Procedures for Participating in the Census Bureau Reconciliation and the OMB Appeal Processes for the Development of the Census 2000 Address List

Federal RegisterJun 30, 1999

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

Improvement Act of 1994 (Pub. L. 103-430), the Office of Management and

Budget (OMB) and the Bureau of the Census (Bureau) requested in a March

27, 1998, Federal Register Notice (63 FR 14978-14981) public comment on

proposed processes for developing the address list information that

will be used in conducting the 2000 Decennial Census of Population and

Housing (Census 2000). In that Notice, the Bureau proposed 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 could not be resolved, OMB

proposed 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 with respect to their suggestions for

the Census 2000 address list. No public comments were received in

response to the March 1998 Notice.

This Notice provides information about the final procedures and

schedule for the timely completion of the Local Update of Census

Addresses (LUCA) program (Exhibit 1) and the Appeal process for the

development of the Census 2000 address list. This Notice also announces

the establishment of the Census Address List Appeals Office outside the

Department of Commerce. This temporary Federal office, rather than a

consortium of Federal agencies as originally proposed in the March 1998

Notice, will administer the Appeal process described in Exhibit 2.

ADDRESSES: Any correspondence about the final Reconciliation procedures

should be sent to: John H. Thompson, Associate Director for Decennial

Census, Bureau of the Census, Washington, DC 20233. Any correspondence

about the final Appeal procedures should be sent to: Katherine K.

Wallman, Chief Statistician, Office of Information and Regulatory

Affairs, Office of Management and Budget, Washington, DC 20503.

Electronic Availability and Addresses: This Federal Register Notice

is available electronically from the OMB web site: http://

www.whitehouse.gov/OMB/fedreg/index.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 e-mail [email protected]>>.

FOR FURTHER INFORMATION CONTACT: For information about the Bureau's

Reconciliation process, contact Robert W. Marx, Chief, Geography

Division, Bureau of the Census, Washington, DC 20233; telephone: (301)

457-2131; fax (301) 457-4710. For information about the Appeal process,

contact Dr. Philip N. Fulton, Director, Census Address List Appeals

Office, 1730 K Street, NW, Suite 418, Washington, DC 20006; telephone

(202) 208-4613.

SUPPLEMENTARY INFORMATION:

The Census Address List Improvement Act of 1994

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

changed the Bureau's decennial census address list development

procedures. The intent of the Act is threefold: (1) to improve the

overall completeness and locational accuracy of the Bureau's housing

unit address information; (2) to ensure a complete Census 2000; and (3)

to resolve disagreements that local and tribal governments have

concerning the completeness and locational accuracy of the Bureau's

housing unit address information for their jurisdictions prior to

taking Census 2000. (The term ``housing unit,'' as used in this Notice,

conforms with the definition of this term adopted for Census 2000, as

follows: ``A house, an apartment, a mobile home or trailer, a group of

rooms or a single room occupied as a separate living quarters or, if

vacant, intended for occupancy as a separate living quarters. Separate

living quarters are those in which the occupants live separately from

any other individuals in this building and which have direct access

from outside the building or through a common hall. For vacant units,

the criteria of separateness and direct access are applied to the

intended occupants whenever possible. If that information cannot be

obtained, the criteria are applied to the previous occupants.'')

The Act changed the Bureau's procedures in three significant ways:

First, to develop the Census address list for the most numerous type of

addresses (city-style, used for mail delivery), Section 4 requires that

the United States Postal Service (Postal Service) provide to the Bureau

the address information it collects and updates to operate its mail

delivery service. Second, to increase the role of local and tribal

governments in the development of the Bureau's list of housing unit

addresses, Section 2 requires that the Bureau develop a process under

which it will provide to participating governments their respective

portions of the Bureau's housing unit address list and then receive,

review, and respond to suggestions regarding needed additions and

corrections. Third, to ensure that participating governments have a

means to appeal the Bureau's determinations, Section 3 requires that

the Administrator of OMB's Office of Information and Regulatory Affairs

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

the Bureau, develop an Appeal process to resolve any disagreements that

may remain after participating governments receive the Bureau's

Detailed Feedback/Final Determination materials.

On March 27, 1998, OMB and the Bureau requested comment on proposed

address list procedures (63 FR 14978-14981). No comments were received

on the proposals. This Notice issues final procedures, which reflect

changes resulting from subsequent experience and further consideration

of the issues. This Notice also announces the establishment of the

Census Address List Appeals Office outside the Department of Commerce

to administer the Appeal process described in Exhibit 2.

The Bureau's Address List Review Processes

As part of implementing the Census Address List Improvement Act of

1994, the Bureau developed specific components of an address list

review process, known as the Local Update of Census Addresses (LUCA)

program. The Bureau is using the LUCA program to help develop the

housing unit address information that it needs to conduct Census 2000.

The Bureau made the LUCA program available to all local and tribal

governments (or their designated representatives) in areas for which it

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develops a housing unit address list in advance of Census 2000. In

early 1998, the Bureau mailed letters and related information inviting

local and tribal governments to participate. For the 17,540 governments

that have chosen to participate (as of March 26, 1999), the LUCA

program provides an opportunity for them to review the Bureau-compiled

housing unit address list for their respective jurisdictions.

During the past year, the Bureau reviewed the LUCA process

originally proposed in the March 1998 Notice in light of experience in

the Census 2000 Dress Rehearsal and other factors. This review of the

Dress Rehearsal experiences provided information about how the LUCA

process might work in areas with different types of mail delivery and

address numbering systems, and how the Bureau could most effectively

use these different types of addresses and delivery systems in its

various Census 2000 enumeration methodologies. Based on experience to

date, the Bureau identified several operations that required

modification of the LUCA Review, Detailed Feedback, Reconciliation, and

Final Determination processes originally proposed. These modifications

are described below.

(1) The Bureau decided that the LUCA Review process for areas that

use predominantly house-number and street-name (city-style) addresses

for mail delivery should be separate from the LUCA Review process for

areas that use predominantly other types of addresses, such as rural

route, post office box number, or general delivery addresses for mail

delivery. The Bureau made this decision based on the procedural

complexity, and resulting participant confusion, of trying to implement

review procedures for both types of areas simultaneously. In addition,

the time required for the creation of the Census 2000 address list for

the two types of areas precluded simultaneous review without seriously

delaying the review process for the vast majority of addresses.

(2) Based on the experience gained during the Census 2000 Dress

Rehearsal, as indicated in item (1) above, the Bureau determined that

it should implement the LUCA program using two different procedures,

depending on the Census 2000 enumeration methodology planned for

specific census blocks. These differing enumeration methodologies

frequently do not conform to the boundaries of individual jurisdictions

(the enumeration methodologies are determined on a census block-by-

census block basis). Approximately 2,560 of the 17,540 local and tribal

governments in the United States that chose to participate in the LUCA

program as of March 26, 1999, will need to use two different review

procedures for their territory. The two distinct LUCA procedures for

Census 2000--LUCA 1998 and LUCA 1999--will operate on separate

schedules. Both procedures are described in more detail below.

