[Federal Register Volume 63, Number 204 (Thursday, October 22, 1998)]
[Rules and Regulations]
[Pages 56552-56555]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-28289]
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SOCIAL SECURITY ADMINISTRATION
20 CFR Part 422
[Regulations No. 22]
RIN 0960-AE36
Permit the Department of State (DOS) and the Immigration and
Naturalization Service (INS) To Collect Information Needed To Assign
Social Security Numbers (SSNs) to Aliens
AGENCY: Social Security Administration (SSA).
ACTION: Final rules.
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SUMMARY: We describe how DOS and INS will provide us with information,
collected as part of the immigration process, to enable us to assign
SSNs and issue SSN cards to lawfully admitted aliens. We also are:
amending the rule on the presumption of authority of a nonimmigrant
alien to accept employment to include circumstances where a Form I-94,
``Arrival-Departure Record,'' has not been issued by INS; removing
outdated rules on school and alien legalization enumeration; removing
outdated rules on the application for a nonwork SSN; and, specifically
acknowledging the requirement to complete a Form SS-5, ``Application
For A Social Security Card,'' to obtain a duplicate SSN card.
EFFECTIVE DATE: These rules are effective November 23, 1998.
FOR FURTHER INFORMATION CONTACT: Daniel T. Bridgewater, Legal
Assistant, Office of Process and Innovation Management, Social Security
Administration, L2109 West Low Rise Building, 6401 Security Boulevard,
Baltimore, MD 21235, (410) 965-3298 for information about these rules.
For information on eligibility or claiming benefits, call our national
toll-free number, 1-800-772-1213.
SUPPLEMENTARY INFORMATION:
Background
Currently, SSA assigns an SSN to an alien when the individual
submits to an SSA field office (FO) a completed Form SS-5 and
documentary evidence of age, identity, and lawful admission for
permanent residence or other authority of law permitting work in the
United States (U.S.). Any applicant age 18 and older applying for an
original SSN card must appear for an in-person interview at any SSA
field office.
The second phase of the National Performance Review (NPR), the
Federal Reinventing Government effort, was announced by the President
and Vice President on December 19, 1994. It was designed to focus
attention on what each agency does, examining its mission and looking
at its programs and functions to see if there are ways to provide
better service to the public and, at the same time, do business in a
more cost-effective manner, i.e., ``make government work better and
cost less.'' Each agency was asked to assemble a team to review its own
programs and functions.
SSA's team worked closely with a team of representatives from the
NPR and the Office of Management and Budget (OMB) to develop proposals
for consideration. One of these proposals was for INS to assist SSA in
enumerating aliens. On April 11, 1995, the President formally approved
SSA's reinvention proposals and officially announced them the next day.
When we began developing this proposal with INS, we found that we
needed to include DOS to take into consideration those aliens who enter
the U.S. via foreign service posts.
Final Changes
These final rules describe the process by which elements of DOS and
INS will collect and then forward enumeration information to SSA. Based
on agreements among the three agencies (SSA, DOS, and INS), DOS and INS
will collect this information, and INS will electronically transmit the
information to SSA. DOS and INS will modify their forms to collect this
information, and INS will retain the forms, which will be made
available to SSA when necessary.
Assigning SSNs to aliens when they enter the U.S., based on
information collected by DOS and INS as part of the immigration
process, will improve the integrity of the SSN process. There is
widespread counterfeiting of INS documents, and SSA employees must be
familiar with a variety of INS documents and determine if those
presented are valid. By having INS transmit enumeration information
directly to SSA, the potential for SSA employees to inadvertently
accept inappropriate and/or counterfeit documents will be reduced.
This initiative also supports SSA's goal of providing world class
service to customers by making the means of dealing with SSA as easy
and convenient as possible by providing options for service delivery.
Aliens who currently must first contact INS and subsequently contact
SSA will be able to accomplish both transactions in a single contact.
Further, the final changes will provide for increased overall
Federal government efficiency. The new process will reduce the overall
cost to the government of administering the enumeration process for
aliens because it will eliminate duplicate work done by DOS, INS and
SSA.
