Permit the Department of State (DOS) and the Immigration and Naturalization Service (INS) to Collect Information Needed to Assign Social Security Numbers (SSNs) to Aliens

SOCIAL SECURITY ADMINISTRATION

20 CFR Part 422

[Regulations No. 22]

RIN 0960-AE36

Permit the Department of State (DOS) and the Immigration and

Naturalization Service (INS) to Collect Information Needed to Assign

Social Security Numbers (SSNs) to Aliens

AGENCY: Social Security Administration (SSA).

ACTION: Proposed rule.

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SUMMARY: We are proposing to provide a description of how DOS and INS

will provide the SSA with information, collected as part of the

immigration process, to enable SSA to assign SSNs and issue SSN cards

to lawfully admitted aliens. We also propose: to amend the rule on the

presumption of authority of a nonimmigrant alien to accept employment

to include circumstances where a Form I-94, ``Arrival-Departure

Record,'' has not been issued by INS; to remove outdated rules on

school and alien legalization enumeration; to remove outdated rules on

the application for a nonwork SSN; and to specifically acknowledge the

requirement to complete a Form SS-5, ``Application For A Social

Security Card,'' to obtain a duplicate SSN card.

DATES: To be sure that your comments are considered, we must receive

them no later than February 2, 1998.

ADDRESSES: Comments should be submitted in writing to the Commissioner

of Social Security, P.O. Box 1585, Baltimore, MD 21235, sent by telefax

to (410) 966-2830, sent by E-mail to ``[email protected]'', or

delivered to the Office of Process and Innovation Management, Social

Security Administration, L2109 West Low Rise Building, 6401 Security

Boulevard, Baltimore, MD 21235-0001, between 8:00 A.M. and 4:30 P.M. on

regular business days. Comments may be inspected during these same

hours by making arrangements with the contact person shown below.

FOR FURTHER INFORMATION CONTACT: Daniel T. Bridgewater, Legal

Assistant, Office of Process and Innovation Management, Social Security

Administration, L2109 West Low Rise Building, 6401 Security Boulevard,

Baltimore, MD 21235, (410) 965-3298 for information about these rules.

SUPPLEMENTARY INFORMATION:

Background

Currently, SSA assigns an SSN to an alien when the individual

submits to an SSA field office a completed Form SS-5 and documentary

evidence of age, identity, and lawful admission for permanent residence

or other authority of law permitting work in the United States (U.S.).

Any applicant age 18 and older applying for an original SSN must appear

for an in-person interview at any SSA field office.

The second phase of the National Performance Review (NPR), the

Federal Reinventing Government effort, was announced by the President

and Vice President on December 19, 1994. It was designed to focus

attention on what each agency does, examining its mission and looking

at its programs and functions to see if there are ways to provide

better service to the public and, at the same time, do business in a

more cost-effective manner, i.e., ``make government work better and

cost less.'' Each agency was asked to assemble a team to review its own

programs and functions.

SSA's team worked closely with a team of representatives from the

NPR and the Office of Management and Budget (OMB) to develop proposals

for consideration. One of these proposals was for INS to assist SSA in

enumerating aliens. On April 11, 1995, the President formally approved

SSA's reinvention proposals and officially announced them the next day.

When we began developing this proposal with INS, we found that we

needed to include DOS to take into consideration those aliens who enter

the U.S. via foreign service posts.

Proposed Changes

These proposed rules describe the process by which elements of DOS

and INS would collect and then forward enumeration information to SSA.

Based on agreements among the three agencies (SSA, DOS, and INS), DOS

and INS will collect this information, and INS will electronically

transmit the information to SSA. DOS and INS will modify their forms to

collect this information, and INS will retain the forms, which will be

made available to SSA when necessary.

Assigning SSNs to aliens when they enter the U.S., based on

information collected by DOS and INS as part of the immigration

process, would improve the integrity of the SSN process. There is

widespread counterfeiting of INS documents, and SSA employees must be

familiar with a variety of INS documents and determine if those

presented are valid. By having INS transmit enumeration information

directly to SSA, the potential for SSA employees to inadvertently

accept inappropriate and/or counterfeit documents will be reduced.

