2020 CENSUS

Additional Steps Are 

Needed to Build on 

Early Planning

Report to Congressional Requesters

May 2012

GAO-12-626

United States Government Accountability Office

GAO
United States Government Accountability Office

Highlights of GAO-12-626, a report to 

congressional requesters

May 2012

2020 CENSUS

Additional Steps Are Needed to Build on Early 

Planning

Why GAO Did This Study

GAO’s prior work has shown that it will 

be important for the Bureau to 

reexamine its management and culture 

as well as the fundamental design of 

the census in order to ensure a costeffective census. The Bureau 

recognizes this and has taken steps in 

at least three management areas

toward achieving these goals. As 

requested, this report addresses the 

extent to which the Bureau is taking 

steps in accordance with selected

leading practices that GAO identified 

for (1) organizational transformation, 

(2) long-term project planning, and (3) 

strategic workforce planning in 

preparing for the 2020 Census. To 

meet these objectives, GAO identified

leading practices in these areas that 

are relevant to the Bureau’s 2020 

Census planning, reviewed Bureau 

documents, and interviewed officials.

What GAO Recommends

GAO recommends that the Census 

Director take a number of actions to 

make 2020 Census planning more 

consistent with key practices in the 

three management areas, such as 

examining planned transformation 

activity to ensure its alignment with 

resources, developing a more-detailed 

long-term schedule to smooth 

transition to later planning phases, 

implementing effective congressional 

outreach to ensure a stable planning 

environment, and setting workforce 

planning goals and monitor them to 

ensure their attainment.

The Department of Commerce 

concurred with GAO’s findings and 

recommendations and provided minor 

clarifications, which were included in 

the final report.

What GAO Found

The Census Bureau’s (Bureau) early planning and preparation efforts for the 

2020 Census are consistent with most leading practices in each of the three 

management areas GAO reviewed. For example, with respect to its effort to 

transform its decennial organization, top Bureau leadership has been driving the 

transformation, and the agency has focused on a key set of principles as it 

begins to roll-out the strategy to staff. Furthermore, the Bureau has created a 

timeline to build momentum and show progress. At the same time, however, the 

amount of change-related activity the Bureau is considering as part of its 

reorganization of its decennial directorate may not be aligned with the resources 

the Bureau has allocated to plan, coordinate, and carry it out, and, as a result, 

the planned transformation efforts may not be sustainable or successful. 

Similarly, the Bureau is taking steps consistent with many of the leading practices 

for long-term project planning, such as by, among other activities, issuing its 

series of 2020 planning memorandums in 2009 and 2010 that laid out a highlevel framework documenting goals, assumptions, and timing of the remaining 

four phases of the 2020 Census. The Bureau also created a high-level schedule 

of program management activities for the remaining phases, documented key 

elements such as the Bureau’s decennial mission, vision, and guiding principles, 

and produced a business plan to support budget requests, which is being 

updated annually. Still, the Bureau’s schedule does not include milestones or 

deadlines for key decisions needed to support transition between the planning 

phases, which could result in later downstream planning activity not being based 

on evidence from such sources as early research and testing. Furthermore, there 

has been little effective outreach to the Bureau’s congressional stakeholders

about its reexamination of census processes and design, which could result in a

lack of support on potentially complex or sensitive topics that can be crucial for 

creating a stable environment in which to prepare for a census.

In the area of strategic workforce planning, the Bureau is taking steps consistent 

with leading practices such as by identifying current and future critical 

occupations with a pilot assessment of the skills and competencies of selected 

information technology 2020 Census positions. However, the Bureau has done 

little yet either to identify the goals that should guide workforce planning or to 

determine how to monitor, report, and evaluate its progress toward achieving 

them, which could help the Bureau identify and avoid possible barriers to 

implementing its workforce plans.

The steps the Bureau has taken and has planned are positioning it well during 

this early phase of planning for the 2020 Census. Since much of the Bureau’s 

early progress is tied to additional planning and other activity needed over the 

coming months, equally important will be the need to execute these activities in a 

timely manner to maintain the Bureau’s early momentum toward a cost-effective 

2020 Census.

View GAO-12-626. For more information, 

contact Robert Goldenkoff at (202) 512-2757 

or goldenkoffr@gao.gov.
Page i GAO-12-626 2020 Census Early Planning

Letter 1

Background 3

The Bureau Is Beginning an Organizational Transformation Using 

Key Practices, but Further Planning Is Needed 5

A More Detailed Schedule Could Improve the Bureau’s Existing 

Project Planning Framework 10

Bureau Is Incorporating Most Key Strategic Workforce Planning 

Practices but Does Not Yet Monitor Progress toward Workforce 

Goals 16

Conclusions 20

Recommendations for Executive Action 21

Agency Comments and Our Evaluation 23

Appendix I: Objectives, Scope, and Methodology 25

Appendix II: Bureau Is Using Selected Key Practices to Carry Out Organizational 

Transformation for 2020 Census Directorate 

(Text for Interactive Fig. 2) 28

Appendix III: Bureau Has Developed a High-Level Framework Generally Using Key 

Leading Practices for Planning Long-Term Complex Projects (Text for 

Interactive Fig. 3) 30

Appendix IV: Bureau Generally Relied on Key Leading Practices to Carry Out 

Workforce Planning for 2020 Census (Text for Interactive Fig. 4) 32

Appendix V: List of the U.S. Census Bureau’s Program Management Planning 

Documents 34

Appendix VI: Comments from the Department of Commerce 36

Contents
Page ii GAO-12-626 2020 Census Early Planning

Appendix VII: GAO Contact and Staff Acknowledgments 38

Related GAO Products 39

Table

Table 1: Bureau’s Program Management Planning Documents 34

Figures

Figure 1: The Life Cycle of the 2020 Census Has Five Phases 5

Figure 2: Bureau Is Using Selected Key Practices to Carry Out 

Organizational Transformation for 2020 Census 

Directorate 8

Figure 3: Bureau Has Developed a High-Level Framework 

Generally Using Key Leading Practices for Planning LongTerm Complex Projects 12

Figure 4: Bureau Generally Relied on Key Leading Practices to 

Carry Out Workforce Planning for 2020 Census 18

Abbreviations

Bureau U.S. Census Bureau

HCAAF Human Capital Assessment and Accountability Framework

IT Information Technology

OIG Office of Inspector General

This is a work of the U.S. government and is not subject to copyright protection in the 

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Page 1 GAO-12-626 2020 Census Early Planning

United States Government Accountability Office

Washington, DC 20548

May 17, 2012

Congressional Requesters

The characteristics of the census—long-term, large-scale, complex, highrisk, and politically sensitive—together make a cost-effective enumeration 

of the nation’s population and housing a monumental project-planning 

and management challenge. In preparing for the 2020 Census, the U.S. 

Census Bureau (Bureau) faces the daunting task of successfully counting 

a population that is growing steadily larger, more diverse, and 

increasingly difficult to enumerate in an environment of rapidly changing 

technology. Challenges in managing and planning the 2000 and 2010 

Censuses led to acquisition problems, cost overruns, and other issues, 

and, as a result, we placed both enumerations on our High-Risk List.1

Our work on prior censuses has shown that it will be important for the 

Bureau to reexamine both the fundamental design of the enumeration, as 

well as its management and culture to ensure that the Bureau’s business 

practices and systems enable the Bureau to reach its goal of a costeffective census.

Furthermore, the 2010 Census was, at about $13 billion, the costliest U.S. 

Census in history.

2 And our work has shown that, as a part of robust early 

planning for the decennial, applying leading practices for planning longterm complex projects from the very beginning can help reduce cost and 

risk.3

 1GAO, High-Risk Series: Quick Reference Guide, 

Consistent with this, the Bureau has stated that to contain costs and 

maintain quality, bold innovations in both planning and design of the 2020 

Census will be required. For example, in fiscal year 2011, the Bureau 

completed the initial stage of a transformation effort intended, in part, to 

fundamentally overhaul the Bureau’s approach to planning the decennial 

GAO/HR-97-2 (Washington, D.C.: 

February 1997) and 2010 Census: Automation Problems and Uncertain Costs and Plans 

May Jeopardize the Success of the Decennial and Warrant Immediate Attention, 

GAO-08-550T (Washington, D.C.: Mar. 5, 2008).

2

GAO, 2010 Census: Data Collection Operations Were Generally Completed as Planned, 

but Long-standing Challenges Suggest Need for Fundamental Reforms, GAO-11-193 

(Washington, D.C.: Dec. 14, 2010).

3

GAO, Decennial Census: Additional Actions Could Improve the Census Bureau’s Ability 

to Control Costs for the 2020 Census, GAO-12-80 (Washington, D.C.: Jan. 24, 2012).
Page 2 GAO-12-626 2020 Census Early Planning

census. The Bureau created a new 2020 Census Directorate and a 2020 

Research and Planning Office to take the lead for 2020 preparations. 

Furthermore, during the past year the Bureau began a process of 

identifying the skills gap in its workforce in order to have the skills and 

competencies it needs for developing a more cost-effective 2020 Census. 

