Form DHS Form 411 DHS Form 411 Material Compliance Checklist

Department of Homeland Security

OMB No. 1601-NEW; Expires MM/DD/YYYY

DHS REAL ID Material Compliance Checklist The REAL ID Act of 2005 establishes minimum standards for State-issued drivers’ licenses and identification cards that Federal agencies can accept for official purposes on or after May 11, 2008. (See Public Law 109-13, 119 Stat. 231, 302 (May 11, 2005) (codified at 49 U.S.C. 30301 note) (the Act)). DHS will grant an extension to States that demonstrate that they have achieved certain milestones towards compliance with the Act and the final rule. States unable to demonstrate this progress will not be able to receive an extension. DHS has identified eighteen milestones that States must certify they have met in order to obtain an extension of the compliance deadline beyond December 31, 2009. In order to demonstrate material compliance, please complete and submit this form by October 11, 2009 to: DHS REAL ID Program Office Department of Homeland Security Washington, DC 20528
#	Section	Does the State	Yes, is met	No, will meet by [date]	Special Instructions
1	§ 37.11(a)	Subject each applicant to a mandatory facial image capture and retain such image even if a driver license (DL) or identification card (ID) is not issued
2	§ 37.11(b)	Have each applicant sign a declaration under penalty of perjury that the information presented is true and correct, and retain this declaration pursuant to § 37.31.
3	§ 37.11(c) (1)	Require an individual to present at least one of the source documents listed in subsections (i) through (x) when establishing identity
4	§ 37.11(d)-(g)	Require documentation of: Date of birth Social Security Number Address of principal residence Evidence of lawful status
5	§ 37.11(h)	Have a documented exceptions process that meets the requirements established in 37.11(h)(1)-(3) (if States choose to have such a process)
6	§ 37.13(a)	Make reasonable efforts to ensure that the applicant does not have more than one DL or ID already issued by that State under a different identity			Describe measures taken
7	§ 37.13(b)(1)	Verify lawful status through SAVE or another method approved by DHS			If not through SAVE, describe method
8	§ 37.13(b)(2)	Verify Social Security account numbers with the Social Security Administration or another method approved by DHS			If not through SSOLV, describe method
9	§ 37.15(b)	Issue DL and IDs that contain Level 1, 2 and 3 integrated security features
10	§ 37.17(a)-(l)	Surface (front and back) of cards include the following printed information in Latin alpha-numeric characters: Full legal name Date of birth Gender Unique DL/ID number Full facial digital photograph Address of principal residence [with exceptions] Signature [with exceptions] Date of transaction Expiration date State or territory of issuance
11	§ 37.17 (n)	Commit to mark materially compliant DL and IDs with a DHS-approved security marking
12	§ 37.21	Issue temporary or limited-term licenses to all individuals with temporary lawful status and tie license validity to the end of lawful status
13	§ 37.41	Have a documented security plan for DMV operations in accordance with the requirements set forth in § 37.41
14	§ 37.41(b)(2)	Have protections in place to ensure the security of personally identifiable information
15	§ 37.41(b)(5) (i)-(ii)	Require all employees handling source documents or issuing DLs or IDs to attend and complete the AAMVA approved (or equivalent) fraudulent document recognition training and security awareness training
16	§ 37.45	Conduct name-based and fingerprint-based criminal history and employment eligibility checks on all employees in covered positions or an alternative procedure approved by DHS
17	§ 37.51 (b)(1)	Commit to be in material compliance with Subparts A through D no later than January 1, 2010 or within 90 days of submission of this document, whichever date is earlier
18	§ 37.71 (b)(1)	Clearly state on the face of non-compliant DLs or IDs that the card is not acceptable for official purposes, except for licenses renewed or reissued under § 37.27

Paperwork Reduction Act

This information will be used to determine what States are in compliance with the mandatory minimum requirements set forth in the REAL ID Act (49 U.S.C. 30301 note). The total burden hour estimate for this item will be approximately 80 hours, including the time for reviewing instructions, searching existing data sources, gathering and maintaining data needed, and completing and reviewing the collection of information. DHS may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB control number.

DHS Form Number 411 (1/08)