(3) The Bureau realized that it is not be possible to provide a

separate review process for areas in which the Census 2000 address list

will not be compiled in advance of Census 2000 (List/Enumerate and

Remote Alaska areas). The Bureau made this decision because it will not

have any address list to provide to local or tribal governments in

these areas before Census 2000. As of March 26, 1999, there were 669

functioning governments that are completely in this category and an

additional 546 governments that are partially in this category that

also contain territory eligible for either the LUCA 1998 or LUCA 1999

program (or both). Thus, approximately 1,200 governments will be

affected by this situation.

(4) The Bureau learned that neither participants nor Bureau staff

could make determinations about the accuracy of individual housing unit

addresses in areas where the Census 2000 address list uses descriptive

addresses plus map spot location annotations on the accompanying maps,

in contrast to participant records that use other forms of housing unit

identification, such as tax lot numbers or E-911 emergency service

addresses. For these areas, the Bureau has decided that the most

effective review process would be for the governments to review only

the count (total number) of housing unit addresses in each census

block. The Bureau will continue to provide the detailed Census 2000

address list and related maps to participating governments, solely as a

reference. (See LUCA 1999 below.)

(5) The Bureau determined, after two thorough and detailed

operational reviews, that it could not complete the full range of

operations related to all components of the Census 2000 address list

development process, incorporate LUCA responses from participants,

complete the required field checks of differences, process those

results, and provide the Final Determination materials on the schedule

originally outlined in the March 1998 Notice. This analysis resulted in

the revised, but more realistic, schedule for the operational steps

described below. In light of the simpler (or streamlined) LUCA 1999

review process, the Bureau decided to limit the address list review

period for participants in LUCA 1999 to 42 calendar days rather than

the 3 months allocated for participants in LUCA 1998. This change is

necessary to ensure that participant suggestions and the subsequent

review activities can be completed in time to meet the questionnaire

printing and address labeling schedule for Census 2000. To streamline

the process for LUCA 1998 areas, where the review began much earlier,

the Bureau determined that it would eliminate a very time-constrained

review burden on local and tribal participants (a separate process

formerly called Detailed Feedback) and include that Detailed Feedback

information with the Final Determination materials. Thus, the Bureau

will routinely recheck all differences between participant suggestions

and its initial field check, rather than only the limited set of

differences disputed by participants.

During 1998, the Bureau worked on developing the Census 2000

address list in cooperation with the Postal Service and through various

field operations. As governments notified the Bureau of their desire to

participate in one or both of the LUCA programs, the Bureau generated

and delivered appropriate address lists and other review materials,

along with procedural information to help participants understand and

complete the review process. The review materials provide each

participating local and tribal government (or their designated

representative) information documenting the number of housing unit

addresses in each census block within the jurisdiction, a list of the

individual housing unit addresses recorded in the Census 2000 address

list for each of these census blocks, a copy of the Bureau maps that

display the streets and census block numbers within and near the

jurisdiction, and other related materials.

The list used for questionnaire address labeling and delivery will

reflect additions, deletions, and corrections to housing unit addresses

that were suggested by LUCA participants once those addresses are

confirmed by the field check component of the Reconciliation process or

mandated by the Appeal process. Inclusion of an address on the Census

2000 address list at this stage does not mean that a housing unit will

be found at the time of Census 2000, that any inhabitants will be found

at the address, or that the address will be included in the final

Census 2000 data summaries. The census-taking process, including the

update/leave operation (in LUCA 1999 areas), rural update/enumerate,

and the nonresponse follow-up and

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other coverage improvement operations (in both LUCA 1998 and LUCA 1999

areas), will determine the final inclusion status of each address;

i.e., whether or not there is actually a housing unit at the address as

of April 1, 2000, and the number of people, if any, residing at each

address existing on that date.

LUCA 1998

The LUCA 1998 program is for jurisdictions or portions of

jurisdictions in which the Postal Service uses house-number and street-

name (city-style) addresses for most mail delivery. There were more

than 9,000 local and tribal governments participating in LUCA 1998 as

of March 26, 1999. These governments include more than 90 percent of

the housing unit addresses eligible for review during LUCA 1998. Most

performed their review of the appropriate portion of the Census 2000

address list and related Bureau maps during late 1998 and early 1999.

Under the LUCA 1998 procedures, they provided to the Bureau specific,

detailed housing unit address suggestions, including corrections,

additions, deletions, and address location changes.

Although most housing units in LUCA 1998 areas use city-style

addresses for mail delivery, there may be a few housing units with

other types of addresses or other types of mail delivery, such as rural

route and box number. The Bureau issued its standards for city-style

addresses in a November 27, 1995, Federal Register Notice (60 FR

58326--58329). These standards describe the components of acceptable

city-style addresses, including apartment designations for each housing

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

distinction between residential and commercial addresses.

In Census 2000, the Bureau will use the mail-out/mail-back

methodology to enumerate most housing units and their occupants in

areas eligible for LUCA 1998. (The Bureau may enumerate some housing

units in areas eligible for LUCA 1998 using other methodologies, based

on operational determinations made during various Census 2000

preparatory activities.) To ensure a uniformly complete Census 2000

address list in areas eligible for LUCA 1998, to ensure that each

housing unit address in these areas is assigned to the correct census

block regardless of whether a local or tribal government agreed to

review its portion of the Census 2000 address list (or equivalent

computer-readable file), and to ensure that all locatable housing unit

addresses in these areas are included on the Census 2000 address list,

temporary Bureau staff will update and verify the existence and census

block location of every housing unit address that exists in early 1999

as part of a field check operation called block canvassing. This field

check will cover approximately 94 million housing units and will be

conducted in three waves, each lasting approximately 6 weeks. The first

wave began in mid-January 1999, and the third wave was completed in

late May 1999.

Each government that notified the Bureau by November 28, 1998, of

its intent to participate in LUCA 1998 had 3 months during which to

conduct its Census 2000 housing unit address list and related Bureau

map review once it received its review materials. Under this review

schedule, the Bureau received most of the completed LUCA 1998 review

materials by March 15, 1999. (An exception to the March 15, 1999,

receipt date was made only when the Bureau did not deliver review

materials in a timely fashion to participants who entered the program

by November 28, 1998. For approximately 600 of these governments, the

Bureau determined that its Census 2000 address list would not be

suitable for review until after completion of its field check

operation.) Governments that entered the LUCA 1998 program after

November 28, 1998, were not allowed 3 months for their review. Since

they, also, were required to return their completed LUCA 1998 review

materials on a schedule that ensured receipt by the Bureau by no later

than March 15, 1999, the time allowed for their review was determined

by the date they notified the Bureau of their intent to participate.

