Procedures for Reconciling and Appealing Address List Information for the 2000 Census

OFFICE OF MANAGEMENT AND BUDGET

DEPARTMENT OF COMMERCE

Bureau of the Census

Procedures for Reconciling and Appealing Address List Information

for the 2000 Census

AGENCY: Office of Information and Regulatory Affairs, Office of

Management and Budget, and Bureau of the Census, Department of

Commerce.

ACTION: Notice and request for comments.

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SUMMARY: As part of their implementation of the Census Address List

Improvement Act of 1994, the Office of Management and Budget (OMB) and

the Bureau of the Census (Bureau) request public comment on proposed

processes for developing the address information that will be used in

conducting the 2000 Census. The Bureau is proposing a Reconciliation

process that would seek to resolve disagreements between the Bureau and

participating local or tribal governments, or their designated

representatives, regarding specific addresses or groups of addresses.

For any disagreements that are not resolved, OMB is proposing an Appeal

process that would be available to local and tribal governments, or

their designated representatives, that wish to appeal the decisions

made by the Bureau of the Census with respect to their suggestions for

the Census 2000 address list.

In conducting the Census 2000 enumeration the Bureau will include

all addresses added to or corrected in the census address list as a

result of the Reconciliation and/or Appeal processes, using the same

procedures used for all other addresses on the list. Inclusion of an

address on the list does not mean that a housing unit or its

inhabitants are actually at the address, or that the address will be

included in the final Census 2000 data summaries. The census-taking

process will determine the inclusion status of the address--whether or

not it is actually a housing unit--and the final population and housing

unit status for each address.

DATES: Comments must be received on or before May 26, 1998.

ADDRESSES: Comments: Please send comments concerning these proposed

procedures to: Katherine K. Wallman, Chief Statistician, Office of

Information and Regulatory Affairs, Office of Management and Budget,

NEOB, Room 10201, 725 17th Street NW, Washington DC 20503; fax: (202)

395-7245.

Electronic availability and addresses: This Federal Register Notice

is available electronically from the OMB Homepage on the World Wide

Web: http://www.whitehouse.gov/WH/EOP/OMB/html/fedreg.html>>. Federal

Register notices also are available electronically from the U.S.

Government Printing Office web site: http://www.access.gpo.gov/

su__docs/aces/aces140.html>> Questions about accessing the Federal

Register online via GPO Access may be directed to telephone (202) 512-

1530 or toll free at (888) 293-6498; to fax (202) 512-1262; or to email

[email protected]>>

This notice is available in paper copy from the OMB Publications

Office, NEOB, Room 2200, 725 17th Street NW, Washington DC 20503;

telephone (202) 395-7332; fax (202) 395-6137.

FOR FURTHER INFORMATION CONTACT: Nancy Kirkendall, Office of Management

and Budget, NEOB, Room 10201, 725 17th Street NW, Washington, DC 20503;

telephone: (202) 395-7313; fax (202) 395-7245.

SUPPLEMENTARY INFORMATION:

The Census Address List Improvement Act of 1994

The Census Address List Improvement Act of 1994 (P.L. 103-430)

changed the Bureau's decennial census address list development

procedures to improve the accuracy of, and resolve disagreements

concerning, address information. In addition to requiring that the

United States Postal Service provide address information to the Bureau

(Section 4), the Act also increased the role of local and tribal

governments in the development of Bureau address information. Section 2

of the Act requires the Bureau to develop a process under which it

would receive, review, and respond to recommendations by these

governments regarding address information. To resolve any disagreements

that may remain after this process, Section 3 of the Act requires the

Administrator of OMB's Office of Information and Regulatory Affairs

(OIRA), acting through the Chief Statistician and in consultation with

the Bureau, to develop an appeal process through which local and tribal

governments, or their designated representatives, may administratively

appeal the decisions by the Bureau under 13 U.S.C. 16.

