Some examples include an

adoption document, a name change

document, gender change document, etc. It

does not include an abstract of criminal or

civil conviction.

(9) Active duty, retiree or reservist military

identification card.

(10) Valid U.S. or Canadian passport.

(11) State-issued driver’s learner permit

with a photograph that has not been expired

for more than one year.

(12) Canadian Department of Indian Affairs

issued identification card. Tribal issued card

is not acceptable. A U.S. issued Department

of Indian Affairs card is not acceptable.

Appendix B—Secondary Documents

Secondary documents must contain the

applicant’s name and sufficient

substantiating information for all or part of

the information contained on the primary

document. Foreign documents are acceptable

only as specifically authorized. Secondary

documents include:

(1) All primary documents.

(2) Bureau of Indian Affairs card or an

Indian Treaty card. A Tribal identification

card is not acceptable. (Note: Some Tribal

identification cards are actually more reliable

than Bureau of Indian Affairs cards.

Department of Motor Vehicle Agencies

should make a determination about whether

to accept a card based on their own research

of what is or is not acceptable.)

(3) Driver’s license or an identification card

that has expired for more than one year.

(4) Court order that does not contain the

applicant’s date of birth.

(5) Photographic employer identification

card.

(6) Foreign birth certificate. It must be

translated by an approved translator.

(7) Foreign passport.

(8) Health insurance card, i.e., Blue Cross/

Blue Shield, Kaiser, or a health maintenance

organization (HMO).

(9) Internal Revenue Service (IRS) or State

tax form. A W–2 is not acceptable.

(10) Marriage certificate or license.

(11) Individual’s medical records from a

doctor or hospital.

(12) Military dependent identification.

(13) Military discharge or separation

papers.

(14) Parent or guardian affidavit. The

parent or guardian must appear in person

and prove their identity and submit a

certified or notarized affidavit regarding the

child’s identity. This policy is only

applicable to minors.

(15) Gun permit.

(16) Pilot’s license.

(17) Certified school record or transcript.

(18) Social security card. A metal card is

not acceptable.

(19) Photographic student identification

card.

(20) Vehicle title. A vehicle registration is

not acceptable.

(21) Welfare card.

(22) Prison release document.

Appendix C—Security Features

States must use one or more security

features on their driver’s licenses and

identification cards to prevent alteration and

tampering of their documents. Suggested

security features include, but are not limited

to, the following:

(1) Ghost image.

(2) Ghost graphic.

(3) Hologram.

(4) Optical variable device.

(5) Microline printing.

(6) State seal or a signature which overlaps

the individual’s photograph or information.

(7) Security laminate.

(8) Background containing color, pattern,

line or design.

(9) Rainbow printing.

(10) Guilloche pattern or design.

(11) Opacity mark.

(12) Out of gamut colors (i.e., pastel print).

(13) Optical variable ultra-high-resolution

lines.

(14) Block graphics.

(15) Security fonts and graphics with

known hidden flaws.

(16) Card stock, layer with colors.

(17) Micro-graphics.

(18) Retroflective security logos.

(19) Machine readable technologies such as

magnetic strips, a ID bar code or a 2D bar

code.

Appendix D—Proof of lawful presence

documents

States must require individuals who do not

have and are not eligible to obtain, social

security numbers to submit, in addition to

primary and secondary documents, a ‘‘proof

of lawful presence’’ document when

applying for a driver’s license or comparable

identification document. Acceptable ‘‘proof

of lawful presence’’ documents include the

following documents as long as they are

original and unexpired.

The INS documents listed in Appendix A

are not acceptable except for certain Forms

I–94 as described below. Note that Appendix

D includes documents (such as I–186

Nonresident Alien Mexican Border Crossing

Card) that normally are issued to short-term

nonresident visitors. States should continue

to apply their existing laws and policies

regarding requirements and proof of State

residence.

(1) Arrival-Departure Record (I–94) (Class

A–1, A–2, A–3, B–1, B–2, C–1, C–2, C–3, E–

1, E–2, F–1, F–2, G–1, G–2, G–3, G–4, G–5,

H–4, I, J–2, K–2, L–2, M–1, M–2, NATO 1–

7, O–3, P–4, R–2, S–5, S–6, S–7, TC, TD,

Cuban/Haitian Entrant, Parolee.

The form I–94 cannot state ‘‘Employment

Authorized.’’ If a foreign passport and Form

I–94 have been presented as primary or

secondary evidence, that Form I–94 is also an

acceptable Appendix D document, but only

if it fits the Appendix D description.

(2) Visa Waiver Arrival-Departure Record

(I–94W) (Class WB, WT).

(3) Crewman’s Landing Permit (I–95A).

(4) Alien Crewman Landing Permit and

Identification Card (I–184).

(5) Nonresident Alien Canadian Border

Crossing Card(I–185).

(6) Nonresident Alien Mexican Border

Crossing Card (I–186).

(7) Nonresident Alien Border Crossing

Card (I–586).

(8) B–1/B–2 Visa/BCC (DSP–150).

Issued on: June 12, 1998.

Philip R. Recht,

Deputy Administrator, National Highway

Traffic, Safety Administration.

[FR Doc. 98–16062 Filed 6–12–98; 1:09 pm]

BILLING CODE 4910–59–P