State-Issued Driver's Licenses and Comparable Identification Documents

Part V

Department of Transportation

_______________________________________________________________________

National Highway Traffic Safety Administration

_______________________________________________________________________

23 CFR Part 1331

State-Issued Driver's Licenses and Comparable Identification Documents;

Proposed Rule

Proposed Rules

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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.

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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.)

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

ction 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

y 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

stablish 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

istent 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

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

ents 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

corporation 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

ns 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

so

e 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

nclude 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

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

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

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

res 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

esentatives 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

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

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

oses. 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

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 x 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.

,

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

Sec. 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.

Sec. 1331.2 Purpose.

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.

Sec. 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.

Sec. 1331.3 Definitions.

(a) State means all fifty States and the District of Columbia,

Puerto Rico, Guam, and the Virgin Islands

(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.

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

Sec. 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.

pendix 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.

Sec. 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.

Sec. 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.

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 Sec. 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.

Sec. 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.

Sec. 1331.8 Certification.

in an alternative

numeric identifier that can be read visually or by electronic means.

Sec. 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.

Sec. 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.

as 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:

(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.

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.

) 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.

und 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).