[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outdated rules on school and alien legalization enumeration; removing 
outdated rules on the application for a nonwork SSN; and, specifically 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]
BILLING CODE 4190-29-P