As the Bureau continues planning the 2020 Census, it will be important 

that it implement leading management practices in each of these areas.4

Instilling leading management practices will also be important for 

sustaining the Bureau’s transformation efforts and bringing about lasting 

reforms, especially given the turnover that has been occurring at the head 

of the agency over the last 40 years. As we noted in our April 2011 

testimony, leadership continuity is critical to sustain efforts that foster 

change, produce results, mitigate risks, and control costs over the long 

term.5

In this context, we were asked to assess the extent to which the Bureau’s 

2020 Census Directorate and its 2020 Research and Planning Office are 

taking steps consistent with leading practices for (1) organizational 

transformation, (2) long-term project planning, and (3) strategic workforce 

planning for the 2020 Census.

However, since 1969 only one Census Director has served longer 

than 5 years, and the rest—including the current director who recently 

announced plans to resign from the Bureau in August 2012—served an 

average term of about 3 years.

To meet these objectives, we reviewed existing leading practices for 

organizational transformation, long-term project planning, and workforce 

planning that we and other organizations have previously developed, and 

identified those that are most relevant to the Bureau’s early planning for 

the 2020 Census. We also reviewed Bureau documents and interviewed 

Bureau officials involved in the early planning for the 2020 Census. Using 

these sources, we assessed the extent to which the Bureau was 

implementing the leading practices. More information on our scope and 

methodology can be found in app. I.

 4

Another management area where the Bureau will need to focus its planning efforts is the 

area of information technology. We have ongoing work in this area and plan to issue a 

report on this issue later this year.

5

GAO, 2010 Census: Preliminary Lessons Learned Highlight the Need for Fundamental 

Reforms, GAO-11-496T (Washington, D.C., Apr. 6, 2011).
Page 3 GAO-12-626 2020 Census Early Planning

We conducted this performance audit from August 2011 through May 

2012 in accordance with generally accepted government auditing 

standards. Those standards require that we plan and perform the audits 

to obtain sufficient, appropriate evidence to provide a reasonable basis 

for our findings and conclusions based on our audit objective. We believe 

that the evidence obtained provides a reasonable basis for our findings 

and conclusions based on our audit objective.

The Bureau’s experience with the 2010 and prior enumerations has 

shown that lack of proper planning and not following leading practices in 

key management areas can increase the costs and risks of later 

downstream operations. Leading up to the 2010 Census, we reported on 

internal organizational, planning, funding, and human capital challenges 

that jeopardized the Bureau’s overall readiness. For example, we 

reported that additional costs and risks associated with the data capture 

technologies used in the 2010 Census were related to a failure to 

adequately link specifications for key information technology (IT) systems 

to requirements.6

We and other organizations, including the Bureau itself, have stated that 

fundamental changes to the design, implementation, and management of 

the census must be made in order to address these and other problems.

And the lack of skilled cost estimators for the 2010 

Census led to unreliable life-cycle cost estimates. Some of the 

operational problems that occurred during the 2010 and prior censuses 

are symptomatic of deeper organizational issues. For example, a Bureau 

self-assessment carried out in October 2008 found that its organizational 

structure made overseeing a large program difficult and hampered 

accountability, succession planning, and staff development.

7

 6

GAO, Information Technology: Census Bureau Needs to Improve Its Risk Management 

of Decennial Systems, 

In addition, the Bureau Director has testified that various parts of the 

Bureau could collaborate more effectively. In response, the Bureau has 

started numerous change initiatives, some directed at transforming the 

Bureau’s organization itself in addition to reexamining its fundamental 

approach to how it will conduct the 2020 Census.

GAO-08-79 (Washington, D.C.: Oct. 5, 2007). 

7

GAO, 2010 Census: Preliminary Lessons Learned Highlight the Need for Fundamental 

Reforms, GAO-11-496T (Washington, D.C.: Apr. 6, 2011).

Background
Page 4 GAO-12-626 2020 Census Early Planning

The Bureau’s organizational transformation took a significant step forward 

in July 2011 when it created a 2020 Census Directorate, with decennial 

planning being led by its 2020 Research and Planning Office. The Bureau 

is targeting to complete further reorganization of its decennial units by the 

end of fiscal year 2013. In order to obtain necessary approval from the 

Department of Commerce, the Bureau has set a target of February 2013 

for submitting a proposal to the department. To support the organizational 

transformation effort, the Bureau has designated an “organizational 

change manager,” responsible for planning and managing the day-to-day 

organizational change activities. Relatedly, the Bureau is attempting to 

develop Bureau-wide, or “enterprise,” standards, guidance, or tools, in 

areas such as risk management, project management, systems 

engineering, and IT investment management in order to reduce 

duplicative efforts across the Bureau.

The Bureau is also reexamining how it fundamentally conducts the 

decennial census, committing to identify and implement innovation and 

improvements as necessary to conduct the 2020 Census at a lower cost 

per housing unit than the approximately $100 per housing unit cost of the 

2010 Census (in constant 2010 dollars) while still maintaining high quality. 

To do so, the Bureau has divided the 14-year life cycle of the 2020 

Census into five phases, beginning in fiscal year 2009 with Options 

Analysis. The figure below illustrates the sequencing of the five 2020 

Census phases. The current, second, phase, Early Research and 

Testing, comprises 35 research projects that are intended to explore how 

design areas could be modified to control costs or improve quality, such 

as by using the Internet, social media, and administrative records.8

 8

We are separately reviewing specific design elements the Bureau is researching, and 

expect to issue a report later in the year.
Page 5 GAO-12-626 2020 Census Early Planning

Figure 1: The Life Cycle of the 2020 Census Has Five Phases

As the Bureau reexamines how it will plan the 2020 Census, it is also 

reviewing the employee skills and competencies needed to make that 

happen, in part by a formal analysis comparing its needs to its in-house 

capabilities being carried out by its Human Resources Division in 

collaboration with the 2020 Census Directorate. One of the Bureau’s 

objectives listed within its early planning documents is to have a highly 

competent workforce that is matched with the demands of the 2020 

Census. The Bureau’s 2008 internal assessment found that some 

activities involving the management of large programs and projects, cost 

estimation, and IT lacked staff with core skills and experience. The 

Bureau has said that it needs to develop a clear understanding of how 

existing skill sets align with emerging needs, determine the best use of 

resources to close competency gaps, and provide information to 

employees and managers to guide continuing workforce development.

The Bureau is undertaking an organizational transformation of its entire 

decennial directorate in order to improve collaboration and 

communication across its divisions, improve operational efficiencies, and 

instill a culture that, according to the Bureau, encourages risk-taking and 

innovation without fear of reprisal. The Bureau believes such change is 

necessary so that it can more-effectively control costs and enumerate the 

population for 2020. In 2010, the Bureau generally completed its peak 

census data-collection activities consistent with its operational plans and 

released the state population counts used to apportion Congress on 

December 21, 2010, several days ahead of the legally mandated end-ofyear deadline, but did so at a cost that was higher than originally 

estimated. The Bureau is incorporating several leading organizational 

transformation practices, which we have previously reported can help 

The Bureau Is 

Beginning an 

Organizational 

Transformation Using 

Key Practices, but 

Further Planning Is 

Needed
Page 6 GAO-12-626 2020 Census Early Planning

individuals affected by the organizational change adapt to the new 

organization, while simultaneously managing the risk of reduced 

productivity and effectiveness that often occurs as a result of change. Our 

prior work has identified key practices in effective organizational 

transformation, six of which are9

• ensure top leadership drives the transformation,

• focus on a key set of principles and priorities at the outset of the 

transformation,

• set implementation goals and a timeline to build momentum and show 

progress,

• dedicate an implementation team to manage the transformation 

process,

• involve employees to obtain their ideas and gain ownership for the 

transformation, and

• establish a communication strategy to create shared expectations and 

report related progress.

The Bureau is at an early stage of planning for its transformation, and has 

a difficult road ahead to finish the planning and begin implementing it. As 

shown in figure 2, the Bureau has taken numerous steps consistent with 

the key practices. For example, the Bureau Director has led the drive for 

the reorganization, speaking in public and to Bureau staff a number of 

times about the need for the Bureau to change if it is to remain costeffective and relevant in the 21st century. Following the announcement of 

the Director’s upcoming August 2012 departure, several Bureau 

executives said that they remained committed to the initiatives and vision 

shared by the Director, including the organizational transformation. In 

addition, the Bureau has focused on a key set of principles and 

priorities at the outset of the transformation, by including in its 

change-strategy documents not only explicit reliance on the guiding 

principles for the 2020 Census, but specific principles to guide the 

transformation itself, such as “make data-driven decisions,” “be 

responsive and transparent to decennial staff and stakeholders,” and 

“focus on an efficient and resilient organization.” The Bureau has also 

created a high-level transformation timeline to build momentum and 

 9

GAO, Results-Oriented Cultures: Implementation Steps to Assist Mergers and 

Organizational Transformations, GAO-03-669 (Washington, D.C.: July 2, 2003). We 

previously identified nine leading practices, but selected six as most appropriate for the 

Bureau at this time.
Page 7 GAO-12-626 2020 Census Early Planning

show progress that includes milestones such as staff workshops and 

deliverables such as multiyear roadmaps.
Notes:

Illustrative steps taken to date: GAO assessments based on Bureau steps taken as of April 10, 2012.