Because the involvement of the DOS and INS will improve the
integrity of the SSN process for aliens, SSA is eliminating the
mandatory in-person interview for aliens age 18 and older for whom INS
forwards enumeration information to SSA. SSA will continue to interview
aliens who apply for SSNs at SSA offices. This supports a 1995
recommendation from the Office of the Inspector General concerning
transferring to INS and DOS the SSA FO interview workload for
noncitizens applying for an original SSN card.
As part of the INS alien legalization program required under the
Immigration Reform and Control Act of 1986, INS accepted applications
and evidence for SSNs from legalization applicants and forwarded the
applications to SSA for
[[Page 56553]]
assignment of SSNs. Once the legalization program ended on September
30, 1991, INS notified SSA that it was discontinuing the agreement and
has since referred all aliens to SSA field offices to apply for SSN
cards. These final rules eliminate references in the regulations to
procedures which are no longer in effect.
The Tax Reform Act of 1986 required taxpayers to show the Taxpayer
Identification Number (TIN) for any dependent age 5 and older listed on
tax returns due on or after January 1, 1988. In general, SSNs serve as
TINs. In an effort to lessen the burden on SSA field offices, SSA
offices initiated school enumeration projects. Subsequent legislation
required TINs for all dependents claimed on tax returns, regardless of
age, so that most children have been assigned SSNs long before reaching
school age and school enumeration projects are no longer practical.
These final rules eliminate the reference to SSA entering into
agreements with school authorities.
Currently, an alien lawfully in the United States without
employment authorization, who wants to obtain an SSN, must provide
evidence documenting a valid nonwork reason for needing an SSN, e.g.,
to receive a Federally-funded benefit or enlist in the uniformed
services. Another reason, currently shown in our rules, is the Internal
Revenue Service (IRS) requirement relating to the use of SSNs for tax
purposes.
However, on July 1, 1996, IRS began assigning Individual Taxpayer
Identification Numbers (ITINS) to aliens who are otherwise not eligible
for SSNs but who need TINs for tax purposes. Therefore, needing an SSN
for IRS tax reporting purposes is no longer a valid nonwork reason for
SSA to assign an SSN, and we are eliminating such references.
We also are amending our regulations on the presumption of
authority of a nonimmigrant alien to accept employment. As currently
written, the regulations do not address the authority of a nonimmigrant
alien to accept employment if INS has not issued the alien a Form I-94,
which is generally issued by INS to a nonimmigrant alien upon arrival
in the United States. Under certain circumstances, INS may grant
employment authorization to an alien who has not been issued a Form I-
94, e.g., an alien whose lawful alien status is pending, so that the
individual may work during the period the application for lawful alien
status is pending. The final rules clarify that a nonimmigrant alien
who has not been issued a Form I-94, which reflects a classification
permitting work, must present a current employment authorization
document (EAD) or other document authorized by INS which permits the
alien to work. Such authority must be established before an SSN card
which is valid for work purposes can be issued. Otherwise, an SSN card
will be issued with a nonwork legend (i.e., ``NOT VALID FOR
EMPLOYMENT'').
Additionally, we are specifically acknowledging the requirement to
complete a Form SS-5 to obtain a duplicate SSN card. Although the
completion of this form has been a longstanding requirement, our
current rules do not specifically refer to it, as they do so in the
sections in this subpart relating to applying for an original SSN card
(see Sec. 422.103) or a corrected SSN card (see Sec. 422.110).
Explanation of Revisions
We are changing Secs. 422.103, 422.107 and 422.110 to implement the
initiative for DOS and INS to collect information to assign SSNs to
aliens, and we are changing paragraph Sec. 422.103(e) to provide a
specific rule on the requirement to complete a Form SS-5 to apply for a
duplicate SSN card.
We are changing Secs. 422.104(b) and 422.107(a) to eliminate the
references to IRS tax reporting purposes as a valid nonwork reason for
SSA to assign an SSN, and we are changing Sec. 422.105 to address the
authority of a nonimmigrant alien to accept employment if INS has not
issued the alien a Form I-94 which reflects a classification permitting
work.
