BAS NSC 2021 Respondent Guides, Letters and Emails

Request for Non-Substantive Change to the
Boundary and Annexation Survey
OMB Control No. 0607-0151
U.S. Department of Commerce
U.S. Census Bureau
Purpose
The U.S. Census Bureau conducts the Boundary and Annexation Survey (BAS) annually to collect
information about selected legally defined geographic areas. The BAS is used to update
information about the legal boundaries and names of all governmental units in the United
States. The Census Bureau uses the boundary information collected during the BAS to tabulate
data for the decennial and economic censuses, and for annual estimates and surveys such as
the American Community Survey (ACS) and the Population Estimates Program (PEP). The BAS is
authorized by Section 6 of Title 13 of the United States Code.
This non-substantive change request is to update the 2021 BAS materials from the currently
approved collection. Refer to Table 1 for a list of the additions and changes made to the
materials submitted with this NSC.
Background
The current BAS OMB collection was approved on 10/30/2018 for three years, with an
expiration date of 11/30/2021. The Census Bureau has made changes to the BAS materials to
include new programmatic information, minimize duplication of correspondence, and utilize
plain language.
This Non-Substantive Change (NSC) is a request for BAS materials in the form of respondent
guides, quick start guides, a partnership toolbox overview document, letters and emails.
Participants will use these instructions and guidance to review their BAS materials. Refer to
Table 2 for a list and brief description of the BAS materials enclosed with this NSC.
Burden
The burden of the BAS is unchanged by this update.
Attachments
•
•
•

Table 1: BAS Respondent and Quick Start Guides Additions and Changes
Table 2: BAS Letters and Emails Additions and Changes
Table 3: BAS Materials Crosswalk

Table 4: BAS Respondent and Quick Start Guides Additions and Changes
Changes as part of this
NSC

Description

Updated in all BAS respondent and quick start guides
• January 1—Boundary updates must be legally in effect on or
Respondent Guides –
before this date to be reported in the current survey year.
Updated Introduction
• March 1—Boundary updates returned by this date will be
Section C
reflected in the ACS and PEP data, and in next year’s BAS
materials.
Quick Start GuidesNote: PEP not included in tribal documents.
Updated the Key Dates
• May 31—Boundary updates returned by this date will be
for BAS Respondents
reflected in next year’s BAS materials.
What’s New for the 2020
• Removed “What’s New for 2020 BAS” section.
BAS information section
Date changes
Removed references to
2020 Census

•
•

Updated all instances of 2020 to 2021, 20 to 21, 2019 to 2020
and 19 to 20 throughout the document.
Replaced all references to the 2020 Census with the decennial
census, where appropriate.

•

Removed the word Section—throughout. Comments were that
when the Users tried to follow links, the word Section is not
part of the link.
• Add a highlighted note about new date format change in
Added note about date
images: Important: X represents the current year in all images
where 202X is used.
• Updated and added new screen shots for 2021 BAS in all
Updated images
documents as needed.
2021 Digital BAS Partnership Toolbox
• Added sentence: These instructions are best used in conjunction
Revised first paragraph in
with the Boundary and Annexation Survey (BAS) Respondent
the document
Guide: Digital.
• Added new bullet at the top of the bulleted list: The Boundary
and Annexation Survey (BAS) Respondent Guide: Digital
Section 1 - new bullet
which can be downloaded at:
.
Boundary and Annexation Survey (BAS) Respondent Guide: Digital
Removed the word
Section

Chapter 1 - Section 1.2

•

Removed last sentence of paragraph and moved up to Section
1.1 as a note.

Changes as part of this
NSC
Chapter 5 - Section 5.3.3

Description
•

Paragraph 3, updated the link for the Indiana Code 36-6
Government of Townships.

•
Appendix B - Section B1,
new bullet

Appendix B - Section B8,
added a Note
Appendix D - MTFCC

Added new bullet at the top of the bulleted list: The Boundary
and Annexation Survey (BAS) Respondent Guide: Digital
which can be downloaded at: download the guide at:
.
• After the first paragraph, added the following note:
Note: This tool does not submit the changes, it just makes a file
for submission. Please follow Step 9 for submission guidelines.
•

Updated table to include new descriptions, last update has been
updated to November 2020.