Extent consistent: We determined that steps taken or planned were either “generally,” “partially,” or “not” consistent with respective 

practices.

Figure 2: Bureau Is Using Selected Key Practices to Carry Out Organizational Transformation for 

2020 Census Directorate Interactive graphic

Page 8 GAO-12-626 2020 Census Early Planning

Print instructions To print text version of this graphic, go to appendix II.

Roll over each bar to see more information regarding illustrative steps taken 

and illustrative steps remaining that contributed to the rating given.

Directions:

Source: GAO analysis of U.S. Census Bureau information.

E nsure top leadership drives the 

transformation

• Define and articulate a compelling 

reason for change.

• Document rationale, expected

benefits, and definition of success.

Focus on a key set of principles 

and priorities at the outset of the 

transformation

Set implementation goals and 

a timeline to build momentum and 

show progress

Embed core values in every aspect of 

the organization to reinforce the new 

culture.

• Make public implementation goals 

and timeline.

• Monitor employee attitudes and take 

appropriate action.

Dedicate an implementation 

team to manage the transformation 

process

Involve employees to obtain their 

ideas and gain their ownership for the 

transformation

Establish a communication strategy 

to create shared expectations and 

report related progress

• Establish networks to support 

implementation team. 

• Select high-performing team

members.

• Use employee teams.

• Incorporate employee feedback.

• Delegate authority to appropriate 

organizational levels.

• Communicate early and often.

• Ensure message consistency. 

• Encourage two-way communication.

• Provide information to meet

employee needs.

Extent consistent
Page 9 GAO-12-626 2020 Census Early Planning

Figure 2 also shows that the Bureau plans to take further steps over the 

next year. For example, the Bureau is planning to roll out much of its 

transformation planning to its staff in June 2012. In July, the Bureau plans 

to more directly engage decennial staff by beginning a series of datacollection activities, intended for staff to identify which decennial planning 

processes work well and which need improving, and is considering 

reliance on focus groups, online staff surveys, or workshops. Eventually, 

and subject to sustained progress of the transformation process, the 

Bureau plans by February 2013 to propose specific changes to its 

decennial organization and finalize a timeline for carrying out the 

transition to a new organization, subject to approval of the changes by the 

department and the Office of Management and Budget.

Although the Bureau is taking and planning many positive steps toward 

carrying out its organizational transformation, it may be falling short in its 

use of an implementation team. Specifically, the amount of changerelated activity being planned may not be aligned with the resources the 

Bureau has allocated to plan, coordinate, and carry them out. While 

Bureau organizational transformation documents were largely in draft and 

subject to change at the time we completed our review, the multiple 

workshops being planned, the preparation of multiple plan and strategy 

documents referenced as deliverables, as well as the collation and 

analysis of data to be collected from staff, seem to be substantial work for 

the sole staff member dedicated at this time to the transformation. That 

person, the current organizational change manager, has time divided 

among transformation planning and implementation, support of the 

executive council advising on the transformation, leading a working group 

on decennial strategic workforce planning, and leading a working group 

on 2020 Census organizational change management communication as 

well. We have previously observed that a strong and stable 

implementation team responsible for the transformation’s day-to-day 

management is important to ensuring that transformation receives the 

focused attention needed to be sustained and successful. If activity 

planned for the transformation is not aligned with the resources dedicated 

to it, various change initiatives may not be sequenced or implemented in 

a coherent and integrated way, collected data may not be properly 

analyzed and used, and risks to implementation may not be identified or 

properly mitigated.

In written comments on our draft report, the Department of Commerce 

responded that after receiving the draft the Bureau assigned additional 

staff and a contractor to support the Bureau’s organizational 

transformation activity. This action appears responsive to our finding, and, 
Page 10 GAO-12-626 2020 Census Early Planning

as follow-up to this report, we will assess any action the Bureau may take 

to examine the alignment between the levels of activity planned for the 

transformation and the resources dedicated to their implementation.

The Bureau is incorporating several long-term project-planning practices 

that—if continued and built upon throughout the decade—should help the 

Bureau avoid many of the management problems it has experienced in 

prior censuses. For example, the Bureau experienced cost overruns for 

the 2010 Census in large part because it had to abandon expensive plans 

for increased use of automation in its field operations late in the planning 

cycle. Furthermore, preparing a rigorous long-term project plan will help 

the Bureau demonstrate to Congress and other stakeholders that it can 

effectively design and manage operations as well as control costs. Our 

prior work has identified key practices for effective long-term project

planning, five of which are10

• develop a project plan,

• involve stakeholders,

• incorporate lessons learned,

• analyze and mitigate risks, and

• monitor progress.

As shown in figure 3, the Bureau is taking steps to plan the 2020 Census 

generally consistent with two of the five key practices we identified and 

partially consistent with the other three. For example, early on, from June 

2009 to November 2010, the Bureau began the practice to develop a 

project plan by issuing a series of eight 2020 planning memorandums11

 10GAO, 2010 Census: Cost and Design Issues Need to Be Addressed Soon, 

that laid out a framework documenting goals, assumptions, and timing of 

the remaining four phases of 2020 Census. The Bureau also created a 

high-level schedule of program management activities for the remaining 

four phases, documented key elements such as the Bureau’s decennial 

mission, vision, and six guiding principles, and produced a business plan 

to support budget requests, which is being updated annually. Also, 

GAO-04-37

(Washington, D.C.: Jan, 15, 2004). We separate “involve stakeholders” and “incorporate 

lessons learned” here, and exclude “evaluate human resource implications” since we 

address human capital practices more extensively elsewhere in the report.

11U.S. Census Bureau, 2020 Census Information Memoranda Series, Memorandum No. 

1-8 (June 22, 2009–Nov. 16, 2010).

A More Detailed 

Schedule Could 

Improve the Bureau’s 

Existing Project 

Planning Framework
Page 11 GAO-12-626 2020 Census Early Planning

consistent with this practice, the Bureau has identified 19 specific 

management-process areas from management literature and other 

sources, for which it is developing strategies and plans, such as for 

knowledge management and performance management (a complete list 

is included in app. V).

The Bureau also took steps to involve stakeholders internally in its early 

planning when it officially kicked off the 2020 Census on October 3, 2008, 

with a summit of decennial-census managers discussing challenges, 

strengths, and weaknesses that would inform the 2020 Census strategic 

decision-making process. The Bureau began briefing external 

stakeholders in 2009, describing its approach and high-level plans for the 

2020 Census at professional-association meetings, at meetings at the 

National Academies of Sciences, and to oversight groups such as the 

Department of Commerce Office of Inspector General (OIG) and us. To 

help implement the practice to incorporate lessons learned, in 2011 the 

Bureau created a recommendation follow-up process, built around a 

database it created containing recommendations made in recent GAO 

and OIG reports on the 2010 Census, and the Bureau has begun 

including recommendations from its own 2010 Census evaluation reports 

as well. Not having a formal process for recommendation follow-up for 

prior censuses made it difficult to ensure that recommendations were 

systematically considered by those at the Bureau best able to act on 

them. In concert with a knowledge-management strategy, the Bureau has 

provided these recommendations to relevant Bureau research and testing 

teams for their consideration.
Notes:

Illustrative steps taken to date: GAO assessments based on Bureau steps taken as of April 10, 2012.

Extent consistent: We determined that steps taken or planned were either “generally,” “partially,” or “not” consistent with respective 

practices.

Figure 3: Bureau Has Developed a High-Level Framework Generally Using Key Leading Practices for

Planning Long-Term Complex Projects Interactive graphic

Page 12 GAO-12-626 2020 Early Census Planning

Print instructions To print text version of this graphic, go to appendix III.

Roll over each bar to see more information regarding illustrative steps taken 

and illustrative steps remaining that contributed to the rating given.

Directions:

Source: GAO analysis of U.S. Census Bureau information.

Develop a project plan

Consider all phases of the project 

and have clear and measurable 

goals; clearly state all assumptions, 

schedules, and deadlines; and identify 

needed skills and resources.

Involve stakeholders Incorporate lessons learned

• Involve internal and external 

stakeholders in the decision-making 

process.

• Focus on the highest-priority

stakeholder needs and mission 

goals.

• Evaluate past performance and

capitalize on lessons learned to 

improve performance.

• Include the processes required to 

use project information to improve 

future efforts.

Analyze and mitigate risks Monitor progress

• Identify, analyze, prioritize, and

document risks. Ideally, assess

more than one alternative. 

• Plan risk management—the process 

of defining how to conduct risk 

management activities for a project.

Identify measurable performance 

goals that describe and guide

successful planning. Collect

performance data and report it to

determine how well the goals are

being achieved.