Governments participating in LUCA 1998 were notified that the Bureau

would not accept any LUCA 1998 address additions, deletions, or

corrections after March 15, 1999, except as noted above. Adhering to

this deadline will ensure that the Bureau can complete all subsequent

LUCA and other Census 2000 address list development steps in a timely

manner.

Reconciliation Process

The Bureau will provide timely, written, Detailed Feedback/Final

Determination materials to each local or tribal government that

returned address additions, deletions, and/or corrections during the

LUCA 1998 review phase. The Bureau will provide these materials after

the following two processes have been completed. First, all

participant-suggested address additions, deletions, and/or corrections

will be reviewed and evaluated against the results of the early 1999

field check (block canvassing). To perform this evaluation, the Bureau

will computer-match each participant-suggested addition, deletion, and

correction to the addresses Bureau staff observed during the early 1999

field check. Second, for all participant-suggested addresses not

accepted by the Bureau based on the initial field check (block

canvassing), the Bureau will send staff into the field to conduct a

second on-site check (Reconciliation) to determine which housing units

actually exist at the time of this second field check and to ensure

that each is assigned to the correct census block in the evolving

Census 2000 address list. (The Bureau's procedure for the LUCA 1998

Reconciliation process follows as Exhibit 1A.) The goal of the LUCA

1998 Reconciliation process is to ensure accurate information when

participating governments have identified specific addresses or groups

of addresses that they believe are missing, incorrect, and/or not

properly located, and to reach concurrence between the Bureau and each

participating government regarding those addresses. This concurrence

relates both to the existence and to the census block location of each

such address.

Using the wave approach to the field check operation in all mail-

out/mail-back areas during the period from mid-January to late May 1999

means that the Reconciliation process will begin in June 1999 for the

first LUCA 1998 governments, and some LUCA 1998 governments will begin

to receive their Detailed Feedback/Final Determination materials in

August 1999. All participating LUCA 1998 governments will have received

their Detailed Feedback/Final Determination materials by November 1999.

The Detailed Feedback/Final Determination materials will tell each

participating government which of its additions, deletions, and/or

corrections the Bureau found and which it did not find. These materials

will include: (1) a Detailed Feedback/Final Determination Processing

Report containing tallies of recommendations submitted by the

participating government and tallies of actions taken by the Bureau for

that government; (2) a Detailed Feedback/Final Determination list

covering the specific address additions, deletions, and/or corrections

submitted by the participant; (3) updated information documenting the

number of housing unit addresses in each census block within the

jurisdiction; (4) an updated list of all individual housing unit

addresses in every census block within the jurisdiction, as recorded in

the evolving Census 2000 address list; and

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(5) a copy of the updated Bureau maps covering the jurisdiction.

The second on-site check (Reconciliation), described above, will

conclude with delivery by the Bureau of written Detailed Feedback/Final

Determination materials regarding the existence and the census block

location of each disputed address. For each participating government,

the Bureau's LUCA 1998 program for Census 2000 will be officially

completed at the time the Bureau provides its Detailed Feedback/Final

Determination materials.

Appeal Process

If, at the end of the Detailed Feedback/Final Determination

processes, a participating government still disagrees with the Bureau's

Final Determination regarding the existence or location of a specific

address or group of addresses, the participating government may seek a

formal review of the Bureau's Final Determination through the Appeal

process described in Exhibit 2A of this Notice.

Only those local or tribal governments that participated in the

LUCA 1998 review program and completed a review of the Detailed

Feedback/Final Determination materials are eligible to file an Appeal.

Appeals must be filed within 30 calendar days after receiving the

Detailed Feedback/Final Determination materials. Appeals filed after

the deadline will be denied.

To file an Appeal, each eligible government must provide the

specific address(es) it believes to be missing or misrepresented,

including for each address, the Census 2000 block number and the LUCA

tracking number, as provided by the Bureau in the Detailed Feedback/

Final Determination materials. Eligible governments may appeal only

those addresses they submitted as additions or corrections as part of

the LUCA review process that they still believe to be incorrectly

represented on the Census 2000 address list when they receive their

Detailed Feedback/Final Determination materials; they may not appeal

other addresses that were not submitted previously as additions or

corrections.

An eligible LUCA 1998 government may appeal to the Census Address

List Appeals Office and must submit a duplicate copy of any additional

evidence it provides at that time to the Bureau's Regional Census

Center responsible for the jurisdiction. (After notification from the

Appeals Office to the Bureau, the Bureau will have 15 calendar days to

submit the evidence it has compiled concerning the Census 2000 address

list for the area served by the appealing government to the Census

Address List Appeals Office.) The Appeal process will be concluded by

January 14, 2000.

Postal Service Updates

To ensure further that the Census 2000 address list is uniformly

complete in all areas eligible to participate in LUCA 1998, the Bureau

will use address information provided by the Postal Service in two

separate operations. First, it will use address information provided in

computer-readable format during the last quarter of 1999 to update the

Census 2000 address list with addresses added after the Detailed

Feedback/Final Determination process. Second, it will pay the Postal

Service to have Postal Service letter carriers check the completeness

of the Census 2000 address list in early 2000 in an operation called

the Postal Service Address Validation Check. The Postal Service also

will be responsible for delivering a Census 2000 questionnaire to each

housing unit address on the resulting address list in March 2000 (the

mail-out process). The occupants of each housing unit will be asked to

complete the questionnaire and return it by mail (the mail-back

process).

New Construction Program

The Bureau has developed a New Construction Program to ensure that

addresses resulting from new construction that occurs between the

completion of the Postal Service Address Validation Check and Census

Day are included in Census 2000. All new construction addresses

identified as a result of this program will be matched against the

Census 2000 address list. Submissions that duplicate addresses that are

already included in the Census 2000 address list will be removed.

Enumerators will visit each remaining address during the Census 2000

Coverage Improvement Follow-up Operation and complete a questionnaire

for each housing unit that exists at each new address as of Census Day.

(The term ``new construction'' refers to housing units that have been

built and occupied between January 2000 and Census Day, or to housing

units being built, for which basic construction has been completed,

closing the structure from the elements, but not occupied.)

The Bureau will offer the New Construction Program to all entities

eligible to participate in LUCA 1998 (mainly the area in which the

Postal Service uses house-number and street-name addresses for most

mail delivery) regardless of whether they participated. In the

remaining areas, the Bureau has developed enhanced procedures (update/

leave, rural update/enumerate, and list/enumerate) to identify new

construction.

New Construction Program participants that also participated in the

LUCA 1998 program may not submit any addresses that they disputed

during the LUCA program with the exception of those that were not found

to exist during the LUCA program but have since completed basic

construction, closing the structure from the elements.

The Bureau will provide copies of the Census 2000 address list and

related maps as of late 1999 to New Construction Program participants.