Boundary and Annexation Survey (BAS) Respondent Guide: Paper
• Deleted figure 28 and updated section to read:
Return all maps with updates using the provided postage-paid
return envelope included with your materials. To obtain a postpaid return envelope, contact the Census Bureau at
or 1-800-972-5651 or mail the updated
maps to the Census Bureau at the address listed below.
U.S. Census Bureau
National Processing Center
ATTN: BAS Returns, Bldg 63E
1201 East 10th Street
Jeffersonville, IN 47132

Part 5 - Figure 28

•

Replaced all maps images to reflect updates to the government
reference maps.
Boundary and Annexation Survey (BAS) Respondent Guide: Tribal GUPS
Throughout the document • Removed references to Population Estimates Program (PEP).
Appendix C

Introduction - Section D
Table 4 – GUPS
Hardware and Software
Requirements

Table 5: Install the GUPS
Application

•

Removed the BAS State Agreements section. It is not applicable
to tribal governments.

•

Removed Windows 7® from operating system list. GUPS no
longer functions with Windows 7®.

•

Corrected first part to reflect the same information as Digital
GUPS: If the software does not run automatically, open
Windows Explorer, navigate to the DVD drive, and doubleclick on the file named Setup.bat
file.

Changes as part of this
NSC

Description
Note: The name of this file will vary depending on the current
GUPS version number, but it will be the only setup .bat file
available.

Table 10: Menu Tabs and
Their Functions
Appendix D - MTFCC

•

Removed Web function and description. It does not have a
function.

•

Updated table to include new descriptions, last update has been
updated to November 2020.

Boundary and Annexation Survey (BAS) Respondent Guide: GUPS
Table 4 – GUPS
Hardware and Software
Requirements

•

Removed Windows 7® from operating system list. GUPS no
longer functions with Windows 7®.

•

Added new row/step to match table in Tribal GUPS: When the
geography is selected in GUPS, the application asks to specify
the location (‘CD/DVD’, ‘My Computer’, or ‘Census Web’) of
the files. When a selection is made, GUPS asks to select a
directory. Navigate to the location where the files were saved
and select those to be uploaded. GUPS unzips and loads the
files, then moves them to the pre-established folder in the home
directory.

•

Added new row/step to match table in Tribal GUPS Press ‘Alt’
and click the ‘View’ tab on the browser menu and select “Open
FTP site in File Explorer” to open the Census Bureau FTP site
in Windows Explorer (sometimes called file explorer). If using
Windows Explorer to access the FTP site, no login information
is required.

•

Removed Web function and description. It does not have a
function.

•

Updated table to include new descriptions, last update has been
updated to November 2020.

Table 7: Download
Shapefiles from the BAS
Website - Step 8

Table 8: Download
Shapefiles from ftp Site
to a Hard Drive (State
Users) - Step 2
Table 10: Menu Tabs and
Their Functions
Appendix D - MTFCC

Boundary and Annexation Survey (BAS): Digital BAS Quick Start
• Updated next to last sub bullet to read: EFF_DATE: Effective
Boundary Review - #2,
date of change (all legal changes).
2nd bullet
Table numbers added

•

Add table numbers to images so they can be more accurately
referred to.

Changes as part of this
NSC
Key Dates for BAS
Respondents

Description
•

Revised section title and dates information. New heading is Key
Dates for BAS Respondents.