Extent consistent
Page 13 GAO-12-626 2020 Census Early Planning

Figure 3 also shows that the Bureau plans to take further steps over the 

next several months. For example, the Bureau is planning in August 2012 

to finalize both the detailed schedule of all program management, 

systems engineering, and training activities for the current research and 

testing phase of the 2020 Census, as well as all of the individual project 

plans for the research and testing projects that it began during fiscal year 

2012. According to Bureau officials, these processes will evolve and 

mature as the Bureau learns from the initial implementation and progress 

from one phase to the next. And in September, it will issue its initial plan 

for managing communications on 2020 Census planning, progress, and 

design with established 2020 Census external advisory boards as well as 

its own staff.

While the Bureau is taking steps generally consistent with two of the five 

leading practices we identified in this area, additional steps are needed to 

better implement three practices presented in figure 3. For example, to 

better develop a project plan for long-term projects having multiple 

phases, the Bureau can take steps to address three weaknesses with its 

current scheduling. First, it will be important for the Bureau to include 

milestones marking deadlines and decisions that affect later phases. The 

Bureau’s business plan for the 2020 Census notes one lesson it is trying 

to leverage from prior censuses is to ensure that evidence from such 

sources as research and testing is used to inform later planning. But, 

current Bureau plans provide inadequate detail on when key decisions 

will need to be made to support transition between the planning phases. 

For example, while the Bureau has research and testing activity 

continuing until 2018, it is not clear what specific activity must be 

completed to inform design decisions that need to be made before the 

next phase—operational development and systems testing—begins. With 

the next phase scheduled to begin as early as 2015, if the needed 

activities are not completed on time, the Bureau is at risk of not starting 

downstream operations on schedule.

Second, Bureau planning documents do not yet specify when milestones 

for management activity will—or needs to—transition from the earlier 

research and testing phase to later phases of 2020 Census planning. 

Documentation of Bureau management planning focuses naturally and 

primarily on the current research and testing phase, and much of it states 

explicitly that the scope of consideration is limited to the research and 

testing phase. Bureau officials explained that they expect to update most 

if not all management plans for later phases according to experience 

gained with them during early research and testing as well as the special 

needs of later phases. Yet without a schedule for concerted planning to 
Page 14 GAO-12-626 2020 Census Early Planning

create, revise, or update management plans to address the needs and 

circumstances of later phases beyond research and testing, the Bureau 

may find itself in transition without the management plans ready. This 

runs the risk of the Bureau having to develop and manage parallel 

processes if new ones need to be created before it has taken steps to 

decide how pre-existing ones should be revised to support later phases. 

A more-visible reflection of projected deadlines, or milestones, for 

decisions related to later phases can help ensure that all necessary 

efforts leading up to those milestones are prioritized and completed on 

schedule.

Third, the Bureau is still unsure when some initiatives to implement 

Bureau-wide, or “enterprise,” solutions in a variety of management areas 

will be completed. The enterprise solutions the Bureau is implementing 

show promise to reduce duplication of effort and improve consistency by 

introducing common standards, processes, tools, and systems in areas 

such as risk management, project management, systems engineering, 

and IT investment management.12

Regarding the involvement of stakeholders in 2020 Census planning, 

according to senior Bureau officials, there has been little effective 

outreach by the Bureau to inform congressional staff about the scope of 

topics the Bureau has planned as part of its approach to fundamentally 

reexamine how it conducts a census. Bureau officials explained that their 

Yet robust planning relies on 

integrated scheduling to ensure that related and dependent activities are 

coordinated and sequenced properly. Uncertainty over when enterprise 

solutions that 2020 Census is expected to rely on will be ready could lead 

to unnecessary duplication of effort or difficulty in mitigating risks of their 

delayed completion. Indeed, the 2020 Census staff is already planning 

and carrying out activities in these areas. Although it is consulting with 

those responsible for the enterprise solutions, the Bureau’s additionally 

producing a schedule for each of the enterprise solutions—including 

expected dates of delivery for tools, processes, and systems, such as 

2020 Census is expected to use—would help minimize risks of 

developing decennial processes and tools incompatible with, or requiring 

time- or cost-intensive adjustment to harmonize with the forthcoming 

enterprise solutions.

 12We are reviewing the Bureau’s IT investment management processes and plan to issue 

a report later this year.
Page 15 GAO-12-626 2020 Census Early Planning

congressional outreach thus far has been on budgetary and nondecennial issues. We have previously reported on the importance of 

congressional outreach on the decennial to secure early agreement 

between the Bureau and Congress on the Bureau’s fundamental 

approach for its next decennial.13

The Bureau is piloting a process to incorporate lessons learned from

recent oversight reporting and 2010 Census evaluations, and will need to 

take additional steps in order to rely on it as a mature tool to follow up on 

prior recommendations. We have previously reported that it will be vitally 

important for the Bureau to identify lessons learned from the 2010 

Census to improve census-taking activities and address long-standing 

challenges.

Congressional support—regardless of 

the approach ultimately selected—is crucial for creating a stable 

environment in which to prepare for the census. Some of the Bureau’s 

planned research, such as partial reliance on the Internet for data 

collection, has not been used by the Bureau on a large scale before, and 

the Director has also raised the possibility of a need for public debate on 

the trade-offs between census cost and census quality. Engaging in 

strategic bicameral and bipartisan communication can help build support 

for the Bureau’s approach to fundamentally reexamine how it plans for 

and conducts a decennial census, and helps ensure an informed public 

debate on any potentially complex or sensitive topics.

14

 13GAO, 2010 Census: Cost and Design Issues Need to be Addressed Soon, 

The Bureau’s process captures recommendations from 

recent 2010 Census evaluations and issues and assigns accountability 

for follow-up to staff working on research and testing, and the Bureau has 

plans to at least initially report on the status of recommendation follow-up. 

However, the Bureau lacks a formal process for periodically assessing 

the status of follow-up, and thus may lack consistent data to report and a 

basis for knowing when to hold staff accountable for that follow-up. The 

Bureau does not have in place a mechanism for systematic periodic 

reporting on the status of follow-up—such as on its intranet or Internet 

pages. Nor does it have performance measures defined for measuring 

the extent of recommendation follow-up, such as the percentage 

implemented or the percent not followed up on within 12 months, which 

would both allow the Bureau to more-easily track and report progress in 

incorporating improvements and begin to systematically incentivize team 

GAO-04-37 

(Washington, D.C.: Jan. 15, 2004).

14GAO-11-193.
Page 16 GAO-12-626 2020 Census Early Planning

or individual performance that incorporates lessons learned in order to 

help build a more results-oriented culture. Research and testing project 

teams reported out on which recommendations they would be addressing 

within their projects, as required by Bureau timelines, and described their 

plans for future action on recommendations. Taking these further steps 

will help sustain progress in ensuring the Bureau takes advantage of 

lessons from prior experiences and insights.

The Bureau is incorporating several key strategic workforce planning 

practices that address its objective of matching its managers, technical 

experts, and workforce to the demands of the 2020 Census. Strategic 

workforce planning encourages agency managers and stakeholders to 

systematically consider what is to be done, when and how it will be done, 

what skills will be needed, and how to gauge progress and results, 

helping to avoid staffing problems the Bureau has experienced in the 

past. For example, a Bureau assessment of its experience with 2010 

Census observed that areas such as the management of large programs 

and projects, cost estimation, and sophisticated IT lacked staff with core 

skills and experience. Our prior work in human capital management has 

identified key practices in effective strategic workforce planning, five of 

which are:15

• identify current and future critical occupations, skills, and 

competencies and analyze workforce gaps,

• develop current and future strategies tailored to address gaps and 

human capital conditions in critical skills and competencies that need 

attention,

• involve top management, employees, and stakeholders in developing, 

communicating, and implementing the strategic workforce plan,

• align workforce planning with strategic planning and budget 

formulation, and

• monitor and evaluate progress toward achieving workforce planning 

and strategic goals.

 15GAO, Human Capital: Key Principles for Effective Strategic Workforce Planning, 

GAO-04-39 (Washington, D.C.: Dec. 11, 2003) and Workforce Planning: Interior, EPA, 

and the Forest Service Should Strengthen Linkages to Their Strategic Plans and Improve 

Evaluation, GAO-10-413 (Washington, D.C.: Mar. 31, 2010). We combined a sixth leading 

practice, “build capacity to support workforce strategies,” into these, to simplify 

presentation.

Bureau Is 

Incorporating Most 

Key Strategic 

Workforce Planning 

Practices but Does 

Not Yet Monitor 

Progress toward 

Workforce Goals
Page 17 GAO-12-626 2020 Census Early Planning

As figure 4 indicates, the Bureau is taking steps generally consistent with 

three of the five key strategic workforce planning leading practices for its 

planning of the 2020 Census, although the steps thus far are largely 

limited in scope to workforce planning for the second of the five 2020 

Census phases—early research and testing. For example, the Bureau 

has begun to identify current and future critical occupations by 

piloting a skills and competency assessment of selected IT 2020 Census 

positions, including those for 2020 Census research and testing. In 

support of developing current and future strategies tailored to 

address workforce gaps that need attention, the Bureau has reviewed 

its available strategic hiring, retention, and other workforce flexibilities. In 

addition, top management has been actively engaged in 

communicating the strategic workforce plan, with the Bureau Director 

preparing staff for needed changes by speaking about it in town hall 

meetings and postings on his intranet blog.
Notes:

Illustrative steps taken to date: GAO assessments based on Bureau steps taken as of April 10, 2012.