The Bureau's LUCA Process

The Bureau is attempting to develop the most accurate and

comprehensive address information practicable for all jurisdictions in

the country in cooperation with the United States Postal Service and

local and tribal governments, as required by the Census Address List

Improvement Act of 1994. The Bureau's address list partnerships with

these governments will be undertaken via the program entitled the

``Local Update of Census Addresses'' (LUCA), during which the Bureau

will provide portions of its census address list to participating local

and tribal governments for their review. For those areas that do not

have city-style addresses (i.e., rural route, post office box number,

or general delivery addresses), the Bureau will provide the most recent

address and location information available from field activities.

Jurisdictions that participate in the LUCA program may respond with

address change suggestions including corrections, additions, deletions,

and address location information. The Bureau issued its standards for

addresses in the Federal Register, 60 FR 58326, November 27, 1995.

These standards described the components of acceptable city-style

addresses, including apartment numbers for each

[[Page 14979]]

unit address in a multi-unit building, a current 5-digit ZIP code, and

the distinction between residential and commercial addresses.

The LUCA process began in early 1998 with the mailing of

invitations to local and tribal governments to participate in the

program. As jurisdictions notify the Bureau of their desire to

participate in the program, appropriate materials will be generated and

delivered. Once a jurisdiction receives its materials, it has 3 months

in which to conduct its review and provide suggested changes back to

the Bureau. Jurisdictions with city-style mail delivery areas will

conduct the review of their portion of the Bureau's address list in

1998. The Bureau will conduct listing activities to prepare the address

list for jurisdictions with noncity-style addresses in the last half of

1998. As these listings are completed, they will be delivered to

participating jurisdictions for their review. The three month review

period for jurisdictions with noncity-style addresses will extend into

the second quarter of 1999.

The Bureau will conduct field canvassing operations to verify the

existence and accuracy of the address information provided via the LUCA

program. The Bureau, as part of its address list development process,

will conduct a field canvass of all blocks in the city-style address

mail delivery areas. Updates from local and tribal governments will be

verified at that time. Since this canvass covers approximately 94

million addresses, the operation will be conducted in three waves, each

of six-week duration. The first wave is scheduled to begin in January

1999, and the operation will be completed with the end of the third

wave in May 1999. For areas that do not have city-style mail delivery,

a separate field verification will be conducted soon after receiving

suggestions from local and tribal governments. In all areas, the Bureau

will provide timely written feedback to a participating jurisdiction

after all their suggested changes have been reviewed and evaluated. For

each jurisdiction, the LUCA program will be officially completed at the

time the Bureau provides feedback.

The Proposed Reconciliation Process

After receiving the LUCA feedback from the Bureau, a participating

local or tribal government may ask the Bureau to reconsider its

determination during the Reconciliation process. (The Bureau's proposal

for the Reconciliation process follows at Exhibit 1.) The goal of the

Reconciliation process is to resolve disagreements regarding specific

addresses or groups of addresses, and to reach concurrence between the

Bureau and the participating government. This concurrence relates both

to the existence of addresses and to the location of each address. As

in the LUCA process, the Reconciliation process will conclude with a

written determination by the Bureau regarding the existence of

addresses or the location of addresses provided by the participating

government. The Census Bureau is using 30 days as a standard for

completing the Reconciliation process for a jurisdiction. The standard

should be achievable for all jurisdictions but those with a large

number of disputed addresses. The wave approach to canvassing in city-

style address areas imparts a waved implementation to both the

Reconciliation and the Appeal processes. The first wave of canvassing

will be completed by late February, 1999. The Bureau will begin

accepting requests for Reconciliation from these jurisdictions in

March. The final wave of canvassing will be completed by late May. The

Bureau will begin accepting requests for Reconciliation from these

jurisdictions in June. The Reconciliation process for both city-style

and noncity-style address areas will be complete by August 31, 1999.

The Proposed Appeal Process

If, at the end of the Reconciliation process, the participating

government disagrees with the Bureau's determination regarding the

address information or the location of addresses, it may formally seek

an outside review of the Bureau's decision via the Appeal process.

During the Appeal process, a participating government will have the

opportunity to ask a Federal official, designated by OMB and outside

the Bureau and the Department of Commerce, to review the Bureau's

determination and issue a final decision. Jurisdictions may file an

appeal only upon completion of the Reconciliation process. Thus, those

jurisdictions scheduled for the first block canvassing wave will enter

the Appeal process before those in the later waves. Appeals for all

jurisdictions will be filed during the period April through September

1999. The Appeal process will be concluded by January 14, 2000. (The

OIRA Administrator's proposal for the Appeal process follows at Exhibit

2.)