Additionally, we are eliminating references in Sec. 422.106 to
procedures concerning legalization applicants and SSA agreements with
school authorities which are no longer in effect, and we are amending
Sec. 422.107 to eliminate the mandatory in-person interview requirement
for aliens for whom INS forwards enumeration data to SSA.
On December 2, 1997, we published these final rules as proposed
rules in the Federal Register at 62 FR 63681 with a 60-day comment
period. We received comments from only one source.
The commenter raised several concerns about what will happen to
refugees under the new enumeration process, such as the timeliness of
issuing an SSN card, the need for an address to which the SSN card will
be sent, and the requirement for documentary evidence. We believe that
the overall process will be more timely for refugees as well as for
other legally admitted aliens. If no personal mailing address is
available, the SSN card will be sent to the sponsoring agency of the
refugee. Usually, INS has this address since all refugees must have a
sponsoring agency. Also, the process will afford greater national
uniformity by issuing the same type of SSN card (i.e., an unrestricted
card) to all refugees.
Because of the circumstances causing refugees to flee their homes,
when a refugee has no documents other than the one issued by INS, SSA
currently accepts the INS document alone as documentary evidence of
age, true identity, and alien status to assign an SSN. Under this
initiative when INS admits an alien as a refugee and transmits the
collected enumeration information to SSA, SSA will assign the refugee
an SSN.
We believe that the comments do not warrant any changes in our
proposed policy, except to clarify in section 422.103(c)(3) the address
to which the SSN card will be mailed. Therefore, we are publishing the
final rules essentially unchanged from the proposed rules.
Regulatory Procedures
Executive Order 12866
We have consulted with OMB and determined that these final rules
meet the criteria for a significant regulatory action under Executive
Order 12866. Therefore, we have prepared the following assessment of
the potential costs and benefits of this regulatory action.
Currently, SSA employees review evidence and process applications
for all aliens who are issued SSN cards. INS estimates 1.8 million
work-authorized aliens enter the United States yearly. SSA processes
about 2 million enumeration actions for aliens annually. In fiscal year
1996, SSA issued 1 million original SSN cards to work-authorized aliens
and 774,000 replacement cards to work-authorized aliens. In addition,
SSA issued 325,000 original and 40,000 replacement SSN cards to aliens
without work authorization. We estimate that the current process costs
SSA about 385 workyears in the field for this workload.
Having DOS and INS collect enumeration information for aliens and
having INS electronically transmit that information to SSA will provide
overall government savings. Aliens who currently first contact DOS (at
the foreign service post), INS (at the port-of-entry), and subsequently
contact SSA (at an SSA field office) for an SSN card now will be able
to apply for an SSN card via their contacts with DOS and/or INS. This
process will also improve the integrity of the enumeration process and
reduce the potential for assigning an SSN based on a fraudulent INS
document.
[[Page 56554]]
DOS and INS already collect, as part of the immigration process,
some of the information that SSA needs to assign an SSN. This process
will eliminate duplicate collection of information by SSA of the data
elements already collected by DOS and/or INS for immigration purposes
and provide for better overall government efficiency.
DOS and INS will collect the information needed to assign an SSN on
an immigration form, adding questions to collect the information that
SSA needs to assign an SSN, but which is not collected now for
immigration purposes. These agencies will archive the immigration form
which documents the alien's request for an SSN and retrieve it upon
SSA's request.
INS will be reimbursed for the time spent collecting data not
needed for immigration purposes. With the proposed changes, INS has
previously estimated that its costs will be about $6 million per year,
and SSA has agreed to reimburse INS for its costs. DOS has indicated
that it will not ask for reimbursement.
SSA's annual cost for original and replacement SSN cards for those
aliens for whom DOS and INS will collect SSN information would be about
$12 million or 230 workyears. This leaves a net savings to SSA of about
$6 million per year if the INS estimate is accurate. The estimated
savings are based on the difference between the current SSA
interviewing and information collection costs and the expected INS
costs for those aliens who will be subject to the processes described
by the agreements among SSA, DOS, and INS.
