[Federal Register Volume 63, Number 59 (Friday, March 27, 1998)]
[Notices]
[Pages 14978-14981]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-7959]


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OFFICE OF MANAGEMENT AND BUDGET

DEPARTMENT OF COMMERCE

Bureau of the Census


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

AGENCY: Office of Information and Regulatory Affairs, Office of 
Management and Budget, and Bureau of the Census, Department of 
Commerce.

ACTION: Notice and request for comments.

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SUMMARY: As part of their implementation of the Census Address List 
Improvement Act of 1994, the Office of Management and Budget (OMB) and 
the Bureau of the Census (Bureau) request public comment on proposed 
processes for developing the address information that will be used in 
conducting the 2000 Census. The Bureau is proposing a Reconciliation 
process that would seek to resolve disagreements between the Bureau and 
participating local or tribal governments, or their designated 
representatives, regarding specific addresses or groups of addresses. 
For any disagreements that are not resolved, OMB is proposing an Appeal 
process that would be available to local and tribal governments, or 
their designated representatives, that wish to appeal the decisions 
made by the Bureau of the Census with respect to their suggestions for 
the Census 2000 address list.
    In conducting the Census 2000 enumeration the Bureau will include 
all addresses added to or corrected in the census address list as a 
result of the Reconciliation and/or Appeal processes, using the same 
procedures used for all other addresses on the list. Inclusion of an 
address on the list does not mean that a housing unit or its 
inhabitants are actually at the address, or that the address will be 
included in the final Census 2000 data summaries. The census-taking 
process will determine the inclusion status of the address--whether or 
not it is actually a housing unit--and the final population and housing 
unit status for each address.

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

ADDRESSES: Comments: Please send comments concerning these proposed 
procedures to: Katherine K. Wallman, Chief Statistician, Office of 
Information and Regulatory Affairs, Office of Management and Budget, 
NEOB, Room 10201, 725 17th Street NW, Washington DC 20503; fax: (202) 
395-7245.

    Electronic availability and addresses: This Federal Register Notice 
is available electronically from the OMB Homepage on the World Wide 
Web: <<http://www.whitehouse.gov/WH/EOP/OMB/html/fedreg.html>>. Federal 
Register notices also are available electronically from the U.S. 
Government Printing Office web site: <<http://www.access.gpo.gov/
su__docs/aces/aces140.html>> Questions about accessing the Federal 
Register online via GPO Access may be directed to telephone (202) 512-
1530 or toll free at (888) 293-6498; to fax (202) 512-1262; or to email 
<<[email protected]>>
    This notice is available in paper copy from the OMB Publications 
Office, NEOB, Room 2200, 725 17th Street NW, Washington DC 20503; 
telephone (202) 395-7332; fax (202) 395-6137.

FOR FURTHER INFORMATION CONTACT: Nancy Kirkendall, Office of Management 
and Budget, NEOB, Room 10201, 725 17th Street NW, Washington, DC 20503; 
telephone: (202) 395-7313; fax (202) 395-7245.

SUPPLEMENTARY INFORMATION:

The Census Address List Improvement Act of 1994

    The Census Address List Improvement Act of 1994 (P.L. 103-430) 
changed the Bureau's decennial census address list development 
procedures to improve the accuracy of, and resolve disagreements 
concerning, address information. In addition to requiring that the 
United States Postal Service provide address information to the Bureau 
(Section 4), the Act also increased the role of local and tribal 
governments in the development of Bureau address information. Section 2 
of the Act requires the Bureau to develop a process under which it 
would receive, review, and respond to recommendations by these 
governments regarding address information. To resolve any disagreements 
that may remain after this process, Section 3 of the Act requires the 
Administrator of OMB's Office of Information and Regulatory Affairs 
(OIRA), acting through the Chief Statistician and in consultation with 
the Bureau, to develop an appeal process through which local and tribal 
governments, or their designated representatives, may administratively 
appeal the decisions by the Bureau under 13 U.S.C. 16.