The Census 2000 address list provided will show only Basic Street

Addresses (BSA) and will not contain individual housing unit addresses

within multi-unit structures, but it will contain the number of housing

units within a BSA.

New Construction Program participants must submit new addresses on

a Census Bureau ``add'' worksheet (or in a computer-readable format

specified by the Census Bureau). The worksheet will require

participants to provide the census block number for each new address.

If the new BSA address includes two or more housing units, then the

full address for each housing unit, including the internal designation

(apartment or unit number), must be submitted individually on the

``add'' worksheet (or in computer-readable format). If an existing

multi-unit BSA has been remodeled or renovated to change the number of

housing units at that BSA, then all of the housing units at that BSA

must be supplied on the ``add'' worksheet (or in computer-readable

format) with the full address for each housing unit, including the

internal designation (apartment or unit number) of each. Additionally,

the participants must draw the location of every new street along which

new housing units are located, and label each with its street name, on

the Bureau maps.

LUCA 1999

The LUCA 1999 program is for those jurisdictions and portions of

jurisdictions in which the Postal Service uses rural route, post office

box number, or general delivery addresses for most mail delivery,

although these areas may include some housing units with city-style

addresses. There were approximately 10,800 local and tribal governments

participating in the LUCA 1999 program as of March 26, 1999. These

governments include more than 60 percent of the housing unit addresses

and/or location descriptions (addresses) eligible for review in LUCA

1999. They will perform their review of the

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appropriate portion of the Census 2000 address list and related Bureau

maps during January through mid-June 1999. In LUCA 1999 areas,

participants may respond only by identifying those census blocks on the

Census 2000 Block Housing Unit Summary List that appear to have too few

or too many housing unit addresses and/or location descriptions in the

Census 2000 address list (disputed blocks). Since the LUCA 1999 process

is one of reviewing only housing unit address counts, the Bureau will

not accept individual specific housing unit address additions and/or

corrections from LUCA 1999 participants.

In Census 2000, the Bureau will use the update/leave methodology to

enumerate most housing units and their occupants in areas eligible for

LUCA 1999. (The Bureau may enumerate some housing units in areas

eligible for LUCA 1999 using other methodologies, based on operational

determinations made during various Census 2000 preparatory activities.)

To ensure a uniformly complete Census 2000 address list in areas

eligible for LUCA 1999, to ensure that each address is assigned to the

correct census block regardless of whether a local or tribal government

agreed to review its portion of the Census 2000 address list, and to

ensure that all locatable addresses in these areas are included on the

Census 2000 address list, temporary Bureau employees will verify the

completeness and locational accuracy of each address on the list as

they deliver a Census 2000 questionnaire to it in March 2000 (update/

leave methodology). At that time, they will add to the Census 2000

address list any additional addresses they find, and make other needed

corrections to the Census 2000 address list and related Bureau maps.

Each address in the portions of the Census 2000 address list

covering areas eligible for LUCA 1999 will include a map spot number

that is linked to a specific (approximate) housing unit location on the

maps that the Bureau provides to governments participating in LUCA

1999. These ``other addresses'' on the Census 2000 address list will

provide the most recent address available for each housing unit. The

Bureau completed housing unit address listing activities to prepare the

Census 2000 address list for these areas in early 1999. Because of the

extensive area this address listing activity covered, the Bureau

implemented this operation in three waves. This resulted in three waves

of delivery for the review materials to governments participating in

LUCA 1999. The Bureau began providing review materials to governments

participating in LUCA 1999 in January 1999, and most remaining LUCA

1999 review materials were provided by the end of May 1999.

Each jurisdiction or portion of a jurisdiction with predominantly

non-city-style addresses conducted its review of the address counts in

its portion of the Census 2000 address list and related Bureau maps,

from January through May 1999. Each government that notified the Bureau

by March 12, 1999, of its intent to participate in LUCA 1999 had 42

calendar days to conduct its review once it received the materials.

This review schedule ensured receipt by the Bureau of most of the

completed LUCA 1999 review materials by May 12, 1999. (An exception to

the May 12, 1999, receipt date was made only if the Bureau did not

deliver review materials by March 31, 1999, to participants who entered

the LUCA program by March 12, 1999; these participants still were

allowed the full 42 calendar days for their review process.)

Governments that entered the LUCA 1999 program after March 12, 1999,

were not allowed 42 calendar days for their review. Since they, also,

were required to return their completed LUCA 1999 review materials on a

schedule that ensured receipt by the Bureau by no later than May 12,

1999, the time allowed for their review was determined by the date they

notified the Bureau of their intent to participate. Governments

participating in LUCA 1999 were notified that the Bureau would not

accept any LUCA 1999 disputed address counts after May 12, 1999, except

as noted above. Adhering to this deadline ensured that the Bureau could

complete all subsequent LUCA and other Census 2000 address list

development steps in a timely manner.

The review period was shortened from 3 months to 42 calendar days

for the following three reasons: First, the total number of addresses

for most of these jurisdictions is much smaller than for most LUCA 1998

jurisdictions. Second, the process of reviewing only counts of housing

unit addresses in census blocks is a much simpler process than the

detailed housing unit address reviews for LUCA 1998. Third, the Bureau

plans to relist (Reconciliation process) all housing unit addresses

and/or location descriptions in census blocks for which participants

identify housing unit address count discrepancies (disputed blocks).

Reconciliation Process

After receiving from each participating local and tribal government

the completed Census 2000 Block Housing Unit Summary List that

identifies census blocks with housing unit address count discrepancies,

the Bureau will update its maps with participant-supplied corrections

and send staff into the field to recompile the Census 2000 address list

in each disputed census block (Reconciliation process). Bureau staff

will verify the existence and location of every housing unit in each

disputed block, ensure that there is a complete address and/or location

description for each, and enter a map spot for each on the Bureau maps

for the disputed blocks. During this relisting (Reconciliation), they

will determine which housing units actually exist at the time of this

second field check and ensure that the address for each is assigned to

the correct census block in the evolving Census 2000 address list. (The

Bureau's procedure for the LUCA 1999 Reconciliation process follows as

Exhibit 1B.) The goal of the LUCA 1999 Reconciliation process is to

resolve disagreements regarding specific disputed housing unit address

and/or location description counts, and to reach concurrence between

the Bureau and each participating government regarding those housing

unit address and/or location description counts in each census block.

The Bureau intends to complete all housing unit relisting

(Reconciliation) field work for each jurisdiction within 21 calendar

days, plus an additional 30 calendar days to process the results and

produce the Detailed Feedback/Final Determination materials. The

relisting (Reconciliation) process will conclude with delivery by the

Bureau of written Detailed Feedback/Final Determination materials

regarding the number of housing unit addresses and/or location

descriptions in each disputed census block.

