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[Federal Register: June 17, 1998 (Volume 63, Number 116)]
[Proposed Rules]               
[Page 33219-33225]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17jn98-28]


[[Page 33219]]

_______________________________________________________________________

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

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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.)

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

[[Page 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

[[Page 33222]]

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

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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  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.

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 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

[[Page 33224]]

    (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


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.
    (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.
    (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.

    (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:

[[Page 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