Extent consistent: We determined that steps taken or planned were either “generally,” “partially,” or “not” consistent with respective 

practices.

Figure 4: Bureau Generally Relied on Key Leading Practices to Carry Out Workforce Planning for 

2020 Census Interactive graphic

Page 18 GAO-12-626 2020 Census Early Planning

Print instructions To print text version of this graphic, go to appendix IV.

Roll over each bar to see more information regarding illustrative steps taken 

and illustrative steps remaining that contributed to the rating given.

Directions:

Source: GAO analysis of U.S. Census Bureau information.

Identify current and future critical 

occupations, skills, and

competencies and analyze

workforce gaps

Identify mission-critical occupations 

and competencies, which form the 

basis for much of workforce planning.

Develop current and future

strategies tailored to address gaps 

and human capital conditions in 

critical skills and competencies that 

need attention

Involve top management,

employees, and other stakeholders 

in developing, communicating, and 

implementing the strategic

workforce plan

Develop reasonable human capital 

strategies and tools and align these

to eliminate gaps and improve the 

contribution of critical skills and

competencies.

Involve top management, employees 

and stakeholders in unique roles to 

design strategic workforce plans.

Align workforce planning with 

strategic planning and budget

formulation

Monitor and evaluate progress 

toward achieving workforce planning 

and strategic goals

Align workforce and strategic plans 

with budget.

Assess progress to determine 

whether workforce planning goals are 

being met and identify the reasons for 

any shortfalls.

Extent consistent
Page 19 GAO-12-626 2020 Census Early Planning

Figure 4 also shows that the Bureau plans to take a number of steps over 

the next few months that are generally consistent with the key strategic 

workforce planning leading practices. For example, in support of the 

practice to analyze workforce gaps the Bureau plans to finalize in May 

its project plan detailing the steps, resources, and timeline for conducting 

its Bureau-wide skills gap and competency assessment that it will 

undertake later in 2012. To help develop current and future strategies, 

in June, the Bureau plans to identify which of its existing training courses 

can potentially help address gaps it expects it may identify, while in 

August, it plans to document how its skills gap and competency analyses 

will be updated and used during later census phases with target timewindows for later activity, including how it will align with budget 

formulation. The Bureau planned some of these steps in response to our 

discussions with its workforce planning officials.

The Bureau’s early effort to analyze competencies has the potential to 

help it identify critical occupations and skills that will help it adjust to 

changes in technology, budget constraints, and other factors that alter the 

environment in which it operates. Top management is actively engaged

in developing the workforce plan and is setting the overall direction for 

planning efforts. The Bureau’s plan to document when skills gap and 

competency analyses will be conducted for future 2020 Census phases 

will help the Bureau manage other supporting activity to ensure that this 

important workforce planning activity happens soon.

Still, the Bureau could do more to implement its strategic workforce 

planning consistent with key leading practices. The Bureau has not yet 

determined its workforce goals from its skills gap and competency 

analyses or laid out how it will monitor, report, and evaluate progress in 

achieving them. According to the Bureau, it hopes to enable program 

managers to flexibly, and on-demand, obtain reports on the status and 

strategies targeted to their own goals and workforce needs. Identifying 

agency goals for this initiative and a vital few performance measures can 

help agency officials think through the scope, timing, and possible 

barriers to evaluating and implementing the resulting workforce plans, 

and the monitoring and evaluation itself can provide information for 

effective oversight by identifying performance shortfalls and appropriate 

corrective actions.

Finally, the Bureau has traditionally obtained input on decennial technical, 

operational, and policy issues from a diverse group of stakeholders, but, 

according to Bureau officials, has not yet considered the role of external 

stakeholders in developing, communicating, and implementing its 
Page 20 GAO-12-626 2020 Census Early Planning

workforce planning. External stakeholders with appropriate expertise and 

experience can play a useful role in supporting an agency with its 

workforce planning such as by serving as a sounding board for agency 

workforce initiatives. For example, academic institutions and their 

accreditation organizations are positioned to discuss both the direction 

the respective academic programs are headed and whether agency 

needs can be expected to be met by them. A panel of academics from 

universities with relevant expertise might provide a two-way forum for how 

to align future skills and competency needs for the agency workforce with 

the hiring pool that the academic institutions are helping to develop. 

Expanding discussions with traditional census advisory groups, such as 

those organized to tap professional organizations and diversity 

perspectives, may also provide insights and advice on recruiting, 

retaining, and developing staff. Identifying those external stakeholders 

who can provide insights to Bureau workforce planning challenges and 

reaching out to them could help the Bureau develop strategies to help 

meet its objective of having a workforce matched with the demands of the 

2020 Census.

The Bureau faces many challenges—internally and externally—in 

preparing for a cost-effective 2020 Census, including transforming the 

Bureau’s internal organization; rethinking the way the Bureau plans for 

and executes decennial censuses; and assessing the skills and 

competencies of the Bureau’s workforce. Applying leading management 

practices in each of these areas of the Bureau’s preparation for the 2020 

Census can help ensure that the Bureau addresses these challenges and 

delivers high-quality and timely results. Other areas of planning, such as 

IT investment management, that are outside the scope of our review will 

also require sustained attention. However, sustaining these efforts going 

forward, especially given the Director’s pending August 2012 departure 

and the Bureau’s historic issue of leadership continuity, will be a 

challenge.

The Bureau is generally or partially following most leading practices in the 

management areas of organizational transformation, long-term project 

planning, and strategic workforce planning—positioning itself well during 

this early phase of planning for the 2020 Census. Much of the Bureau’s 

early progress is visible in its plans for additional activity over the coming 

months; equally important will be the need to finalize these plans and 

execute these activities in a timely manner to maintain the Bureau’s early 

momentum toward a cost-effective 2020 Census.

Conclusions
Page 21 GAO-12-626 2020 Census Early Planning

It will be important for the Bureau to take additional steps to further 

implement leading practices in each of the three management areas we 

reviewed. Reexamining its planned transformation activities in terms of 

resources allocated to them will help ensure that its organizational 

transformation team can prioritize and implement those activities, 

properly use supporting data to enhance those activities, or identify and 

mitigate risks to their implementation. The Bureau’s long-term planning

will be aided by improvements in scheduling that will help to ensure the 

coordination, management, and resource allocation to activities as 

needed, and by a congressional outreach strategy that helps ensure 

stakeholders are informed of new census design elements and possible 

cost-quality trade-offs. In addition, improvements in the assessment and 

reporting on the Bureau’s recommendation follow-up system will help the 

Bureau get the best return on that investment. Finally, for strategic 

workforce planning, it will be important that the Bureau set agency 

workforce goals so that it can determine how to monitor, report, and 

evaluate its progress toward achieving those goals. Moving forward, 

identifying external stakeholders with expertise and experience in 

workforce planning challenges such as recruitment and soliciting 

feedback from them will help the Bureau develop strategies to meet its 

objective of having a workforce matched with the demands of the 2020 

Census. Implementing these remaining leading practices can help the 

Bureau stay on track for a well-planned, well-executed 2020 Census.

We recommend that the Secretary of Commerce require the Under 

Secretary for Economic Affairs who oversees the Economics and 

Statistics Administration, as well as the Director of the U.S. Census 

Bureau, to take the following six actions to improve the Bureau’s process 

of organizational transformation, long-term planning, and strategic 

workforce planning for the 2020 Census, and thus better position the 

Bureau to carry out a cost-effective decennial census:

Organizational Transformation

1. In order to ensure the Bureau’s decennial organizational 

transformation is sustained and successful, examine the alignment 

between the levels of activity planned for the transformation and the 

resources dedicated to their implementation, and adjust the activity 

and resources as appropriate.

Recommendations for 

Executive Action
Page 22 GAO-12-626 2020 Census Early Planning

Long-term Planning

2. In order to ensure prioritization and timely completion of all necessary 

research and testing efforts, as well as timely transition to later 2020 

Census phases, develop and implement a long-term planning 

schedule that includes key milestones and deadlines, including

• deadlines for decisions that directly affect activity in later 2020 

Census phases;

• a schedule for creating, revising, or updating governance, 

program management, and system engineering and architecture 

plans to be used in later 2020 Census phases beyond research 

and testing; and

• expected times of delivery for Bureau-wide enterprise tools, 

processes, and standards that 2020 Census planning would be 

expected to use.

3. In order to inform congressional decision-making related to the 2020 

Census, develop and implement an effective congressional outreach 

strategy, particularly on new design elements the Bureau is 

researching and considering as well as on cost-quality trade-offs of 

potential design decisions.