[[Page 63682]]

This initiative also supports SSA's goal of providing world class

service to customers by making the means of dealing with SSA as easy

and convenient as possible by providing options for service delivery.

Aliens who currently must first contact INS and subsequently contact

SSA would be able to accomplish both transactions in a single contact.

Further, the proposed changes would provide for increased overall

Federal government efficiency. The new process would reduce the overall

cost to the government of administering the enumeration process for

aliens because it would eliminate duplicate work done by DOS, INS and

SSA.

Because the involvement of the DOS and INS would improve the

integrity of the SSN process for aliens, SSA is eliminating the

mandatory in-person interview for aliens age 18 and older for whom INS

forwards enumeration information to SSA. SSA will continue to interview

aliens who apply for SSNs at SSA offices. This supports a 1995

recommendation from the Office of the Inspector General concerning

transferring to INS and DOS the FO interview workload for noncitizens

applying for an original SSN.

As part of the INS alien legalization program required under the

Immigration Reform and Control Act of 1986, INS accepted applications

and evidence for SSNs from legalization applicants and forwarded the

applications to SSA for assignment of SSNs. Once the legalization

program ended on September 30, 1991, INS notified SSA that it was

discontinuing the agreement and has since referred all aliens to SSA

field offices to apply for SSN cards. These proposed rules eliminate

references in the regulations to procedures which are no longer in

effect.

The Tax Reform Act of 1986 required taxpayers to show the Taxpayer

Identification Number (TIN) for any dependent age 5 and older listed on

tax returns due on or after January 1, 1988. In general, SSNs serve as

TINs. In an effort to lessen the burden on SSA field offices, SSA

offices initiated school enumeration projects. Subsequent legislation

required TINs for all dependents claimed on tax returns, regardless of

age, so that most children have been assigned SSNs long before reaching

school age and school enumeration projects are no longer practical.

These proposed rules eliminate the reference to SSA entering into

agreements with school authorities.

Currently, an alien lawfully in the United States without

employment authorization, who wants to obtain an SSN, must provide

evidence documenting a valid nonwork reason for needing an SSN, e.g.,

to receive a Federally-funded benefit or enlist in the uniformed

services. Another reason, currently shown in our rules, is the Internal

Revenue Service (IRS) requirement relating to the use of SSNs for tax

purposes.

However, on July 1, 1996, IRS began assigning Individual Taxpayer

Identification Numbers (ITINS) to aliens who are otherwise not eligible

for SSNs but who need TINs for tax purposes. Therefore, needing an SSN

for IRS reporting tax purposes is no longer a valid nonwork reason for

SSA to assign an SSN, and we propose to eliminate such references.

We also propose to amend our regulations on presumption of

authority of a nonimmigrant alien to accept employment. As currently

written, the regulations do not address the authority of a nonimmigrant

alien to accept employment if INS has not issued the alien a Form I-94,

which is generally issued by INS to a nonimmigrant alien upon arrival

in the United States. Under certain circumstances, INS may grant

employment authorization to an alien who has not been issued a Form I-

94, e.g., an alien whose lawful alien status is pending, so that the

individual may work during the period the application for lawful alien

status is pending. The proposed rules clarify that a nonimmigrant alien

who has not been issued a Form I-94, which reflects a classification

permitting work, must present a current employment authorization

document (EAD) or other document authorized by INS which permits the

alien to work. Such authority must be established before an SSN card

which is valid for work purposes can be issued.

Additionally, we propose to specifically acknowledge the

requirement to complete a Form SS-5 to obtain a duplicate SSN card.

Although the completion of this form has been a longstanding

requirement, our current rules do not specifically refer to it, as they

do so in the sections in this subpart relating to applying for an

original SSN (see Sec. 422.103) or a corrected SSN card (see

Sec. 422.110).