The Next Stages in Developing the Reconciliation and Appeal

Processes

Comments are sought on all aspects of the Reconciliation and Appeal

processes. After these comments are reviewed and considered, the Bureau

and the OIRA Administrator plan to issue a notice, by July 1998,

outlining the final Reconciliation and Appeal processes.

Donald R. Arbuckle,

Deputy Administrator, Office of Information and Regulatory Affairs.

James Holmes,

Acting Director, Bureau of the Census.

Exhibit 1

Proposed Reconciliation Process

Reconciliation will be conducted by the Bureau of the Census

(Bureau) at the request of the participating local or tribal

government, or its designated representative. The process will begin

when a participating government formally disagrees with the Bureau's

decision regarding the inclusion, exclusion, or geographic placement of

specific addresses on the census address list that the participating

government recommended during the Local Update of Census Addresses

(LUCA) process.

1. When To File a Reconciliation Request

The participating government must file a Request for

Reconciliation, in writing, within 21 calendar days of receiving the

LUCA feedback (i.e., the information provided by the Bureau in response

to materials submitted by the participating government; the feedback

may be in the form of a paper listing or a computer file, as requested

by the participating government).

``Receipt'' as used herein shall be defined as the date the Bureau

transmits the document in question to the participating government plus

three (3) calendar days. The Bureau may transmit documents via first

class mail, via overnight delivery service, via facsimile, or via

electronic mail, as appropriate, but must keep an accurate record of

the date it transmits documents.

2. What Documentation To File

Requests for Reconciliation must be printed or typed. Documentation

must include: (1) the name of the participating government; (2) the

name, address, and telephone number of that government's contact

person; (3) the list of addresses or groups of addresses that are being

questioned; and (4) any supporting evidence.

With respect to the list of questioned addresses (or groups of

addresses), separate lists should be provided for addresses (a) which

are believed to exist but are not included on the census address list,

(b) which are believed to be incorrectly included on the census address

list, or (c) which are believed to be correctly included but not

correctly located on the census address list.

[[Page 14980]]

Specific recommendations should be provided for how addresses and their

locations should appear on the Census 2000 address list.

The supporting evidence should establish the validity of the

addresses and their locations. Two types of supporting evidence are

recommended below. The first specifically reflects the validity of any

address or map reference sources; the second describes other useful

sources of supporting evidence. The participating government may submit

any documentation it deems relevant in support of its claim.

a. Quality of address or map reference sources.

(1) The date of the address source.

(2) How often the address source is updated.

(3) The methods used to update the source.

(4) Quality assurance procedures that are used in maintaining the

address source.

(5) How the address source is used by the participating government

and/or by the originator of the source.

b. Other useful supporting evidence.

(1) On-site inspection and/or interview of resident.

(2) Issuance of recent occupancy permit for unit. (Building permits

are not acceptable as they do not ensure that the units have been built

and/or are occupied.)

(3) Provision of utilities (electricity, gas, sewer, water,

telephone, etc.) to the residence. The utility record should show that

this is not service to a commercial unit, or an additional service to

an existing residence (such as a second telephone line).

(4) Provision of other governmental services (housing assistance,

welfare, etc.) to residents of the unit.

(5) Issuance of demolition permits.

(6) Aerial photography and/or standard photography.

(7) Land use maps.

(8) Local 911 emergency lists, with flags distinguishing

residential from commercial units.

(9) Tax assessment records with flags distinguishing residential

from commercial units.

3. Where To File the Request for Reconciliation

A Request for Reconciliation must be filed with the Bureau's

Regional Census Center for the region in which the participating

government is located.

4. Reconciliation Review

Bureau staff will review materials submitted by the participating

government and will contact local or tribal participants to provide

them an opportunity to discuss their questions and concerns with Bureau

staff. This dialogue with the local or tribal participants may include

meetings in person, telephone conversations, written correspondence,

site inspections to view addresses, or a combination of these

approaches as determined by the Bureau.