4. In order to improve the Bureau’s process for following up on Bureau 

and oversight agencies’ recommendations to improve the 2020 

Census,

• assess the status of recommendation follow-up at regular 

intervals, such as every 12 months; and

• periodically report on the status of recommendation follow-up—

such as on the Bureau’s intranet or Internet pages

Strategic Workforce Planning

5. In order to help the Bureau identify performance shortfalls and 

appropriate corrective actions in achieving its strategic workforce 

planning goals, set agency workforce planning goals, and determine 

how the Bureau will monitor, report, and evaluate its progress toward 

achieving those goals.

6. In order to help the Bureau develop strategies to meet its objective of 

having a workforce matched with the demands of the 2020 Census, 

identify external stakeholders whose expertise and experience can 

provide insights to Bureau workforce planning challenges, such as 

recruitment, and reach out to them and incorporate their input as 

appropriate.
Page 23 GAO-12-626 2020 Census Early Planning

We provided a draft of this report to the Secretary of Commerce on April 

26, 2012 and received the department’s written comments on May 11, 

2012. The comments are reprinted in appendix VI. The Department of 

Commerce concurred with our findings and recommendations.

In its comments, the department provided additional context on the role 

that the Bureau’s Human Resources Division plays handling strategic 

workforce planning for the 2020 Census. We have included this additional 

information in the background section of the report where we first discuss 

the assessment and analysis initiative.

Also, the department noted that after it had received our draft report, the 

Bureau had added additional staff and contractor support to its 

organizational transformation activities. We have included this additional 

information in the report where we discuss the organizational 

transformation leading practices. The Bureau’s action appears responsive 

to our recommendation, and we will further assess this as part of our 

routine recommendation follow-up process.

We are sending copies of this report to the Secretary of Commerce, the 

Director of the U.S. Census Bureau, and interested congressional 

committees. The report also is available at no charge on GAO’s website 

at http://www.gao.gov.

If you have any questions about this report please contact me at (202) 

512-2757 or goldenkoffr@gao.gov. Contact points for our Offices of 

Congressional Relations and Public Affairs may be found on the last page 

of this report. The GAO staff that made key contributions to this report is 

listed in appendix VII.

Robert Goldenkoff

Director

Strategic Issues

Agency Comments 

and Our Evaluation
Page 24 GAO-12-626 2020 Census Early Planning

List of Requesters

The Honorable Thomas R. Carper

Chairman

The Honorable Scott Brown

Ranking Member

Subcommittee on Federal Financial Management, Government

 Information, Federal Services, and International Security

Committee on Homeland Security and Governmental Affairs

United States Senate

The Honorable Danny K. Davis

Ranking Member

Subcommittee on Health Care, District of Columbia, Census, 

 and the National Archives

Committee on Oversight and Government Reform

House of Representatives
Appendix I: Objectives, Scope, and 

Methodology

Page 25 GAO-12-626 2020 Census Early Planning

The objectives of our review were to assess the extent to which the U.S. 

Census Bureau’s (Bureau) 2020 Directorate and its Research and 

Planning Office are taking steps consistent with leading practices for 

organizational transformation, long-term project planning, and strategic 

workforce planning. For each of these three management areas, we 

conducted a literature review to develop the appropriate leading practices 

that should be considered in our review.

We identified leading practices from the following sources:

• Organizational Transformation: Our prior report for federal agencies to 

consider as they seek to transform their culture in response to 

governance challenges.1

• Long-term project planning: Our evaluation of the Bureau’s early 

project-planning efforts of the 2010 Census2 and information from the 

Software Engineering Institute.3

• Strategic workforce planning: Our two prior reports4 that developed 

the practices, and on selected material from the GAO Management 

Diagnostic Tool,5 the Project Management Institute,6

 1

GAO, Results-Oriented Cultures: Implementation Steps to Assist Mergers and 

Organizational Transformations (

and the Office of 

GAO-03-669) (Washington, D.C.: July 2, 2003). Not all of 

the leading practices from this report were used because some were not germane to the 

Bureau.

2

GAO, 2010 Census: Cost and Design Issues Need to Be Addressed Soon, GAO-04-37 

(Washington, D.C.: Jan, 15, 2004).

3

Carnegie Mellon University’s Software Engineering Institute (SEI), recognized for its 

expertise in software processes, has developed models and methods that define and 

determine organizations’ software process maturity and has been used by GAO in the 

past to develop leading practices.

4

GAO, Human Capital: Key Principles for Effective Strategic Workforce Planning, 

GAO-04-39 (Washington, D.C.: Dec. 11, 2003) and Workforce Planning: Interior, EPA, 

and the Forest Service Should Strengthen Linkages to Their Strategic Plans and Improve 

Evaluation, GAO-10-413 (Washington, D.C.: Mar. 31, 2010).

5

GAO developed the Management Diagnostic Survey as a tool that could be used by 

executive agencies and GAO to identify management function areas in which an agency is 

performing well or may have opportunity to better implement leading management 

practices. The result can assist GAO to determine areas for additional follow-up work and 

can help agency leaders identify management improvement opportunities. From this tool, 

we used information pertaining to human capital.

6

The Project Management Institute purpose is to advance the project-management 

profession through standards and certifications, collaborative communities, research, and 

professional-development opportunities.

Appendix I: Objectives, Scope, and 

Methodology
Appendix I: Objectives, Scope, and 

Methodology

Page 26 GAO-12-626 2020 Census Early Planning

Personnel Management’s Human Capital Assessment and 

Accountability Framework (HCAAF).7

To assess the extent to which the Bureau implemented the practices, we 

reviewed numerous Bureau documents pertaining to the early planning of 

the 2020 Census. These generally consisted of high-level strategic 

framework documents, strategies and plans pertaining to specific 

elements of the 2020 Census, planning memorandums, charters for key 

steering groups, and timelines for execution. Many of these documents 

were considered draft, but Bureau officials said were sufficiently 

developed for purposes of our review. We accessed the Bureau’s intranet 

to see what information it provides employees about the topics of our 

research objectives. We also obtained performance contracts of Senior

Executive Service officials to evaluate the extent to which performance 

expectations include 2020 Census planning goals.

We interviewed Bureau officials responsible for the early planning of the 

2020 Census, including: the Bureau Director; the 2020 Directorate’s 

Research and Planning Office; the Associate Director for 

Communications; and senior officials in the Human Resource Division. 

We also met with members of the 2020 Census Directorate’s 

Organizational Change Management Council, which is charged with 

effectively managing the delivery of the new organization design and 

providing executive guidance, support, and resolution of the 

transformation.

From our review of documents and interviews with all agency officials, we 

determined the extent to which each leading practice has been 

implemented using a scale of “generally consistent,” “partially consistent,”

and “not consistent.” A practice was considered “generally consistent”

when the evidence demonstrated the Bureau generally fulfilled more than 

half the description of the practice. A practice was considered “partially 

consistent” when the evidence demonstrated some meaningful actions 

had been taken, but less than half the description of the practice was 

fulfilled. A practice was considered “not consistent” when the evidence 

indicated the practice was not addressed because either no action was 

yet taken or the actions that were taken were minimal or not effective.

 7

The Office of Personnel Management’s HCAAF, developed in conjunction with the Office 

of Management and Budget and GAO, defines standards for success for the federal 

government and can serve as a road map for human capital transformation.
Appendix I: Objectives, Scope, and 

Methodology

Page 27 GAO-12-626 2020 Census Early Planning

We reached our assessments by having the primary team members 

determine their collective opinion and then sought validation by having 

another GAO subject-matter specialist with sufficient familiarity with the 

material use professional judgment and develop an independent 

assessment. In all circumstances, the coders collaborated to discuss any 

differences, which resulted in developing a consensus assessment.
Appendix II: Bureau Is Using Selected Key 

Practices to Carry Out Organizational 

Transformation for 2020 Census Directorate 

(Text for Interactive Fig. 2)

Page 28 GAO-12-626 2020 Census Early Planning

Key practice Description 

Illustrative steps taken to 

datea Illustrative steps planned (expected date)

Extent steps are 

consistent with 

practiceb

Ensure top leadership 

drives the 

transformation.

• Define and articulate 

a compelling reason 

for change.

• Document rationale, 

expected benefits, 

and definition of 

success.

• Issued strategic plan 

for 2020 Census with 

annual updates of a 

business plan.

• Included rationale, 

benefits, and 

description of factors 

that will contribute to 

success in strategy 

documents.

• Chartered an 

organizational change 

management council 

comprising Bureauwide executives and 

senior managers.

• Identify indicators of 

success (May 2012).

Generally 

consistent

Focus on a key set of 

principles and priorities 

at the outset of the 

transformation.

• Embed core values in 

every aspect of the 

organization to 

reinforce the new 

culture.

• Created change 

management strategy 

documents explicitly 

referring to 2020 

Census goals and 

guiding principles.

• Established eight 

guiding principles for 

the transformation.