The Bureau's LUCA Process

    The Bureau is attempting to develop the most accurate and 
comprehensive address information practicable for all jurisdictions in 
the country in cooperation with the United States Postal Service and 
local and tribal governments, as required by the Census Address List 
Improvement Act of 1994. The Bureau's address list partnerships with 
these governments will be undertaken via the program entitled the 
``Local Update of Census Addresses'' (LUCA), during which the Bureau 
will provide portions of its census address list to participating local 
and tribal governments for their review. For those areas that do not 
have city-style addresses (i.e., rural route, post office box number, 
or general delivery addresses), the Bureau will provide the most recent 
address and location information available from field activities.
    Jurisdictions that participate in the LUCA program may respond with 
address change suggestions including corrections, additions, deletions, 
and address location information. The Bureau issued its standards for 
addresses in the Federal Register, 60 FR 58326, November 27, 1995. 
These standards described the components of acceptable city-style 
addresses, including apartment numbers for each

[[Page 14979]]

unit address in a multi-unit building, a current 5-digit ZIP code, and 
the distinction between residential and commercial addresses.
    The LUCA process began in early 1998 with the mailing of 
invitations to local and tribal governments to participate in the 
program. As jurisdictions notify the Bureau of their desire to 
participate in the program, appropriate materials will be generated and 
delivered. Once a jurisdiction receives its materials, it has 3 months 
in which to conduct its review and provide suggested changes back to 
the Bureau. Jurisdictions with city-style mail delivery areas will 
conduct the review of their portion of the Bureau's address list in 
1998. The Bureau will conduct listing activities to prepare the address 
list for jurisdictions with noncity-style addresses in the last half of 
1998. As these listings are completed, they will be delivered to 
participating jurisdictions for their review. The three month review 
period for jurisdictions with noncity-style addresses will extend into 
the second quarter of 1999.
    The Bureau will conduct field canvassing operations to verify the 
existence and accuracy of the address information provided via the LUCA 
program. The Bureau, as part of its address list development process, 
will conduct a field canvass of all blocks in the city-style address 
mail delivery areas. Updates from local and tribal governments will be 
verified at that time. Since this canvass covers approximately 94 
million addresses, the operation will be conducted in three waves, each 
of six-week duration. The first wave is scheduled to begin in January 
1999, and the operation will be completed with the end of the third 
wave in May 1999. For areas that do not have city-style mail delivery, 
a separate field verification will be conducted soon after receiving 
suggestions from local and tribal governments. In all areas, the Bureau 
will provide timely written feedback to a participating jurisdiction 
after all their suggested changes have been reviewed and evaluated. For 
each jurisdiction, the LUCA program will be officially completed at the 
time the Bureau provides feedback.

The Proposed Reconciliation Process

    After receiving the LUCA feedback from the Bureau, a participating 
local or tribal government may ask the Bureau to reconsider its 
determination during the Reconciliation process. (The Bureau's proposal 
for the Reconciliation process follows at Exhibit 1.) The goal of the 
Reconciliation process is to resolve disagreements regarding specific 
addresses or groups of addresses, and to reach concurrence between the 
Bureau and the participating government. This concurrence relates both 
to the existence of addresses and to the location of each address. As 
in the LUCA process, the Reconciliation process will conclude with a 
written determination by the Bureau regarding the existence of 
addresses or the location of addresses provided by the participating 
government. The Census Bureau is using 30 days as a standard for 
completing the Reconciliation process for a jurisdiction. The standard 
should be achievable for all jurisdictions but those with a large 
number of disputed addresses. The wave approach to canvassing in city-
style address areas imparts a waved implementation to both the 
Reconciliation and the Appeal processes. The first wave of canvassing 
will be completed by late February, 1999. The Bureau will begin 
accepting requests for Reconciliation from these jurisdictions in 
March. The final wave of canvassing will be completed by late May. The 
Bureau will begin accepting requests for Reconciliation from these 
jurisdictions in June. The Reconciliation process for both city-style 
and noncity-style address areas will be complete by August 31, 1999.

The Proposed Appeal Process

    If, at the end of the Reconciliation process, the participating 
government disagrees with the Bureau's determination regarding the 
address information or the location of addresses, it may formally seek 
an outside review of the Bureau's decision via the Appeal process. 
During the Appeal process, a participating government will have the 
opportunity to ask a Federal official, designated by OMB and outside 
the Bureau and the Department of Commerce, to review the Bureau's 
determination and issue a final decision. Jurisdictions may file an 
appeal only upon completion of the Reconciliation process. Thus, those 
jurisdictions scheduled for the first block canvassing wave will enter 
the Appeal process before those in the later waves. Appeals for all 
jurisdictions will be filed during the period April through September 
1999. The Appeal process will be concluded by January 14, 2000. (The 
OIRA Administrator's proposal for the Appeal process follows at Exhibit 
2.)