Following this dialogue, the participating government will be

notified in writing of the Bureau's final determination and the basis

for it. Accepted addresses will be added to or corrected in the census

address list. The participating government also will be informed of its

right to an Appeal, and may proceed to the Appeal stage if it is not

satisfied with the resolution provided by the Bureau during the

Reconciliation phase.

In conducting the Census 2000 enumeration the Bureau will include

all addresses added to or corrected in the census address list as a

result of the Reconciliation and/or Appeal process, using the same

procedures used for all other addresses on the list. Inclusion of an

address on the list does not mean that a housing unit or its

inhabitants are actually at the address, or that the address will be

included in the final Census 2000 data summaries. The census-taking

process will determine the inclusion status of the address--whether or

not it is actually a housing unit--and the final population and housing

unit status for each address.

5. Time for Completion of Reconciliation Process

The Census Bureau is using 30 days as a standard for completing the

Reconciliation process for a jurisdiction. The standard should be

achievable for all jurisdictions but those with a large number of

disputed addresses. The Reconciliation review shall be completed and a

participating government shall be notified in writing of the Bureau's

determination no later than August 31, 1999. From the date a

participating government receives the Bureau's final determination, it

will have 30 calendar days in which it may file an Appeal on any or all

of the addresses (see the proposed Appeal Process issued by the

Administrator of the Office of Information and Regulatory Affairs).

Exhibit 2

Proposed Appeal Process

Following receipt of the Bureau's determination from the

Reconciliation process, the participating local or tribal government,

or its designated agent, may file an Appeal if it disagrees with the

Bureau's Reconciliation determination. The Appeal process will be based

solely on a review of written documentation provided by the

participating government and the Bureau.

1. When May a Participating Government File an Appeal

An Appeal must be filed by the participating government within 30

calendar days of that government's receipt of the Bureau's final

determination from the Reconciliation process (see 3, below, regarding

what the participating government must file within 30 days). An appeal

may be filed only with respect to addresses for which the participating

government had previously sought Bureau review during the LUCA program

and its Reconciliation process.

``Receipt'' as used herein shall be defined as the date the Bureau

transmits the document in question to the participating government plus

three (3) calendar days. The Bureau may transmit documents via first

class mail, via overnight delivery service, via facsimile, or via

electronic mail, as appropriate, but must keep an accurate record of

the date it transmits documents.

2. Who Will Review and Decide the Appeal

The Appeal process will be administered by a Consortium of Federal

agencies outside the Department of Commerce. Appeal Officers will be

selected from a roster of Federal employees who have been trained in

the procedures for an appeal and in the examination and analysis of

address information, locations of addresses, supporting documentary

evidence, and written position statements. Appeal Officers also will be

trained in the preparation of a written determination. The addresses

and telephone numbers of Consortium offices participating in the Appeal

process will be made public when they are selected.

3. What Documentation Shall the Participating Government File With an

Appeal

Each Appeal must be submitted to the Consortium, and must be

printed or typed. The appeal documentation must include: (1) the name

of the participating government; (2) the name, address, and telephone

number of that government's contact person; (3) the list of addresses

or groups of addresses that are being appealed; (4) a copy of the

Bureau's Reconciliation determination regarding those addresses; (5)

the date on which the participating government received the Bureau's

determination;

[[Page 14981]]

and (6) any supporting evidence for the position taken by the

participating government in its Appeal.

In its Appeal documentation, the participating government should

specifically respond to the explanation that accompanied the Bureau's

Reconciliation determination. With respect to the list of questioned

addresses (or groups of addresses), separate lists should be provided

for addresses (a) which are believed to exist but are not included on

the census address list, (b) which are believed to be incorrectly

included on the census address list, or (c) which are believed to be

correctly included but not correctly located on the census address

list. Specific recommendations should be provided for how addresses and

locations should appear on the census address list.

The supporting evidence should demonstrate the basis for the

participating government's position concerning the disputed addresses.

Supporting evidence may include the material submitted in support of

the Reconciliation review for the disputed addresses and any additional

information. Two types of supporting evidence were recommended by the

Bureau in its issuance regarding the Reconciliation process; the first

specifically reflects the validity of any address or map reference

sources; the second describes other useful sources of supporting

evidence:

a. Quality of address or map reference sources.