Boundary and Annexation Survey (BAS): GUPS Quick Start Guide.
Section Perform
• Deleted separate point landmark bullet and added point
Geographic
landmarks to the 3rd bullet.
rd
Review/Updates - #1, 3
bullet
• Revised title and schedule information. New heading is Key
Section BAS Schedule
Dates for BAS Respondents.
and Deadlines
Boundary and Annexation Survey (BAS) Respondent Guide: Tribal Digital
• Added new bullet at the top of the bulleted list: The Boundary
and Annexation Survey (BAS) Respondent Guide: Tribal
Appendix B - Section B1,
Digital which can be downloaded at: download the guide at:
new bullet
.
• After the first paragraph, added the following note:
Appendix B - Section B8,
Note: This tool does not submit the changes, it just makes a file
added a Note
for submission. Please follow Step 9 for submission guidelines.
Appendix D - MTFCC

•

Updated table to include new descriptions, last update has been
updated to November 2020.

Table 5: BAS Letters and Emails
File Name

Quick Description
•

In all letters/emails

BAS Annual Response
letters
(BAS-1L, BAS-2L, BAS4L, BAS-5L)
BAS Annual Response
letter
(BAS-3L)

•
•

Removed references to 2020 Boundary Validation Program
(BVP).
Removed references to 2020 Census and updated to decennial
census.
Updated Key Dates section.
Added, updated, and corrected acronyms as necessary.

•

Added Training Opportunity section.

•

Added BAS-3L annual response letter back to mailing. BAS-3L
had been removed from 2020 BAS mailing because Tribal
Chairs and Highest Elected Official received correspondence

•

•
•
BAS Annual Response
emails
(BAS-E-1L, BAS-E-2L,
BAS-E-4L, BAS-E-5L)

•
•
•

BAS Annual Response
email
(BAS-E-3L)

•
•

BAS Annual Response
email
(BAS-E-5L)

BAS HEOTC Courtesy
Copy
(BAS-E-HEOTC_CC)

BAS Non-Response
Follow Up (NRFU) emails
(BAS-E-NRFU2)

Added BAS-3L email back to annual response emails. BAS-3L
had been removed from 2020 BAS annual response emails
because Tribal Chairs and Highest Elected Officials received
correspondence through the BVP. This email was used during
the 2019 BAS annual response emails.
Updated Action Step section to improve wording and make
more easily understandable.
Removed CBAS note regarding not providing additional BAS
materials.

•

In the second paragraph of the email, “Click on the website link
below” was updated to “Visit the BAS website” to make it
easier to access.

•

Added BAS-E_HEOTC_CC email back to annual response
emails. BAS-E_HEOTC_CC had been removed from 2020
BAS annual response emails because Tribal Chairs and Highest
Elected Officials received correspondence through the BVP.
This email was used during the 2019 BAS annual response
emails.
Updated governmental status to status in first paragraph of the
email.
Moved no changes note from below “Click here to go to the
BAS website” to below the Action Step.
Removed the sentence “By responding “No Changes”, we are
able to confirm that your government has received and
reviewed the BAS” and rephrased to convey concise
instruction.
Moved no changes note from below “Click here to go to the
BAS website” to below the Action Step.
Added Training Opportunities section.
Moved no changes note from below “Click here to go to the
BAS website” to below the Action Step.
Added Training Opportunities section.
Updated Action Step section to improve wording and make

•
•
•

BAS Non-Response
Follow Up (NRFU) emails
(BAS-E-NRFU1)

through the BVP. This letter was used during the 2019 BAS
mailing.
Updated Action Step section to improve wording and make
more easily understandable.
Removed CBAS note regarding not providing additional BAS
materials.
Added Training Opportunities section.
Moved no changes note from below “Click here to go to the
BAS website” to below the Action Step.

•
•
•
•
•

more easily understandable.
•
BAS Post Response email
(BAS-E-PTR)

•

BAS –
YesChangeResponseToken •
email
(BAS-E-SWIM-Token)
•
BAS – Yes Change, Has
SWIM Account email
(BAS-E-SWIM-HasAcct)

Moved no changes note from below “Click here to go to the
BAS website” to below the Action Step.
Updated Action Step section to improve wording and make
more easily understandable.
Removed line “for your reference” at end of paragraph because
it was unnecessary.
Added text to help customers. Added “User names and
passwords are case sensitive. Forgotten passwords can be reset
on the SWIM website.”