Initially, INS and DOS will be able to collect information for SSA
to enumerate about 60 percent of all lawfully admitted aliens who need
SSNs. INS estimates that it will be at least several years before it
will be able to collect that information for the other 40 percent.
Thus, the full amount of savings will not be realized initially.
We considered outstationing SSA employees at INS offices. In some
regions, SSA field offices, working with local INS offices, have
implemented this arrangement as an interim measure until INS is able to
electronically provide enumeration data centrally to SSA. Outstationing
is not a viable alternative to these adopted procedures since it does
not result in savings to SSA and since it cannot reach aliens at all
ports-of-entry.
Regulatory Flexibility Act
We certify that these rules will not have a significant economic
impact on a substantial number of small entities since they affect only
individuals and Federal agencies. Therefore, a regulatory flexibility
analysis as provided in the Regulatory Flexibility Act, as amended, is
not required.
Paperwork Reduction Act
SSA is imposing no additional reporting or record keeping
requirements subject to OMB clearance in these final rules.
(Catalog of Federal Domestic Assistance Program Nos. 96.001 Social
Security--Disability Insurance; 96.002 Social Security--Retirement
Insurance; 96.003 Social Security--Special Benefits for Persons Aged
72 and Over; 96.006 Supplemental Security Income)
List of Subjects in 20 CFR Part 422
Administrative practice and procedure, Organization and functions
(Government agencies), Social Security.
Dated: June 22, 1998.
Kenneth S. Apfel,
Commissioner of Social Security.
For the reasons set out in the preamble, subpart B of 20 CFR 422 is
amended as follows:
PART 422--ORGANIZATION AND PROCEDURES
Subpart B--[Amended]
1. The authority citation for subpart B of part 422 continues to
read as follows:
Authority: Secs. 205, 232, 702(a)(5), 1131, and 1143 of the
Social Security Act (42 U.S.C. 405, 432, 902(a)(5), 1320b-1, and
1320b-13).
2. Section 422.103 is amended by adding paragraphs (b)(3) and
(c)(3) and revising paragraph (e) to read as follows:
Sec. 422.103 Social security numbers.
* * * * *
(b) * * *
(3) Immigration form. SSA may enter into an agreement with the
Department of State (DOS) and the Immigration and Naturalization
Service (INS) to assist SSA by collecting enumeration data as part of
the immigration process. Where an agreement is in effect, an alien need
not complete a Form SS-5 with SSA and may request, through DOS or INS,
as part of the immigration process, that SSA assign a social security
number and issue a social security number card to him/her. Requests for
SSNs to be assigned via this process will be made on forms provided by
DOS and INS.
(c) * * *
(3) Request on immigration document. Where an alien has requested a
social security number as part of the immigration process described in
paragraph (b)(3) of this section, INS will electronically transmit to
SSA's central office in Baltimore, MD, the data elements collected for
immigration purposes, by both INS and DOS, that SSA needs to assign the
alien a social security number along with other data elements as agreed
upon by SSA and DOS or INS. The data elements received by SSA will be
used to establish the age, identity, and lawful alien status or
authority to work of the alien. Using this data, SSA will assign a
social security number to the alien and send the social security number
card to him/her at the address the alien provides to DOS or INS (or to
the sponsoring agency of a refugee, if no personal mailing address is
available).
* * * * *
(e) Replacement of social security number card. In the case of a
lost or damaged social security number card, a duplicate card bearing
the same name and number may be issued. In the case of a need to change
the name on the card, a corrected card bearing the same number and the
new name may be issued. In both cases, a Form SS-5 must be completed. A
Form SS-5 can be obtained from any Social Security office or from one
of the sources noted in paragraph (b) of this section. For evidence
requirements, see Sec. 422.107.
3. Section 422.104 is amended by revising paragraph (a)(3) and the
heading and text of paragraph (b) to read as follows:
Sec. 422.104 To whom Social Security numbers are assigned.
(a) * * *
(3) An alien who is legally in the United States but not under
authority of law permitting him or her to engage in employment, but
only for a valid nonwork purpose. (See Sec. 422.107.)
