[Federal Register Volume 64, Number 125 (Wednesday, June 30, 1999)]
[Notices]
[Pages 35548-35558]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-16688]
[[Page 35547]]
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Part V
Office of Management and Budget
_______________________________________________________________________
Department of Commerce
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Bureau of the Census
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Procedures for Participating in the Census Bureau Reconciliation and
the OMB Appeal Processes for the Development of the Census 2000 Address
List; Notice
Federal Register / Vol. 64, No. 125 / Wednesday, June 30, 1999 /
Notices
[[Page 35548]]
OFFICE OF MANAGEMENT AND BUDGET
DEPARTMENT OF COMMERCE
Bureau of the Census
Procedures for Participating in the Census Bureau Reconciliation
and the OMB Appeal Processes for the Development of the Census 2000
Address List
AGENCY: Office of Information and Regulatory Affairs, Office of
Management and Budget, and Bureau of the Census, U.S. Department of
Commerce.
ACTION: Final notice.
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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
[[Page 35549]]
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
[[Page 35552]]
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
[[Page 35553]]
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?
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.
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.
[FR Doc. 99-16688 Filed 6-29-99; 8:45 am]
BILLING CODE 6820-46-U