• Incorporate key 

principles for the 

transformation in 

planned activity for 

interacting with staff 

(July 2012).

Generally 

consistent

Set implementation 

goals and a timeline to 

build momentum and 

show progress.

• Make public 

implementation goals 

and timeline.

• Monitor employee 

attitudes and take 

appropriate action.

• Created high-level 

transformation timeline 

that includes 

milestones for 

governance, 

communication and 

education, and 

transition activities.

• Created draft strategy 

documents that include 

targets for achieving 

“quick wins,” periodic 

reporting, and outreach 

events to build 

momentum.

• Identify measures for 

monitoring progress of 

transformation (May 

2012).

• Begin public 

dissemination of goals 

and timelines (July 

2012).

• Finalize comprehensive 

plan for engaging staff 

and stakeholders in 

determining what the 

new organization should 

be (June 2012).

• Finalize transition 

timeline subject to 

approval of proposed 

changes (February 

2013).

Generally 

consistent

Appendix II: Bureau Is Using Selected Key 

Practices to Carry Out Organizational 

Transformation for 2020 Census Directorate 

(Text for Interactive Fig. 2)
Appendix II: Bureau Is Using Selected Key 

Practices to Carry Out Organizational 

Transformation for 2020 Census Directorate 

(Text for Interactive Fig. 2)

Page 29 GAO-12-626 2020 Census Early Planning

Key practice Description 

Illustrative steps taken to 

datea Illustrative steps planned (expected date)

Extent steps are 

consistent with 

practiceb

Dedicate an 

implementation team to 

manage the 

transformation process.

• Establish networks to 

support 

implementation team.

• Select highperforming team 

members.

• Designated an 

“organizational change 

manager” responsible 

for day-to-day 

organizational change 

activities.

• Include expectations 

within performance 

plans of senior 

managers below 

executive level to 

support transformation 

(October 2012).

Partially consistent

Additional Step 

Needed

Examine sufficiency 

of resources of 

implementation 

team.

Involve employees to 

obtain their ideas and 

gain their ownership for 

the transformation.

• Use employee teams.

• Incorporate employee 

feedback.

• Delegate authority to 

appropriate 

organizational levels.

• Created a 

transformation plan 

that specifies a series 

of workshops, focus 

groups, and other 

employee-centered 

processes.

• Convene and enlist 

support of a group of 

managers across every 

affected division and 

branch (May 2012).

• Convene town hall 

meetings to roll out 

strategy to employees 

(June 2012).

• Implement a vehicle to 

obtain anonymous 

employee ideas and 

feedback on proposals 

(June 2012).

• Begin series of 

workshops and focus 

groups (July 2012).

• Make details available 

to staff on specific 

changes to be made 

(February 2013).

Generally 

consistent

Establish a 

communication strategy 

to create shared 

expectations and report 

related progress.

• Communicate early 

and often.

• Ensure message 

consistency.

• Encourage two-way 

communication.

• Provide information to 

meet employee 

needs.

• Discussed vision for 

transformation at unit 

staff meetings, fielding 

questions and 

comments.

• Created 

communication team to 

support organizational 

change management.

• Develop comprehensive 

communication strategy 

(May 2012).

• Create and maintain an 

intranet site to provide 

an official clearing 

house of information, 

answers to frequently 

asked questions, and 

points of contact for all 

staff (June 2012).

• Communicate details 

about specific future 

changes being planned 

(February 2013).

Generally 

consistent

Source: GAO analysis of U.S. Census Bureau information.

a

As of April 10, 2012.

b

We determined that steps taken or planned were either “generally,” “partially,” or “not” consistent with 

respective practices.
Appendix III: Bureau Has Developed a HighLevel Framework Generally Using Key Leading 

Practices for Planning Long-Term Complex 

Projects (Text for Interactive Fig. 3)

Page 30 GAO-12-626 2020 Census Early Planning

Key practice Description

Illustrative steps taken to 

datea

Illustrative steps 

planned (expected 

date)

Extent steps are 

consistent with practiceb

Develop a project 

plan.

Consider all phases of 

the project and have 

clear and measurable 

goals; clearly state all 

assumptions, 

schedules, and 

deadlines; and identify 

needed skills and 

resources.

• In a series of eight 

memos, laid out a 

framework 

documenting goals, 

assumptions, and 

timing of five broad 

phases for 2020 

Census with cost 

estimate milestones 

tied to annual budget 

request submissions.

• Maintained high-level 

schedule of activities 

for remaining four 

phases.

• Documented initial 

work requirements and 

interdependencies for 

all fiscal year 2012 

research and testing 

projects.

• Finalize detailed 

schedule of all 

program 

management, 

systems 

engineering, 

requirements, and 

training activities 

(August 2012).

• Finalize project 

plans for all 

research and testing 

projects begun in 

fiscal year 2012 

(August 2012).

• Update program 

management and 

systems engineering 

training materials to 

reflect finalized 

processes 

(September 2012).

Partially consistent

Additional steps needed

• Document deadlines 

and decisions affecting 

later phases of 2020 

Census.

• Document schedule for 

updating or replacing 

current management 

documents for later 

phases of 2020 Census.

• Document timeline for 

delivering Bureau-wide 

enterprise solutions.

Involve stakeholders. • Involve internal 

and external 

stakeholders in the 

decision-making 

process.

• Focus on the 

highest priority 

stakeholder needs 

and mission goals.

• Conducted 14 planning 

workshops with internal 

and external 

stakeholders to identify 

design options to 

explore.

• Presented high-level 

description of research 

plans for selected 

technical areas to 

scientific and data user 

advisory groups.

• Rechartered race and 

ethnicity advisory 

committees.

• Finalize 

communications

plan for informing 

and soliciting 

feedback from staff 

and stakeholders 

(September 2012).

Partially consistent

Additional step needed

• Develop a plan for 

effective outreach to 

congress, specifically on 

sensitive research and 

design issues such as 

privacy and cost-quality 

trade-offs.

Appendix III: Bureau Has Developed a HighLevel Framework Generally Using Key Leading 

Practices for Planning Long-Term Complex 

Projects (Text for Interactive Fig. 3)
Appendix III: Bureau Has Developed a HighLevel Framework Generally Using Key Leading 

Practices for Planning Long-Term Complex 

Projects (Text for Interactive Fig. 3)

Page 31 GAO-12-626 2020 Census Early Planning

Key practice Description

Illustrative steps taken to 

datea

Illustrative steps 

planned (expected 

date)

Extent steps are 

consistent with practiceb

Incorporate lessons 

learned.

• Evaluate past 

performance and 

capitalize on 

lessons learned to 

improve 

performance.

• Includes the 

processes required 

to use project 

information to 

improve future 

efforts.

• Sought to avoid prior 

census planning 

problems, such as 

unreliable cost 

estimates, fragmented 

and late planning, and 

not relying on evidence 

from such sources as 

research and testing.

• Involved former Bureau 

executives in planning 

workshops.

• Implemented a 

database for tracking 

action plans and status 

of prior 

recommendations.

• Complete 2010 

evaluations critical 

for early research 

and testing 

(September 2012).

Partially consistent

Additional step needed

• Recommendation 

follow-up process 

requires additional steps 

to ensure follow-up on 

prior recommendations.

Analyze and mitigate 

risks.

• Identify, analyze, 

prioritize, and 

document risks. 

Ideally, assess 

more than one 

alternative.

• Plan risk 

management— the 

process of defining 

how to conduct risk 

management 

activities for a 

project.

• Featured analyses of 

risks prominently in 

early planning activity.

• Created 2020 Census 

research and testing 

risk register, and 

included risk in regular 

executive discussions.

• Risk management 

documents were 

among the first to be 

finalized.

• Adjust 2020 Census 

risk management 

processes to align 

with separate 

Bureau-wide 

processes being 

developed (August 

2012).

Generally consistent

Monitor progress. • Identify 

measurable 

performance goals 

that describe and 

guide successful 

planning. Collect 

performance data 

and report it to 

determine how well 

the goals are being 

achieved.

• Ensured that individual 

research projects 

describe their own 

performance 

measures.

• Begin issuing 

monthly status 

reports at the 

program level (May 

2012).

Generally consistent

Source: GAO analysis of U.S. Census Bureau information.

a

As of April 10, 2012.

b

We determined that steps taken or planned were either “generally,” “partially,” or “not” consistent with 

respective practices.
Appendix IV: Bureau Generally Relied on Key 

Leading Practices to Carry Out Workforce 

Planning for 2020 Census (Text for Interactive 

Fig. 4)

Page 32 GAO-12-626 2020 Census Early Planning

Key practice Description

Illustrative steps taken 

to datea Illustrative steps planned (expected date)

Extent steps are 

consistent with 

practiceb

Identify current and future 

critical occupations, skills, 

and competencies and 

analyze workforce gaps.

• Identify missioncritical occupations 

and competencies, 

which form the 

basis for much of 

workforce planning.

• Piloted skills and 

competency 

assessment of 

selected IT positions 

including those for 

the second of five 

2020 Census 

phases.