The Bureau will provide timely, written, Detailed Feedback/Final

Determination materials to each government that returns a Census 2000

Block Housing Unit Summary List (or equivalent computer-readable file)

with housing unit address and/or location description count corrections

during the LUCA 1999 review phase. The Bureau will provide these

materials after participant-disputed blocks have been relisted (the

Reconciliation process) and the resulting housing unit address and/or

location description information have/has been added to the evolving

Census 2000 address list.

The wave approach to the housing unit relisting operation in LUCA

1999 areas will result in three waves of delivery for the Detailed

Feedback/Final Determination materials to governments participating in

LUCA 1999. These materials will include: (1) a report

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covering the specific disputed census blocks identified by the

participant and updated with information documenting the final number

of addresses in each census block within the jurisdiction; (2) an

updated list of all individual addresses for every housing unit in the

disputed census blocks within the jurisdiction, as recorded in the

evolving Census 2000 address list; and (3) a copy of updated Bureau

maps covering the jurisdiction.

According to the LUCA 1999 timetable, the relisting

(Reconciliation) process began in May 1999 for the first LUCA 1999

governments, and some LUCA 1999 governments will begin to receive their

Detailed Feedback/Final Determination materials in June 1999. All

participating LUCA 1999 governments will have received their Detailed

Feedback/Final Determination materials by October 1999. For each

participating government, the Bureau's LUCA 1999 program for Census

2000 will be officially completed at the time the Bureau provides its

Detailed Feedback/Final Determination materials.

Appeal Process

If, at the end of the Detailed Feedback/Final Determination

process, a participating government still disagrees with the Bureau's

Final Determination regarding the number of housing unit addresses in

one or more specific census blocks, the participating government may

seek a formal review through the Appeal process described in Exhibit 2B

of this Notice.

Only those local or tribal governments that participated in the

LUCA 1999 review program, submitted their annotated Census 2000 Block

Housing Unit Summary List with count discrepancies, and completed a

review of the Detailed Feedback/Final Determination materials are

eligible to file an Appeal. The Appeal may be filed only after the

eligible government receives the Detailed Feedback/Final Determination

materials from the Bureau, and the Appeal must be filed within 30

calendar days after that date. Appeals filed after the deadline will be

denied.

An eligible government may Appeal the Detailed Feedback/Final

Determination address count. To do so, each eligible government must

provide the following two items of information for each specific

address it believes is missing from the Census 2000 address list: (1)

the specific address(es) or location description(s) of the housing

unit(s) the participant believes to be missing, including for each

address, the Census 2000 block number, and (2) the specific location of

each ``missing'' address by adding a ``map spot'' in relation to the

other map spots and an accompanying map spot number on the map that the

Bureau provided with the Detailed Feedback/Final Determination

materials. Eligible governments may not appeal address counts for other

blocks included in their initial review that they did not dispute

previously.

An eligible LUCA 1999 government may appeal to the Census Address

List Appeals Office, and must submit a duplicate copy of its additional

evidence to the Bureau's Regional Census Center responsible for the

jurisdiction. (After notification from the Appeals Office to the

Bureau, the Bureau will have 15 calendar days to submit its evidence

concerning the appealing government to the Census Address List Appeals

Office.) The Appeal process will be concluded by January 14, 2000.

Donald R. Arbuckle,

Acting Administrator, Office of Information and Regulatory Affairs,

Office of Management and Budget.

Kenneth Prewitt,

Director, Bureau of the Census, Department of Commerce.

Exhibit 1--Census Bureau's Procedures for the Reconciliation

Process

This exhibit describes the Reconciliation component of the Local

Update of Census Addresses (LUCA) program. The goal of the

Reconciliation process is to ensure accurate information when

participating governments have identified specific addresses that they

believe are missing, incorrect, or not properly located (in LUCA 1998

areas) or specific census blocks in which they dispute the counts of

housing units (LUCA 1999 areas), and to reach concurrence between the

Bureau of the Census (Bureau) and the participating government. This

concurrence relates both to the existence and to the census block

location of such housing unit addresses and housing unit counts.

A. Reconciliation Process for LUCA 1998 Areas--Areas in Which the

Bureau Will Use the Mail-out/Mail-back Enumeration Methodology for Most

Housing Units

This section provides information on how local and tribal

governments that returned their annotated review materials participate

in the Reconciliation process for LUCA 1998 areas.

1. What Governments Are Eligible for the Reconciliation Process in LUCA

1998?

Local and tribal governments that participate in the Bureau's 1998

Local Update of Census Addresses (LUCA 1998) program are eligible for

the Reconciliation process if they returned review materials with

specific address additions, deletions, or corrections. A second on-site

check (Reconciliation) of all disputed addresses will be conducted by

the Bureau for differences identified by the participating local or

tribal government (or its designated representative).

2. What Is the Deadline for Submitting Materials for LUCA 1998

Reconciliation?

Participating local or tribal governments are eligible for the

Reconciliation process if the Bureau was in receipt of their annotated

review materials by the date specified by the Bureau. Eligibility for

Reconciliation was determined by the date the annotated materials were

postmarked or received by an overnight delivery service. The term

``receipt,'' as used herein, shall be defined as the date the Bureau

transmits the Detailed Feedback/Final Determination materials to the

participating government plus 3 calendar days.

3. What Must a Participating Government Submit To Be Eligible for LUCA

1998 Reconciliation?

Participating governments must provide the annotated Census 2000

address list (or equivalent computer-readable file) from their review

process showing the address(es) that they wish to dispute. The

participating government must use Bureau procedures to identify

addresses that: (a) the participating government believes exist but are

not included on the Census 2000 address list; (b) the participating

government believes do not exist but are included on the Census 2000

address list; (c) the participating government believes exist but are

not correct as included on the Census 2000 address list; (d) the

participating government believes exist but are not residential

addresses as indicated on the Census 2000 address list, or (e) the

participating government believes exist but are not located within its

jurisdiction as indicated on the Census 2000 address list. The

annotated Census 2000 address list (or equivalent computer-readable

file) also must provide the specific missing, corrected, or deleted

addresses and their Census 2000 block numbers.

[[Page 35554]]

4. Where Must a Participating Government Submit Its LUCA 1998 Review

Materials?

Completed review materials must be submitted to the Bureau's

Regional Census Center for the region in which the participating

government is located. The Bureau will provide detailed procedures when

it transmits the review materials to each participating government.