Table 3: BAS Materials Crosswalk
File Name

Quick Description

BAS Respondent Guides
Digital BAS Partnership
Toolbox
Boundary and Annexation
Survey (BAS) Respondent
Guide: Digital
Boundary and Annexation
Survey (BAS) Respondent
Guide: Paper
Boundary and Annexation
Survey (BAS) Respondent
Guide: Tribal Digital

Boundary and Annexation
Survey (BAS) Respondent
Guide: GUPS

Boundary and Annexation
Survey (BAS) Respondent
Guide: Tribal GUPS

Step-by-step instructions to using Census Bureau developed
tools for facilitating the boundary updating process for ArcGIS
users.
BAS Respondent Guide with instructions for participating in the
2020 BAS using a Geographic Information System (GIS).
BAS Respondent Guide with instructions on using paper maps to
review and update boundaries.
BAS Respondent Guide with instructions for the Federal
American Indian Reservations, Federal Off-Reservation Trust
Lands, Tribal Subdivisions, and Hawaiian Homelands on
participating digitally in the 2020 survey.
BAS respondent guide to assist participants with directions for
how to use the digital tools available within the GUPS
application, as well as step-by-step instructions for how to carry
out specific shapefile updates (e.g., annexations and
deannexations, adding and deleting features and landmarks, etc.)
digitally. This document also contains instructions for using the
Geographic Update Partnership Software (GUPS).
BAS guide to assist participants in the review and update all
legal governments and boundaries within their reservation/trust
lands/tribal subdivisions, including the additions and deletions of
land area and boundary corrections. This document also contains
instructions for using GUPS.

BAS Quick Start Guides
2021 Boundary and
A two-page document outlining how to download and obtain
Annexation Survey (BAS):
BAS Materials to digitally review boundaries and use the Secure
Digital Quick Start Guide
Web Incoming Module (SWIM) to submit documents.
2021 Boundary and
A two-page document outlining how to download, start a new
Annexation Survey (BAS):
project or update using GUPS and how to use the Secure Web
GUPS Quick Start Guide
Incoming Module (SWIM) to submit documents.
BAS Annual Response letters
BAS-1L

BAS Annual Response letter to BAS contacts of governments
that are not in a consolidated BAS or state BAS agreement.

BAS-2L

BAS Annual Response letter for tribal governments.

BAS-3L
BAS-4L
BAS-5L
BAS Package cover letter
(BAS-9L)

BAS Annual Response letter for Consolidated BAS or State
BAS Agreements governments.
BAS Annual Response letter for those not currently in
Consolidated Boundary and Annexation Survey (CBAS) but
their County is.
BAS Annual Response letter for CBAS partial. Entity in more
than one county and one or more counties participates in CBAS.
Cover letter for BAS Materials package.

Annual Response Emails
BAS-E-1L

BAS Annual Response email to BAS contacts of governments
that are not in a consolidated BAS or state BAS agreement.

BAS-E-2L

BAS Annual Response email for American Indian Areas.

BAS-E-3L
BAS-E-4L
BAS-E-5L
BAS HEOTC courtesy
copy
(BAS-E-HEOTC_CC)

BAS Annual Response email for County and State BAS
Consolidated.
BAS Annual Response email for those not currently in CBAS
but their County is.
BAS Annual Response email for CBAS partial. Entity in more
than one county and one or more counties participates in CBAS.
BAS email sent to HEOs and Tribal Chairs to notify them about
BAS each January.

NRFU Emails
BAS-E-NRFU1

BAS nonresponse follow-up email.

BAS-E-NRFU2

BAS Reported Change nonresponse follow-up email.

Post Response Emails
BAS-E-PTR

Email for those who submit online response form.

SWIM Emails
BAS –
YesChangeResponseToken
email
(BAS-E-SWIM-Token)
BAS – Yes Change, Has
SWIM Account email
(BAS-E-SWIM-HasAcct)

Email for those who need a SWIM Token.

Email for those who already have a SWIM Token but need to
change information or need assistance with their token.