Explanation of Revisions

We propose changes to Secs. 422.103, 422.107 and 422.110 to

implement the initiative for DOS and INS to collect information to

assign SSNs to aliens and a change to paragraph Sec. 422.103(e) to

provide a specific rule on the requirement to complete a Form SS-5 in

the case of applying for a duplicate SSN card.

We propose changes to Secs. 422.104(b) and 422.107(a) to eliminate

the references to IRS tax purposes as a valid nonwork reason for SSA to

assign an SSN and to Sec. 422.105 to address the authority of a

nonimmigrant alien to accept employment if INS has not issued the alien

a Form I-94.

Additionally, we propose to eliminate references in Sec. 422.106 to

procedures concerning legalization applicants and SSA agreements with

school authorities which are no longer in effect and to amend

Sec. 422.107 to eliminate the interview requirement for aliens for whom

INS forwards enumeration data to SSA.

Electronic Version

The electronic file of this document is available on the Federal

Bulletin Board (FBB) at 9:00 A.M. on the date of publication in the

Federal Register. To download the file, modem dial (202) 512-1387. The

FBB instructions will explain how to download the file and the fee.

This file is in WordPerfect and will remain on the FBB during the

comment period.

Regulatory Procedures

Executive Order 12866

We have consulted with the OMB and determined that these proposed

rules meet the criteria for a significant regulatory action under

Executive Order 12866. Therefore, we have prepared an assessment of the

potential costs and benefits of this regulatory action.

Currently, SSA employees review evidence and process applications

for all aliens who are issued SSN cards. INS estimates 1.8 million

work-authorized aliens enter the United States yearly. SSA processes

about 2 million enumeration actions for aliens annually. In fiscal year

1996, SSA issued 1 million original SSN cards to work-authorized aliens

and 774,000 replacement cards to work-authorized aliens. In addition,

SSA issued 325,000 original and 40,000 replacement SSN cards to aliens

without work authorization. We estimate that the current process costs

SSA about 385 workyears in the field for this workload.

Having DOS and INS collect enumeration information for aliens and

having INS electronically transmit that information to SSA will provide

overall government savings. Aliens who currently first contact DOS (at

the foreign service post), INS (at the port-of-entry), and subsequently

contact SSA (at an SSA field office) for an SSN card now will be able

to apply for an SSN card via their contacts with DOS and/or INS. This

proposed process will also

[[Page 63683]]

improve the integrity of the enumeration process and reduce the

potential for assigning an SSN based on a fraudulent INS document.

DOS and INS already collect, as part of the immigration process,

some of the information that SSA needs to assign an SSN. This proposed

process will eliminate duplicate collection of information by SSA of

the data elements already collected by DOS and/or INS for immigration

purposes and provide for better overall government efficiency. DOS and

INS will collect the information needed to assign an SSN on a

immigration form, adding questions to collect the information that SSA

needs to assign an SSN, but which is not collected for immigration

purposes. These agencies will archive the immigration form which

documents the alien's request for an SSN and retrieve it upon SSA's

request.

INS will be reimbursed for the time spent collecting data not

needed for immigration purposes. With the proposed changes, INS has

previously estimated that its costs will be about $6 million per year,

and SSA would agree to reimburse INS for its costs. DOS has indicated

that it will not ask for reimbursement.

SSA's annual cost for original and replacement SSN cards for those

aliens for whom DOS and INS will collect SSN information would be about

$12 million or 232 workyears. This leaves a net savings to SSA of about

$6 million per year if the INS estimate is accurate. The estimated

savings are based on the difference between the current SSA

interviewing and information collection costs and the expected INS

costs for those aliens who would be subject to the processes described

by the agreements among SSA, DOS, and INS.

Initially, INS and DOS will be able to collect information for SSA

to enumerate about 60 percent of all lawfully admitted aliens who need

SSNs. INS estimates that it will be at least several years before it

will be able to collect that information for the other 40 percent.