5. What Is the Bureau's Reconciliation Process for LUCA 1998 Areas?

The Bureau will attempt to computer-match all participant-suggested

address additions, deletions, and/or corrections against the results of

the early 1999 field check (block canvassing). For each address that

does not match the results of the early 1999 field check, the Bureau

will send staff into the field to conduct a second on-site check (the

Reconciliation process) to determine which housing units actually exist

at the time of this second field check and to ensure that each address

is assigned to the correct census block in the evolving Census 2000

address list. Following this second field check, the participating

government will be notified, in writing, of the Bureau's Detailed

Feedback/Final Determination and the basis for it. The Census 2000

address list will be updated with additions, deletions, and corrections

resulting from the LUCA review. The participating government also will

be informed of its right to file an Appeal, notified of the procedure

for when and where to file that Appeal, and what the Appeal must

include, 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, and/or corrected in, the Census 2000 address

list as a result of the second field check (Reconciliation) and/or

Appeal processes, using the same procedures it will use for all other

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

mean that a housing unit will in fact be found to exist, that any

inhabitants will actually be found at the address, or that the housing

unit 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 actually is a housing unit, and the

population total at that address.

6. How Much Time Is Allowed for the Completion of the LUCA 1998

Reconciliation Process?

The Census Bureau expects to begin the second field check

(Reconciliation) process in June 1999 and complete the process in

August 1999. Thus, it should begin providing Detailed Feedback/Final

Determination materials in July 1999. All participating governments

will be notified in writing of the Bureau's Detailed Feedback/Final

Determination by no later than October 1999. From the date a

participating government receives the Bureau's Detailed Feedback/Final

Determination materials, it will have 30 calendar days in which it may

file an Appeal regarding any or all of the address corrections not

accepted by the Bureau (see Exhibit 2A for the Appeal process).

B. Reconciliation Process for LUCA 1999 Areas--Areas in Which the

Bureau Will Use the Update/Leave Enumeration Methodology for Most

Housing Units

This section provides information on how local and tribal

governments that returned their annotated review materials participate

in the Reconciliation process for LUCA 1999 areas.

1. What Governments Are Eligible for the Reconciliation Process in LUCA

1999?

Local and tribal governments that participate in the Bureau's 1999

Local Update of Census Addresses (LUCA 1999) program are eligible for

the Reconciliation process if they returned their Census 2000 Block

Housing Unit Summary List (or equivalent computer-readable file) and

they disputed the housing unit address and/or location description

count for one or more census blocks. Relisting (Reconciliation) of

census blocks with disputed housing unit address counts will be

conducted by the Bureau for blocks identified by the participating

local or tribal government (or its designated representative).

2. What Is the Deadline for Submitting Materials for LUCA 1999

Reconciliation?

Each participating local or tribal government must submit its

annotated Census 2000 Block Housing Unit Summary List within 42

calendar days after the receipt of the LUCA 1999 review materials from

the Bureau to be eligible for the Reconciliation process. Eligibility

for Reconciliation will be determined by the date the annotated

materials are postmarked or received by an overnight delivery service.

The Census 2000 Block Housing Unit Summary List identifying disputed

census blocks must be in the form of a paper listing or a computer

file, as requested by the participating government for the initial

review. The term ``receipt,'' as used herein, shall be defined as the

date the Bureau transmits the Detailed Feedback/Final Determination

materials to the participating government plus 3 calendar days. The

participating government may transmit documents via Express mail or

overnight delivery service, and must keep an accurate record of the

date it transmits these materials.

3. What Must a Participating Government Submit To Be Eligible for LUCA

1999 Reconciliation?

Participating governments that wish to dispute the count of housing

unit addresses for a specified census block must provide the annotated

Census 2000 Block Housing Unit Summary List (or equivalent computer-

readable file) for which the Census 2000 housing unit address and/or

location description count is being disputed.

4. Where Must a Participating Government Submit Its LUCA 1999 Review

Materials?

Completed review materials must be submitted to the Bureau's

Regional Census Center for the region in which the participating

government is located. The Bureau will provide detailed procedures when

it transmits the review materials to each participating government.

5. What Is the Bureau's Reconciliation Process for LUCA 1999 Areas?

The Bureau will review the materials submitted by the participating

government and prepare the detailed maps and address listings needed to

perform a relisting (second field check) in each census block with a

disputed housing unit address and/or location description count.

Addresses and/or location descriptions for housing units will be added

to, deleted from, and/or corrected in the evolving Census 2000 address

list.

Following this relisting, the participating government will be

notified, in writing, of the Bureau's Detailed Feedback/Final

Determination for each disputed block. At this time, the participating

government also will be informed of its right to file an Appeal,

notified of the procedure for when and where to file that Appeal, and

what the Appeal must include, and may proceed to the Appeal stage if it

is not satisfied with the resolution provided

[[Page 35555]]

by the Bureau during the Reconciliation phase.

In conducting the Census 2000 enumeration, the Bureau will include

all housing unit addresses and/or location descriptions added to and/or

corrected in the evolving Census 2000 address list as a result of the

relisting (Reconciliation) and/or Appeal processes, using the same

procedures it will use for all other addresses on the list. Inclusion

of a housing unit address and/or location description in the list does

not mean that a housing unit will in fact be found to exist, that any

inhabitants will actually be found at the address, or that the housing

unit 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 actually is a housing unit, and the

population total at that address.

6. How Much Time Is Allowed for the Completion of the LUCA 1999

Reconciliation Process?

The Census Bureau is using 21 calendar days as its standard for

completing the relisting (Reconciliation) field check for a

jurisdiction, plus an additional 30 calendar days to process the

results and produce the Detailed Feedback/Final Determination

materials. The standard should be achievable for all jurisdictions

except those with a large number of blocks with disputed counts. The

relisting (Reconciliation) operation will be completed and a

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

Detailed Feedback/Final Determination by August 1999. From the date a

participating government is in receipt of the Bureau's Detailed

Feedback/Final Determination materials, it will have 30 calendar days

in which it may file an Appeal regarding any or all of the housing unit

address corrections not accepted by the Bureau (see Exhibit 2B for the

Appeal process).

Exhibit 2--OIRA Administrator's Procedure for the Appeal Process

This exhibit describes the procedures for the OIRA Administrator's

Appeal process. Following receipt of the Census Bureau's (the Bureau)

Detailed Feedback/Final Determination materials 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

Final Determination. The Appeal process will be based solely on a

review of written documentation provided by the participating

government and the Bureau.

A. Appeal Process for LUCA 1998 Areas B Areas in Which the Bureau Will

Use the Mail-Out/Mail-Back Enumeration Methodology for Most Housing

Units

This section provides information on how local and tribal

governments that participated in LUCA 1998 can formally Appeal

decisions provided in the Bureau's Detailed Feedback/Final

Determination materials to the Census Address List Appeals Office.

1. What LUCA 1998 Governments Are Eligible To File an Appeal?

All local and tribal governments that participated in the

Reconciliation process and have received their Detailed Feedback/Final

Determination materials are eligible to file an Appeal.

2. What Is the Deadline for an Eligible Government To File an Appeal?

An Appeal must be filed by the eligible government within 30

calendar days after that government's receipt of the Bureau's Detailed

Feedback/Final Determination materials from the Reconciliation process

(see 5, below, regarding what documentation the participating

government must file within 30 days). ``Receipt'' as used herein shall

be defined as the date the Bureau transmits the Detailed Feedback/Final

Determination materials to the eligible government plus 3 calendar

days. The eligible government may transmit materials via Express mail

or overnight delivery service, and must keep an accurate record of the

date it transmits these materials. All Appeals filed after the deadline

will be denied as untimely.