The Next Stages in Developing the Reconciliation and Appeal 
Processes

    Comments are sought on all aspects of the Reconciliation and Appeal 
processes. After these comments are reviewed and considered, the Bureau 
and the OIRA Administrator plan to issue a notice, by July 1998, 
outlining the final Reconciliation and Appeal processes.
Donald R. Arbuckle,
Deputy Administrator, Office of Information and Regulatory Affairs.
James Holmes,
Acting Director, Bureau of the Census.

Exhibit 1

Proposed Reconciliation Process

    Reconciliation will be conducted by the Bureau of the Census 
(Bureau) at the request of the participating local or tribal 
government, or its designated representative. The process will begin 
when a participating government formally disagrees with the Bureau's 
decision regarding the inclusion, exclusion, or geographic placement of 
specific addresses on the census address list that the participating 
government recommended during the Local Update of Census Addresses 
(LUCA) process.
1. When To File a Reconciliation Request
    The participating government must file a Request for 
Reconciliation, in writing, within 21 calendar days of receiving the 
LUCA feedback (i.e., the information provided by the Bureau in response 
to materials submitted by the participating government; the feedback 
may be in the form of a paper listing or a computer file, as requested 
by the participating government).
    ``Receipt'' as used herein shall be defined as the date the Bureau 
transmits the document in question to the participating government plus 
three (3) calendar days. The Bureau may transmit documents via first 
class mail, via overnight delivery service, via facsimile, or via 
electronic mail, as appropriate, but must keep an accurate record of 
the date it transmits documents.
2. What Documentation To File
    Requests for Reconciliation must be printed or typed. Documentation 
must include: (1) the name of the participating government; (2) the 
name, address, and telephone number of that government's contact 
person; (3) the list of addresses or groups of addresses that are being 
questioned; and (4) any supporting evidence.
    With respect to the list of questioned addresses (or groups of 
addresses), separate lists should be provided for addresses (a) which 
are believed to exist but are not included on the census address list, 
(b) which are believed to be incorrectly included on the census address 
list, or (c) which are believed to be correctly included but not 
correctly located on the census address list.

[[Page 14980]]

Specific recommendations should be provided for how addresses and their 
locations should appear on the Census 2000 address list.
    The supporting evidence should establish the validity of the 
addresses and their locations. Two types of supporting evidence are 
recommended below. The first specifically reflects the validity of any 
address or map reference sources; the second describes other useful 
sources of supporting evidence. The participating government may submit 
any documentation it deems relevant in support of its claim.
    a. Quality of address or map reference sources.
    (1) The date of the address source.
    (2) How often the address source is updated.
    (3) The methods used to update the source.
    (4) Quality assurance procedures that are used in maintaining the 
address source.
    (5) How the address source is used by the participating government 
and/or by the originator of the source.
    b. Other useful supporting evidence.
    (1) On-site inspection and/or interview of resident.
    (2) Issuance of recent occupancy permit for unit. (Building permits 
are not acceptable as they do not ensure that the units have been built 
and/or are occupied.)
    (3) Provision of utilities (electricity, gas, sewer, water, 
telephone, etc.) to the residence. The utility record should show that 
this is not service to a commercial unit, or an additional service to 
an existing residence (such as a second telephone line).
    (4) Provision of other governmental services (housing assistance, 
welfare, etc.) to residents of the unit.
    (5) Issuance of demolition permits.
    (6) Aerial photography and/or standard photography.
    (7) Land use maps.
    (8) Local 911 emergency lists, with flags distinguishing 
residential from commercial units.
    (9) Tax assessment records with flags distinguishing residential 
from commercial units.
3. Where To File the Request for Reconciliation
    A Request for Reconciliation must be filed with the Bureau's 
Regional Census Center for the region in which the participating 
government is located.
4. Reconciliation Review
    Bureau staff will review materials submitted by the participating 
government and will contact local or tribal participants to provide 
them an opportunity to discuss their questions and concerns with Bureau 
staff. This dialogue with the local or tribal participants may include 
meetings in person, telephone conversations, written correspondence, 
site inspections to view addresses, or a combination of these 
approaches as determined by the Bureau.
    Following this dialogue, the participating government will be 
notified in writing of the Bureau's final determination and the basis 
for it. Accepted addresses will be added to or corrected in the census 
address list. The participating government also will be informed of its 
right to an Appeal, and may proceed to the Appeal stage if it is not 
satisfied with the resolution provided by the Bureau during the 
Reconciliation phase.
    In conducting the Census 2000 enumeration the Bureau will include 
all addresses added to or corrected in the census address list as a 
result of the Reconciliation and/or Appeal process, using the same 
procedures used for all other addresses on the list. Inclusion of an 
address on the list does not mean that a housing unit or its 
inhabitants are actually at the address, or that the address will be 
included in the final Census 2000 data summaries. The census-taking 
process will determine the inclusion status of the address--whether or 
not it is actually a housing unit--and the final population and housing 
unit status for each address.
5. Time for Completion of Reconciliation Process
    The Census Bureau is using 30 days as a standard for completing the 
Reconciliation process for a jurisdiction. The standard should be 
achievable for all jurisdictions but those with a large number of 
disputed addresses. The Reconciliation review shall be completed and a 
participating government shall be notified in writing of the Bureau's 
determination no later than August 31, 1999. From the date a 
participating government receives the Bureau's final determination, it 
will have 30 calendar days in which it may file an Appeal on any or all 
of the addresses (see the proposed Appeal Process issued by the 
Administrator of the Office of Information and Regulatory Affairs).