• Finalize project plan 

detailing the steps, 

resources, and timeline 

for conducting Bureauwide skills gap 

assessment (May 

2012).

• Validate competency 

dictionary with subjectmatter experts 

throughout Bureau 

(May 2012).

• Begin Bureau-wide 

skills gap and 

competency 

assessment 

(September 2012).

• Research and testing 

project teams finalize 

list of needed skills 

(August 2012).

Generally consistent

Develop current and future 

strategies tailored to 

address gaps and human 

capital conditions in critical 

skills and competencies 

that need attention.

• Develop reasonable 

human capital 

strategies and tools 

and align these to 

eliminate gaps and 

improve the 

contribution of 

critical skills and 

competencies.

• Inventoried available 

strategic flexibilities.

• Finalize project plan 

detailing the steps, 

resources, and timeline 

for conducting Bureauwide skills gap 

assessment (May 

2012).

• Identify existing 

training courses within 

Bureau to potentially 

address gaps (June 

2012).

Generally consistent

Appendix IV: Bureau Generally Relied on Key 

Leading Practices to Carry Out Workforce 

Planning for 2020 Census (Text for Interactive 

Fig. 4)
Appendix IV: Bureau Generally Relied on Key 

Leading Practices to Carry Out Workforce 

Planning for 2020 Census (Text for Interactive 

Fig. 4)

Page 33 GAO-12-626 2020 Census Early Planning

Key practice Description

Illustrative steps taken 

to datea Illustrative steps planned (expected date)

Extent steps are 

consistent with 

practiceb

Monitor and evaluate 

progress toward achieving 

workforce planning and 

strategic goals.

• Assess progress to 

determine whether 

workforce planning 

goals are being met 

and identify the 

reasons for any 

shortfalls.

Not consistent

Missing steps 

needed

• Develop process

and specific 

goals for 

monitoring, 

reporting, and 

evaluating 

Bureau’s 

progress toward 

workforce goals.

• Begin reporting 

on Bureau’s 

progress toward 

workforce goals.

Involve top management, 

employees, and other 

stakeholders in 

developing, 

communicating, and 

implementing the strategic 

workforce plan.

• Involve top 

management, 

employees and 

stakeholders in 

unique active roles 

to design strategic 

workforce plans.

• Director spoke 

internally and 

externally about need 

for workforce 

analyses to align with 

future strategies.

• Bureau meets 

monthly with 

departmental officials 

on human capital 

initiatives.

• Bureau offered 

specific professional 

development courses 

on the basis of 

recommendation of 

human capital team.

• Rely on employee 

focus groups to 

validate competencies 

(May 2012).

• Begin communicating 

to entire staff about 

skills gap analyses. 

(June 2012).

Partially consistent

Missing step needed

• Identify external 

stakeholders and 

begin outreach 

on workforce 

planning efforts.

Align workforce planning 

with strategic planning and 

budget formulation.

• Align workforce and 

strategic plans with 

budget.

• Human capital 

management plan 

requires inputs from 

budget and alignment 

with strategic plans.

• Document how skills 

gap and competency 

analyses will be 

updated and how it will 

be used during later 

phases, including 

target time windows for 

later activity (August 

2012).

Generally consistent

Source: GAO analysis of U.S. Census Bureau information.

a

As of April 10, 2012.

b

We determined that steps taken or planned were either “generally,” “partially,” or “not” consistent with 

respective practices.
Appendix V: List of the U.S. Census Bureau’s 

Program Management Planning Documents

Page 34 GAO-12-626 2020 Census Early Planning

Consistent with the leading practices of developing a project plan, and to 

help operationalize its high-level plan, the U.S. Census Bureau (Bureau) 

has identified 19 specific management process areas from management 

literature for executing and controlling its research and testing projects for 

2020 Census (see table 1). For many of these areas the Bureau has 

developed a management-strategy paper that typically includes 

standardized sections addressing links to strategic goals, performance 

measures, objectives, and strategies; standards and guidelines; roles and 

responsibilities; and key assumptions and risks. The Bureau is following 

up on each of these strategies with a more-detailed managementplanning document that identifies specific methods and techniques the 

Bureau will use to implement the strategy as well as how the actions will 

link to the Bureau’s other broader strategic documents. In some areas, 

the Bureau is bypassing the strategy paper and has either produced or is 

planning to produce a finalized—or what the Bureau refers to as a 

“baselined”—plan.

Table 1: Bureau’s Program Management Planning Documents

Program management area Strategy issueda Plan formalized(or estimated date)a

Risk Management May 2011 August 2011

Strategic Plan b September 2010

Acquisition and Sourcing June 2011 Fiscal year 2012 Q4

Budget Management Process May 2011 Fiscal year2012 Q4

Communication and Stakeholder 

Engagement

November 2011 Fiscal year 2012 Q4

Document Management c Fiscal year 2012 Q3

Earned Value Management 

Implementation

d d

Governance October 2011 Fiscal year 2012 Q4

Human Capital Management November 2011 Fiscal year 2012 Q4

Integrated Program Control & 

Performance Measurement

June 2011 Fiscal year 2012 Q4

Issue Management May 2011 Fiscal year 2012 Q4

Knowledge Management May 2011 Fiscal year 2012 Q4

Performance Management June 2011 Fiscal year 2012 Q4

Process Quality Assurance Management Fiscal year 2012 Q3 Fiscal year 2012 Q4

Program Change Control Management May 2011 Fiscal year 2012 Q4

Requirements Engineering September 2011 Fiscal year 2012 Q4

Research and Testing November 2011 Fiscal year 2012 Q4

Appendix V: List of the U.S. Census Bureau’s 

Program Management Planning Documents
Appendix V: List of the U.S. Census Bureau’s 

Program Management Planning Documents

Page 35 GAO-12-626 2020 Census Early Planning

Program management area Strategy issueda Plan formalized

(or estimated date)a

Schedule Management May 2011 Fiscal year 2012 Q4

Training (2012-2014) c Fiscal year 2012 Q4

Source: GAO analysis of U.S. Census Bureau data.

a

Status as of April 10, 2012

b

No separate strategy document was developed for the 2020 Census Strategic Plan.

c

The Bureau is skipping the production of some strategies and simply issuing plans.

d

2020 Census staff awaits resolution of Bureau-wide strategy and guidance before attempting to 

develop decennial-specific plans for using earned value management.
Appendix VI: Comments from the Department 

of Commerce

Page 36 GAO-12-626 2020 Census Early Planning

Appendix VI: Comments from the 

Department of Commerce

Note: Page and 

paragraph numbers in the 

draft report may differ 

from those in this report.
Appendix VI: Comments from the Department 

of Commerce

Page 37 GAO-12-626 2020 Census Early Planning
Appendix VII: GAO Contact and Staff 

Acknowledgments

Page 38 GAO-12-626 2020 Census Early Planning

Robert Goldenkoff, (202) 512-2757 or goldenkoffr@gao.gov

In addition to the contact named above, Ty Mitchell, Assistant Director; 

James Cook; Elizabeth Curda; Jeff Demarco; Vijay D’Souza; Ron Fecso; 

Geoff King; Andrea Levine; Steven Lozano; Signora May; Donna Miller; 

Janice Morrison; Melanie Papasian; Lisa Pearson; Cynthia Saunders; and 

Sarah Veale made key contributions to this report.

Appendix VII: GAO Contact and Staff 

Acknowledgments

GAO Contact

Staff 

Acknowledgments
Related GAO Products

Page 39 GAO-12-626 2020 Census Early Planning

Decennial Census: Additional Actions Could Improve the Census 

Bureau’s Ability to Control Costs for the 2020 Census. GAO-12-80. 

Washington, D.C.: January 24, 2012.

2010 Census: Preliminary Lessons Learned Highlight the Need for 

Fundamental Reforms. GAO-11-496T. Washington, D.C., April 6, 2011.

2010 Census: Data Collection Operations Were Generally Completed as 

Planned, but Long-standing Challenges Suggest Need for Fundamental 

Reforms. GAO-11-193. Washington, D.C.: December 14, 2010.

Workforce Planning: Interior, EPA, and the Forest Service Should 

Strengthen Linkages to Their Strategic Plans and Improve Evaluation.

GAO-10-413. Washington, D.C.: March 31, 2010.

Information Technology: Significant Problems of Critical Automation 

Program Contribute to Risks Facing 2010 Census. GAO-08-550T. 

Washington, D.C.: March 5, 2008.

2010 Census: Cost and Design Issues Need to Be Addressed Soon. 

GAO-04-37. Washington, D.C.: January 15, 2004.

Human Capital: Key Principles for Effective Strategic Workforce Planning. 

GAO-04-39. Washington, D.C.: December 11, 2003.

Results-Oriented Cultures: Implementation Steps to Assist Mergers and 

Organizational Transformations. GAO-03-669. Washington, D.C.: July 2, 

2003.

High-Risk Series: Quick Reference Guide. GAO/HR-97-2. Washington, 

D.C.: February 1997.

Related GAO Products

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