(1) The date of the address source.

(2) How often the address source is updated.

(3) The methods used to update the source.

(4) Quality assurance procedures that are used in maintaining the

address source.

(5) How the address source is used by the participating government

and/or by the originator of the source.

b. Other useful supporting evidence.

(1) On-site inspection and/or interview of resident.

(2) Issuance of recent occupancy permit for unit. (Building permits

are not acceptable as they do not ensure that the units have been built

and/or are occupied.)

(3) Provision of utilities (electricity, gas, sewer, water,

telephone, etc.) to the residence. The utility record should show that

this is not service to a commercial unit, or an additional service to

an existing residence (such as a second telephone line).

(4) Provision of other governmental services (housing assistance,

welfare, etc.) to residents of the unit.

(5) Issuance of demolition permits.

(6) Aerial photography and/or standard photography.

(7) Land use maps.

(8) Local 911 emergency lists, with flags distinguishing

residential from commercial units.

(9) Tax assessment records with flags distinguishing residential

from commercial units.

All of the Appeal documentation must be received by the Consortium

within 30 calendar days of the participating government's receipt of

the Bureau's final Reconciliation determination; at the same time, the

participating government shall send a complete copy of the Appeal

documentation to the Bureau. Except in response to a written request

from the Appeal Officer (see 6, below), the participating government

may not submit any materials to the Consortium after the 30-day period.

4. Assignment of an Appeal Officer and Notification of Appeal Status

Upon receipt of an Appeal, the Consortium will assign an Appeal

Officer to the case and notify the Bureau, in writing, that the Appeal

has been filed; a copy of the notification also will be sent to the

participating government. This notification will identify the

participating government and provide a list of the disputed addresses.

5. Submission by the Bureau of Written Documentation and Supporting

Evidence

Upon receipt of the notification that an Appeal has been filed, the

Bureau will have 14 calendar days in which to submit written

documentation briefly summarizing its position as well as any

supporting evidence concerning the disputed addresses to the Appeal

Officer. Except in response to a written request from the Appeal

Officer (see 6, below), the Bureau may not submit any materials to the

Appeal Officer after the 14-day period. At the same time the Bureau

must send to the participating government a complete copy of the

Bureau's submission to the Appeal Officer.

6. The Appeal Review and Determination

The Appeal Officer will review the written documentation and

supporting evidence submitted by the participating government and the

Bureau. No testimony or oral argument will be received by the Appeal

Officer. If the Appeal Officer determines that he or she requires

additional information or clarification, the Appeal Officer may request

it in writing, with notice to both parties, and the relevant party(ies)

shall respond in writing. Appeal Officers will apply the following

principles in conducting their review:

(1) The Appeal Officer shall consider the quality of the map or

address reference source as the basis for determining the validity of

an address or group of addresses and their locations.

(2) For those addresses for which the Appeal Officer determines

that the quality of the supporting evidence submitted by both parties

is generally of comparable value, the Appeal Officer shall decide in

favor of the participating government.

At the conclusion of reviewing a disputed address (or group of

addresses), the Appeal Officer will issue a written determination and

provide it to both the participating government and the Bureau. The

written determination will include a brief summary explanation of the

Appeal Officer's decision, and will specify how the disputed addresses

and/or block numbers should appear on the Census 2000 address list.

Each written determination shall become part of the administrative

record of the Appeal process.

An Appeal Officer's decision on a disputed address is final. In

conducting the Census 2000 enumeration the Bureau will include all

addresses added to or corrected in the census address list as a result

of the Appeal process, using the same procedures used for all other

addresses on the list. Inclusion of an address on the list does not

mean that a housing unit or its inhabitants are actually at the

address, or that the address will be included in the final Census 2000

data summaries. The census-taking process will determine the inclusion

status of the address--whether or not it is actually a housing unit--

and the final population and housing unit status for each address.

7. Time for Completion of Appeal Review

Appeal Reviews shall be completed and written determinations issued

to the concerned parties as soon as possible, and in any event no later

than January 14, 2000.

[FR Doc. 98-7959 Filed 3-26-98; 8:45 am]

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