(b) Persons without evidence of alien status. A social security
number may be assigned for a nonwork purpose to an alien who cannot
provide the evidence of alien status as required by Sec. 422.107(e), if
the evidence described in that paragraph does not exist and if the
alien resides either in or outside the United States and a social
security number is required by law as a condition of the alien's
receiving a federally-funded benefit to which the alien has established
entitlement.
* * * * *
4. Section 422.105 is revised to read as follows:
Sec. 422.105 Presumption of authority of nonimmigrant alien to accept
employment.
A nonimmigrant alien shall be presumed to have permission to engage
in employment if the alien presents a Form I-94 issued by the
Immigration and Naturalization Service (INS) that
[[Page 56555]]
reflects a classification permitting work. (See 8 CFR 274a.12 for Form
I-94 classifications.) A nonimmigrant alien who has not been issued a
Form I-94, or whose Form I-94 does not reflect a classification
permitting work, must submit a current document authorized by the INS
that verifies authorization to work has been granted, e.g., an
employment authorization document, to enable SSA to issue an SSN card
that is valid for work purposes.
5. Section 422.106 is amended by removing paragraph (b),
redesignating paragraph (c) as paragraph (b), and by revising paragraph
(a) to read as follows:
Sec. 422.106 Filing applications with other government agencies.
(a) Agreements. In carrying out its responsibilities to assign
social security numbers, SSA enters into agreements with the United
States Attorney General, other Federal officials, and State and local
welfare agencies. An example of these agreements is discussed in
paragraph (b) of this section.
* * * * *
6. Section 422.107 is amended by revising paragraph (a) and the
seventh sentence of paragraph (e) to read as follows:
Sec. 422.107 Evidence requirements.
(a) General. An applicant for an original social security number
card must submit documentary evidence which the Commissioner of Social
Security regards as convincing evidence of age, U.S. citizenship or
alien status, and true identity. An applicant for a duplicate or
corrected social security number card must submit convincing
documentary evidence of identity and may also be required to submit
convincing documentary evidence of age and U.S. citizenship or alien
status. An applicant for an original, duplicate, or corrected social
security number card is also required to submit evidence to assist us
in determining the existence and identity of any previously assigned
number(s). A social security number will not be assigned, or an
original, duplicate, or corrected card issued, unless all the evidence
requirements are met. An in-person interview is required of an
applicant who is age 18 or older applying for an original social
security number except for an alien who requests a social security
number as part of the immigration process as described in
Sec. 422.103(b)(3). An in-person interview may also be required of
other applicants. All documents submitted as evidence must be originals
or certified copies of the original documents and are subject to
verification with the custodians of the original records.
* * * * *
(e) Evidence of alien status. * * * If the applicant requests the
number for a nonwork purpose and provides evidence documenting that the
number is needed for a valid nonwork purpose, the number may be
assigned and the card issued will be annotated with a nonwork legend.*
* *
* * * * *
7. Section 422.110 is revised to read as follows:
Sec. 422.110 Individual's request for change in record.
(a) Form SS-5. An individual who wishes to change the name or other
personal identifying information previously submitted in connection
with an application for a social security number card may complete and
sign a Form SS-5 except as provided in paragraph (b) of this section.
The person must prove his/her identity and may be required to provide
other evidence. (See Sec. 422.107 for evidence requirements.) A Form
SS-5 may be obtained from any local social security office or from one
of the sources noted in Sec. 422.103(b). The completed request for
change in records may be submitted to any SSA office, or, if the
individual is outside the U.S., to the Department of Veterans Affairs
Regional Office, Manila, Philippines, or to any U.S. foreign service
post or U.S. military post. If the request is for a change in name, a
new social security number card with the new name and bearing the same
number previously assigned will be issued to the person making the
request.
(b) Assisting in enumeration. SSA may enter into an agreement with
officials of the Department of State and the Immigration and
Naturalization Service to assist SSA by collecting as part of the
immigration process information to change the name or other personal
identifying information previously submitted in connection with an
application or request for a social security number card. If the
request is for a change in name, a new social security number card with
the new name and bearing the same number previously assigned will be
issued.
[FR Doc. 98-28289 Filed 10-21-98; 8:45 am]
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