Exhibit 2

Proposed Appeal Process

    Following receipt of the Bureau's determination from the 
Reconciliation process, the participating local or tribal government, 
or its designated agent, may file an Appeal if it disagrees with the 
Bureau's Reconciliation determination. The Appeal process will be based 
solely on a review of written documentation provided by the 
participating government and the Bureau.
1. When May a Participating Government File an Appeal
    An Appeal must be filed by the participating government within 30 
calendar days of that government's receipt of the Bureau's final 
determination from the Reconciliation process (see 3, below, regarding 
what the participating government must file within 30 days). An appeal 
may be filed only with respect to addresses for which the participating 
government had previously sought Bureau review during the LUCA program 
and its Reconciliation process.
    ``Receipt'' as used herein shall be defined as the date the Bureau 
transmits the document in question to the participating government plus 
three (3) calendar days. The Bureau may transmit documents via first 
class mail, via overnight delivery service, via facsimile, or via 
electronic mail, as appropriate, but must keep an accurate record of 
the date it transmits documents.
2. Who Will Review and Decide the Appeal
    The Appeal process will be administered by a Consortium of Federal 
agencies outside the Department of Commerce. Appeal Officers will be 
selected from a roster of Federal employees who have been trained in 
the procedures for an appeal and in the examination and analysis of 
address information, locations of addresses, supporting documentary 
evidence, and written position statements. Appeal Officers also will be 
trained in the preparation of a written determination. The addresses 
and telephone numbers of Consortium offices participating in the Appeal 
process will be made public when they are selected.
3. What Documentation Shall the Participating Government File With an 
Appeal
    Each Appeal must be submitted to the Consortium, and must be 
printed or typed. The appeal documentation must include: (1) the name 
of the participating government; (2) the name, address, and telephone 
number of that government's contact person; (3) the list of addresses 
or groups of addresses that are being appealed; (4) a copy of the 
Bureau's Reconciliation determination regarding those addresses; (5) 
the date on which the participating government received the Bureau's 
determination;

[[Page 14981]]