We considered outstationing SSA employees at INS offices. In some

regions, SSA field offices, working with local INS offices, have

implemented this arrangement as an interim measure until INS is able to

electronically provide enumeration data centrally to SSA. Outstationing

is not a viable alternative to the proposed procedures since it does

not result in savings to SSA and since it cannot reach aliens at all

ports-of-entry.

Regulatory Flexibility Act

We certify that these proposed rules will not have a significant

economic impact on a substantial number of small entities since these

rules affect only individuals and Federal agencies. Therefore, a

regulatory flexibility analysis as provided in the Regulatory

Flexibility Act, as amended, is not required.

Paperwork Reduction Act

SSA is imposing no additional reporting or record keeping

requirements subject to OMB clearance in these proposed rules.

(Catalog of Federal Domestic Assistance Program Nos. 96.001 Social

Security--Disability Insurance; 96.002 Social Security--Retirement

Insurance; 96.003 Social Security--Special Benefits for Persons Aged

72 and Over; 96.006 Supplemental Security Income)

List of Subjects in 20 CFR Part 422

Administrative practice and procedure, Organization and functions

(Government agencies), Social security.

John J. Callahan,

Acting Commissioner of Social Security.

For the reasons set out in the preamble, subpart B of 20 CFR 422 is

proposed to be amended as follows:

PART 422--ORGANIZATION AND PROCEDURES

Subpart B--[Amended]

1. The authority citation for subpart B of part 422 continues to

read as follows:

Authority: Secs. 205, 232, 702(a)(5), 1131, and 1143 of the

Social Security Act (42 U.S.C. 405, 432, 902(a)(5), 1320b-1, and

1320b-13).

2. Section 422.103 is amended by adding paragraphs (b)(3) and

(c)(3) and revising paragraph (e) to read as follows:

Sec. 422.103 Social security numbers.

* * * * *

(b) * * *

(3) Immigration form. SSA may enter into an agreement with the

Department of State (DOS) and the Immigration and Naturalization

Service (INS) to assist SSA by collecting enumeration data as part of

the immigration process. Where an agreement is in effect, an alien need

not complete a Form SS-5 with SSA and may request, through DOS or INS,

as part of the immigration process, that SSA assign a social security

number and issue a social security number card to him/her. Requests for

SSNs to be assigned via this process will be made on forms provided by

DOS and INS.

(c) * * *

(3) Request on immigration document. Where an alien has requested a

social security number as part of the immigration process described in

paragraph (b)(3) of this section, INS will electronically transmit to

SSA's central office in Baltimore, MD, the data elements collected for

immigration purposes, by both INS and DOS, that SSA needs to enumerate

the alien along with other data elements as agreed upon by SSA and DOS

or INS. The data elements received by SSA will be used to establish the

age, identity, and lawful alien status or authority to work of the

alien. Using this data, SSA will assign a social security number to the

alien and send the social security number card to him/her at the

address the alien provides to DOS or INS.

* * * * *

(e) Replacement of social security number card. In the case of a

lost or damaged social security number card, a duplicate card bearing

the same name and number may be issued. In the case of a need to change

the name on the card, a corrected card bearing the same number and the

new name may be issued. In both cases, a Form SS-5 must be completed. A

Form SS-5 can be obtained from any Social Security office or from one

of the sources noted in paragraph (b) of this section. For evidence

requirements, see Sec. 422.107.

3. Section 422.104 is amended by revising paragraph (a)(3) and

paragraph (b) to read as follows:

Sec. 422.104 To whom social security numbers are assigned.

(a) * * *

(3) An alien who is legally in the United States but not under

authority of law permitting him or her to engage in employment, but

only for a valid nonwork purpose. (See Sec. 422.107.)

(b) Persons without evidence of alien status. A social security

number may be assigned for a nonwork purpose to an alien who cannot

provide the evidence of alien status as required by Sec. 422.107(e), if

the evidence described in that paragraph does not exist and if the

alien resides either in or outside the United States and a social

security number is required by law as a condition of the alien's

receiving a federally-funded benefit to which the alien has established

entitlement.