3. Who Will Review the Appeal?

The Appeal process will be administered by the Census Address List

Appeals Office (Appeals Office), a temporary Federal office established

outside the Department of Commerce. The Appeals Office will be directed

by a senior executive on detail from a Federal agency that is not part

of the Department of Commerce. The Office will be staffed by Appeal

Officers who may be Federal employees on detail from other agencies

outside the Department of Commerce, temporary Federal employees, or

contractors. The Appeal Officers will be trained in the procedures for

processing an Appeal and in the examination and analysis of address

list information, locations of addresses and housing units, and

supporting materials. For additional information on the review and

decision process, see 8 below.

4. What Types of Final Determinations May Be Appealed?

An Appeal may be filed only with respect to addresses for which the

eligible government had previously sought Bureau review during the LUCA

1998 Reconciliation process, which is described in Exhibit 1A of this

Notice. Further, the eligible government may appeal only those

Reconciliation determinations made by the Bureau that pertain to:

a. Addresses that the eligible government believes exist but are

not included on the Census 2000 address list; and

b. Addresses that the eligible government believes exist but are

not correct as included on the Census 2000 address list.

5. What Documentation Must an Eligible Government File with an Appeal?

The Appeal process will be based solely on a review of written

documentation provided by the eligible government and the Bureau. Each

Appeal submitted to the Appeals Office must be printed or typed. The

Appeal documentation must include:

a. The name of the eligible government.

b. The name, mailing address, telephone number, fax number, and

electronic mail address (if any), of that government's contact person.

c. The following information:

(1) A separate list of the addresses that the eligible government

believes exist but are not included on the Census 2000 address list;

for each address, identify the Census 2000 block number, the LUCA

tracking number, the participant action code, and the Bureau's action

code as provided by the Bureau in its Detailed Feedback/Final

Determination materials; and

(2) A separate list of the addresses that the eligible government

believes exist but are not correct as included on the Census 2000

address list; for each address, identify the Census 2000 block number,

the LUCA tracking number, the participant action code, and the Bureau

action code as provided by the Bureau in its Detailed Feedback/Final

Determination materials.

d. An annotated copy of the Bureau's Detailed Feedback/Final

Determination materials from the second on-site check (Reconciliation),

with the portion(s) marked that specifically pertain(s) to the lists in

item 5c above.

e. A written explanation that gives the eligible government's

specific recommendations for how the address(es) and location(s) being

appealed should appear on the Census 2000 address list.

[[Page 35556]]

f. A written statement that outlines the eligible government's

position for why the Appeals Office should adopt its recommendations.

The statement must specifically respond to the explanation that

accompanied the Bureau's Detailed Feedback/Final Determination

materials. This specific response to the Bureau's explanation is a

critical part of the Appeal process; an Appeal is likely to be more

persuasive to the extent that it provides a more pointed and evidence-

based response to the Bureau's explanation, and is likely to be less

persuasive to the extent that it provides a general and unfocused

response.

g. For each housing unit address or group of addresses, or each

location description of a housing unit being appealed, a reference to

the location in the supporting documentation where the Appeal Officer

can find specific evidence supporting the eligible government's

position with respect to that housing unit address, or group of

addresses, or location description, believed missing or incorrect.

h. Any other supporting documentary evidence for the position taken

by the eligible government in its Appeal.

Two types of supporting evidence are recommended below. The first

specifically reflects the validity of any address or map reference

sources, and the second describes other useful sources of supporting

evidence. The eligible government may submit any documentation it deems

relevant in support of its Appeal.

a. Evidence supporting the 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 procedure(s) that are used in maintaining the

address source.

(5) How the address source is used by the eligible government and/

or by the originator of the source.

b. Other useful supporting evidence.

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

neighbors.

(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) Aerial photography and/or standard photography.

(6) Land use maps.

(7) Local 911 emergency lists, if they distinguish residential from

commercial units.

(8) Tax assessment records, if they distinguish residential from

commercial units.

All Appeal documentation must be filed with the Appeals Office

within 30 calendar days after the Bureau transmits its Detailed

Feedback/Final Determination materials to the eligible government. At

the same time, the eligible government must send a duplicate copy of

all Appeal documentation to the Bureau's Regional Census Center

responsible for the jurisdiction. The eligible government may not

submit any materials to the Appeals Office after the 30-day period has

lapsed.

6. Where Must Eligible Governments File an Appeal?

Appeals must be sent to: Dr. Philip N. Fulton, Director, Census

Address List Appeals Office, 1730 K Street, NW, Suite 418, Washington,

DC 20006; telephone (202) 208-4613. At the same time, a duplicate copy

of all Appeal documentation must be filed with the Bureau's Regional

Census Center responsible for the jurisdiction.

Upon receipt of an Appeal, the Appeals Office will send a written

confirmation to the eligible government that its Appeal has been

received. The Appeals Office also will notify the Bureau, in writing,

that the Appeal has been filed.

7. What Written Documentation and Supporting Evidence May Be Submitted

by the Bureau During the Appeal Process?

The Bureau does not need to respond to the Appeal or to provide any

materials in support of its Reconciliation determination. Upon receipt

of notification that an Appeal has been filed, the Bureau will have 15

calendar days in which it may (if the Bureau so chooses):

a. Submit to the Appeals Office written documentation briefly

summarizing its position as well as any supporting evidence concerning

the appealed addresses, or

b. Submit to the Appeals Office a written acceptance statement

agreeing to the recommendation(s) in the Appeal.

If the Bureau submits any written documentation to the Appeals

Office to support its position, the Bureau at the same time must send a

copy of its submission to the eligible government. The Bureau may not

submit any materials to the Appeals Office after the 15-day period has

lapsed.

8. What Is the Appeal Review and Final Decision Process?

An Appeal Officer will review the Bureau's Detailed Feedback/Final

Determination and the written documentation and supporting evidence

submitted by the eligible government and the Bureau. No testimony or

oral argument will be received by the Appeal Officer. Appeal Officers

will apply the following principles in conducting their review:

a. 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 its (their) location(s).

b. For any address for which the Appeal Officer determines that the

quality of the supporting evidence submitted by both parties is of

equal weight, the Appeal Officer shall decide in favor of the eligible

government.

At the conclusion of reviewing an appealed address (or group of

addresses), the Appeal Officer will prepare a draft written

determination. The draft written determination will be reviewed by a

higher level official in the Appeals Office. The Director of the

Appeals Office (or his designee) will then issue a final written

determination to both the eligible government and the Bureau. The final

written determination will include a brief explanation of the Appeals

Office's decision, and will specify how the appealed address(es) or its

(their) location(s) should appear on the Census 2000 address list. Each

final written determination shall become part of the administrative

record of the Appeal process.