and (6) any supporting evidence for the position taken by the 
participating government in its Appeal.
    In its Appeal documentation, the participating government should 
specifically respond to the explanation that accompanied the Bureau's 
Reconciliation determination. With respect to the list of questioned 
addresses (or groups of addresses), separate lists should be provided 
for addresses (a) which are believed to exist but are not included on 
the census address list, (b) which are believed to be incorrectly 
included on the census address list, or (c) which are believed to be 
correctly included but not correctly located on the census address 
list. Specific recommendations should be provided for how addresses and 
locations should appear on the census address list.
    The supporting evidence should demonstrate the basis for the 
participating government's position concerning the disputed addresses. 
Supporting evidence may include the material submitted in support of 
the Reconciliation review for the disputed addresses and any additional 
information. Two types of supporting evidence were recommended by the 
Bureau in its issuance regarding the Reconciliation process; the first 
specifically reflects the validity of any address or map reference 
sources; the second describes other useful sources of supporting 
evidence:
    a. Quality of address or map reference sources.
    (1) The date of the address source.
    (2) How often the address source is updated.
    (3) The methods used to update the source.
    (4) Quality assurance procedures that are used in maintaining the 
address source.
    (5) How the address source is used by the participating government 
and/or by the originator of the source.
    b. Other useful supporting evidence.
    (1) On-site inspection and/or interview of resident.
    (2) Issuance of recent occupancy permit for unit. (Building permits 
are not acceptable as they do not ensure that the units have been built 
and/or are occupied.)
    (3) Provision of utilities (electricity, gas, sewer, water, 
telephone, etc.) to the residence. The utility record should show that 
this is not service to a commercial unit, or an additional service to 
an existing residence (such as a second telephone line).
    (4) Provision of other governmental services (housing assistance, 
welfare, etc.) to residents of the unit.
    (5) Issuance of demolition permits.
    (6) Aerial photography and/or standard photography.
    (7) Land use maps.
    (8) Local 911 emergency lists, with flags distinguishing 
residential from commercial units.
    (9) Tax assessment records with flags distinguishing residential 
from commercial units.
    All of the Appeal documentation must be received by the Consortium 
within 30 calendar days of the participating government's receipt of 
the Bureau's final Reconciliation determination; at the same time, the 
participating government shall send a complete copy of the Appeal 
documentation to the Bureau. Except in response to a written request 
from the Appeal Officer (see 6, below), the participating government 
may not submit any materials to the Consortium after the 30-day period.
4. Assignment of an Appeal Officer and Notification of Appeal Status
    Upon receipt of an Appeal, the Consortium will assign an Appeal 
Officer to the case and notify the Bureau, in writing, that the Appeal 
has been filed; a copy of the notification also will be sent to the 
participating government. This notification will identify the 
participating government and provide a list of the disputed addresses.
5. Submission by the Bureau of Written Documentation and Supporting 
Evidence
    Upon receipt of the notification that an Appeal has been filed, the 
Bureau will have 14 calendar days in which to submit written 
documentation briefly summarizing its position as well as any 
supporting evidence concerning the disputed addresses to the Appeal 
Officer. Except in response to a written request from the Appeal 
Officer (see 6, below), the Bureau may not submit any materials to the 
Appeal Officer after the 14-day period. At the same time the Bureau 
must send to the participating government a complete copy of the 
Bureau's submission to the Appeal Officer.
6. The Appeal Review and Determination
    The Appeal Officer will review the written documentation and 
supporting evidence submitted by the participating government and the 
Bureau. No testimony or oral argument will be received by the Appeal 
Officer. If the Appeal Officer determines that he or she requires 
additional information or clarification, the Appeal Officer may request 
it in writing, with notice to both parties, and the relevant party(ies) 
shall respond in writing. Appeal Officers will apply the following 
principles in conducting their review:
    (1) The Appeal Officer shall consider the quality of the map or 
address reference source as the basis for determining the validity of 
an address or group of addresses and their locations.
    (2) For those addresses for which the Appeal Officer determines 
that the quality of the supporting evidence submitted by both parties 
is generally of comparable value, the Appeal Officer shall decide in 
favor of the participating government.
    At the conclusion of reviewing a disputed address (or group of 
addresses), the Appeal Officer will issue a written determination and 
provide it to both the participating government and the Bureau. The 
written determination will include a brief summary explanation of the 
Appeal Officer's decision, and will specify how the disputed addresses 
and/or block numbers should appear on the Census 2000 address list. 
Each written determination shall become part of the administrative 
record of the Appeal process.
    An Appeal Officer's decision on a disputed address is final. In 
conducting the Census 2000 enumeration the Bureau will include all 
addresses added to or corrected in the census address list as a result 
of the Appeal process, using the same procedures used for all other 
addresses on the list. Inclusion of an address on the list does not 
mean that a housing unit or its inhabitants are actually at the 
address, or that the address will be included in the final Census 2000 
data summaries. The census-taking process will determine the inclusion 
status of the address--whether or not it is actually a housing unit--
and the final population and housing unit status for each address.
7. Time for Completion of Appeal Review
    Appeal Reviews shall be completed and written determinations issued 
to the concerned parties as soon as possible, and in any event no later 
than January 14, 2000.

[FR Doc. 98-7959 Filed 3-26-98; 8:45 am]
BILLING CODE 3110-01-P