* * * * *

4. Section 422.105 is revised to read as follows:

Sec. 422.105 Presumption of authority of nonimmigrant alien to accept

employment.

A nonimmigrant alien shall be presumed to have permission to engage

in employment if the alien presents a

[[Page 63684]]

Form I-94 issued by the Immigration and Naturalization Service (INS)

that reflects a classification permitting work. (See 8 CFR 274a.12 for

Form I-94 classifications.) A nonimmigrant alien who has not been

issued a Form I-94, or whose Form I-94 does not reflect a

classification permitting work, must submit a current document

authorized by the INS that verifies authorization to work has been

granted, e.g., an employment authorization document, to enable SSA to

issue an SSN card that is valid for work purposes.

5. Section 422.106 is amended by removing paragraph (b),

redesignating paragraph (c) as paragraph (b), and by revising paragraph

(a) to read as follows:

Sec. 422.106 Filing applications with other government agencies.

(a) Agreements. In carrying out its responsibilities to assign

social security numbers, SSA enters into agreements with the United

States Attorney General, other Federal officials, and State and local

welfare agencies. An example of these agreements is discussed in

paragraph (b) of this section.

* * * * *

6. Section 422.107 is amended by revising paragraph (a) and the

seventh sentence of paragraph (e) to read as follows:

Sec. 422.107 Evidence requirements.

(a) General. An applicant for an original social security number

card must submit documentary evidence which the Commissioner of Social

Security regards as convincing evidence of age, U.S. citizenship or

alien status, and true identity. An applicant for a duplicate or

corrected social security number card must submit convincing

documentary evidence of identity and may also be required to submit

convincing documentary evidence of age and U.S. citizenship or alien

status. An applicant for an original, duplicate, or corrected social

security number card is also required to submit evidence to assist us

in determining the existence and identity of any previously assigned

number(s). A social security number will not be assigned, or an

original, duplicate, or corrected card issued, unless all the evidence

requirements are met. An in-person interview is required of an

applicant who is age 18 or older applying for an original social

security number except for an alien who requests a social security

number as part of the immigration process as described in

Sec. 422.103(b)(3). An in-person interview may also be required of

other applicants. All documents submitted as evidence must be originals

or certified copies of the original documents and are subject to

verification with the custodians of the original records.

* * * * *

(e) Evidence of alien status. * * * If the applicant requests the

number for a nonwork purpose and provides evidence documenting that the

number is needed for a valid nonwork purpose, the number may be

assigned and the card issued will be annotated with a nonwork legend. *

* *

* * * * *

7. Section 422.110 is revised to read as follows:

Sec. 422.110 Individual's request for change in record.

(a) Form SS-5. An individual who wishes to change the name or other

personal identifying information previously submitted in connection

with an application for a social security number card may complete and

sign a Form SS-5 except as provided in paragraph (b) of this section.

The person must prove his/her identity and may be required to provide

other evidence. (See Sec. 422.107 for evidence requirements.) A Form

SS-5 may be obtained from any local social security office or from one

of the sources noted in Sec. 422.103(b). The completed request for

change in records may be submitted to any SSA office, or, if the

individual is outside the U.S., to the Department of Veterans Affairs

Regional Office, Manila, Philippines, or to any U.S. foreign service

post or U.S. military post. If the request is for a change in name, a

new social security number card with the new name and bearing the same

number previously assigned will be issued to the person making the

request.

(b) Assisting in enumeration. SSA may enter into an agreement with

officials of the Department of State and the Immigration and

Naturalization Service to assist SSA by collecting as part of the

immigration process information to change the name or other personal

identifying information previously submitted in connection with an

application or request for a social security number card. If the

request is for a change in name, a new social security card with the

new name and bearing the same number previously assigned will be

issued.

[FR Doc. 97-31459 Filed 12-1-97; 8:45 am]

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