The Appeals Office's decision is final. In conducting the Census

2000 enumeration, the Bureau will include all addresses added to, or

corrected in, the Census 2000 address list as a result of the Appeal

process, according to 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.

[[Page 35557]]

9. When Will the Appeal Process Be Completed?

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.

B. Appeal Process for LUCA 1999 Areas--Areas in Which the Bureau Will

Use the Update/Leave Enumeration Methodology for Most Housing Units

This section provides information on how local and tribal

governments that participated in LUCA 1999 can formally Appeal

decisions provided in the Bureau's Detailed Feedback/Final

Determination materials to the Census Address List Appeals Office.

1. What LUCA 1999 Governments Are Eligible To File an Appeal?

Local and tribal governments that notified the Bureau about the

need to reconsider the count of all housing unit addresses in disputed

blocks and have received their Detailed Feedback/Final Determination

materials are eligible to file an Appeal.

2. What Is the Deadline for an Eligible Government To File an Appeal?

An Appeal must be filed by the eligible government within 30

calendar days after that government's receipt of the Bureau's Detailed

Feedback/Final Determination materials (see 5, below, regarding what

the eligible government must file within 30 days). ``Receipt'' as used

herein shall be defined as the date the Bureau transmits the Detailed

Feedback/Final Determination materials to the participating government

plus 3 calendar days. The eligible government may transmit materials

via Express mail or overnight delivery service and must keep an

accurate record of the date it transmits these materials. All Appeals

filed after the deadline will be denied as untimely.

3. Who Will Review the Appeal?

The Appeal process will be administered by the Census Address List

Appeals Office (Appeals Office), a temporary Federal office established

outside the Department of Commerce. The Appeals Office will be directed

by a senior executive on detail from a Federal agency that is not a

part of the Department of Commerce. The Office will be staffed by

Appeal Officers who may be Federal employees on detail from other

agencies outside the Department of Commerce, temporary Federal

employees, or contractors. The Appeal Officers will be trained in the

procedures for processing an Appeal and in the examination and analysis

of address list information, locations of addresses and housing units,

and supporting materials. For additional information on the review and

decision process, see 8 below.

4. What Types of Final Determinations May Be Appealed?

An Appeal may be filed only with respect to the count of housing

unit addresses in one or more specific census blocks for which the

eligible government had previously sought Bureau review during the LUCA

1999 Reconciliation process, which is described in Exhibit 1B of this

notice.

5. What Documentation Must the Eligible Government File With an Appeal?

The Appeal process will be based solely on a review of written

documentation provided by the eligible government and the Bureau. Each

Appeal submitted to the Appeals Office must be printed or typed. The

Appeal documentation must include:

a. The name of the eligible government.

b. The name, mailing address, telephone number, fax number, and

electronic mail address (if any) of that government's contact person.

c. The following information for each specific address being

appealed:

(1) The specific address or location description of the housing

unit the eligible government believes is missing; for each address,

identify the Census 2000 block number; and

(2) The specific location of the missing address by adding a ``map

spot'' in relation to the other map spots and an accompanying map spot

number on the map that the Bureau provided with its Detailed Feedback/

Final Determination materials.

d. An annotated copy of the Bureau's Detailed Feedback/Final

Determination materials from the Reconciliation process, with those

portions marked that specifically pertain to the information in item 5c

above.

e. A written explanation that gives the eligible government's

specific recommendations for how the address(es) and location(s) being

appealed should appear on the Census 2000 address list.

f. A written statement that outlines the eligible government's

position for why the Appeals Office should adopt its recommendations.

The statement must specifically respond to the explanation that

accompanied the Bureau's Detailed Feedback/Final Determination

materials. This specific response to the Bureau's explanation is a

critical part of the appeal process; an appeal is likely to be more

persuasive to the extent that it provides a more pointed and evidence-

based response to the Bureau's explanation, and is likely to be less

persuasive to the extent that it provides a general and unfocused

response.

g. For each housing unit address or group of addresses, or each

location description of a housing unit being appealed, a reference to

the location in the supporting documentation where the Appeal Officer

can find specific evidence supporting the eligible government's

position with respect to that housing unit address, or group of

addresses, or location description, believed missing or incorrect.

h. Any other supporting documentary evidence for the position taken

by the eligible government in its Appeal.

Two types of supporting evidence are recommended below. The first

specifically reflects the validity of any address or map reference

sources, and the second describes other useful sources of supporting

evidence. The eligible government may submit any documentation it deems

relevant in support of its Appeal.

a. Evidence supporting the 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 procedure(s) that are used in maintaining the

address source.

(5) How the address source is used by the eligible government and/

or by the originator of the source.

b. Other useful supporting evidence.

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

neighbors.

(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) Aerial photography and/or standard photography.

(6) Land use maps.

(7) Local 911 emergency lists, if they distinguish residential from

commercial units.

(8) Tax assessment records if they distinguish residential from

commercial units.

[[Page 35558]]

All Appeal documentation must be filed with the Appeals Office

within 30 calendar days after the Bureau transmits its Detailed

Feedback/Final Determination materials to the eligible government. At

the same time, the eligible government must send a duplicate copy of

all Appeal documentation to the Bureau's Regional Census Center

responsible for the jurisdiction. The eligible government may not

submit any materials to the Appeals Office after the 30-day period has

lapsed.

6. Where Must Eligible Governments File an Appeal?

Appeals must be sent to: Dr. Philip N. Fulton, Director, Census

Address List Appeals Office, 1730 K Street, NW--Suite 418, Washington,

DC 20006; telephone (202) 208-4613. At the same time, a duplicate copy

of all Appeal documentation must be sent to the Bureau's Regional

Census Center responsible for the jurisdiction.

Upon receipt of an Appeal, the Appeals Office will send a written

confirmation to the eligible government that its Appeal has been

received. The Appeals Office also will notify the Bureau, in writing,

that the Appeal has been filed.

7. What Written Documentation and Supporting Evidence May Be Submitted

by the Bureau During the Appeal Process?

The Bureau does not need to respond to the Appeal or to provide any

materials in support of its Reconciliation determination. Upon receipt

of notification that an Appeal has been filed, the Bureau will have 15

calendar days in which it may (if the Bureau so chooses):

a. Submit to the Appeals Office written documentation briefly

summarizing its position as well as any supporting evidence concerning

the appealed addresses, or

b. Submit to the Appeals Office a written statement agreeing to the

recommendation(s) in the Appeal.

If the Bureau submits any written documentation to the Appeals

Office to support its position, the Bureau at the same time must send a

copy of its submission to the eligible government. The Bureau may not

submit any materials to the Appeals Office after the 15-day period has

lapsed.

8. What is the Appeal Review and Final Decision Process?