WHY SMOOTH EXECUTIVE TRANSITIONS?

A GOOD TRANSITION HELPS AVOID COSTLY MISTAKES. Transitions matter to the quality of a good start.  They help avert wasted time walking back an action that could have been avoided. Managing appointments are especially important, as they set the tone for how a new executive works with others and will tackle policy issues.  

TAKING ADVANTAGE OF GOOD WILL. Good will exists at the beginning of a new leadership tenure, as people are united with the hope the leader will do well. Transitions use the momentum of this good will by creating an opportunity to highlight key leadership priorities. Such momentum may not exist as strongly as time moves on.

ESTABLISHING CONTINUITY OF GOVERNMENT. A good transition can provide societal stability and continuity in government. When people vote for change, they want to know that their government will offer stability and continuity through accepted constitutional and legal processes.

MOVING FROM CANDIDATE TO LEADER. Transitions signify the move of a leader from political candidate to leader of all people. During this period, the leader-elect can benefit from widening his or her perspective from those who supported him or her during the campaign, to being a leader for all.  Smooth transitions allow this process to happen symbolically, especially if the leader-elect reaches across the aisle during this time.

PLANNING PROVIDES DIRECTION AND FOLLOW THROUGH FROM THE CAMPAIGN. Those voting for the leader-elect did so expecting him or her to carry through on certain core commitments. Even if these commitments are going to be difficult to achieve – such as eradicating poverty – the public wants to know there is a plan to tackle the issues. People can and will wait for change, as long as they believe action is underway. Early planning with priorities in place has the additional benefit that you have something to fall back on if things go wrong. You can get out of trouble more quickly if you have a positive and strategic plan.  

QUALITY OF INFORMATION. Establishing effective information sharing processes early on helps seize the political momentum that the early days provide. Effective planning during a transition helps establish protocols to respond to unexpected situations, and share information in a way that helps a new leader more effectively govern and reach his or her goals.

EFFECTIVE WORKING RELATIONSHIPS. A transition gives the incoming leader the opportunity to establish good relationships with governmental institutions and partners. A smooth transition also allows the new leader to take advantage of the expertise and experience of those who are leaving office. For example, if the previous administration had strong relationships with foreign governments and international institutions, working with the outgoing administration to understand these relationships will help maintain good global ties.

LEADERSHIP REPUTATION. In the early days, the new leader can establish a good reputation by working across party lines, developing international relationships, and working to gain a sense of where he or she wants to take the country. Developing a positive reputation early provides political capital for the new leader, and is helpful when crises arise.

LINING UP APPOINTMENTS EARLY IN KEY AREAS. A confirmation process can only handle a limited number of appointment nominations and confirmations at a time, thus it is important to establish priorities. Economic, national security, and management positions are areas that are significant for getting hold of troubling economic issues, as well as making sure the country is secure. Management is a key to getting the most out of resources. This means getting key cabinet or minister positions in place early so that the government can get down to the business of translating campaign promises into a governing priorities and timelines.

CREATING A POSITIVE LEGACY. At the beginning, no leader has all the skills and experience required to operate the executive office. A strong transition can help the leader identify areas where he or she can build on the expertise and experience of others in order to be an effective leader that people look up to and are motivated by. Surrounding oneself with experienced advisers from the beginning will help the new leader avoid costly mistakes, and become a leader that people trust and admire in the long term.

TYPICAL STAGES in AN EXECUTIVE TRANSITION

Planning Before an Election

To ensure a successful transition, planning should begin early. In the period before an election, typically between six months to a year, both an outgoing administration and all known candidates should prepare to handover power, regardless of knowing the results of an election. Planning early on the side of the outgoing administration allows for leaders, advisers, and staff to develop documents, templates, and memos that outline the functions of government, in addition to key needs of various agencies and branches of government, and the citizenry. It also allows for information-sharing on national security procedures and planning for unexpected crises. On the side of the candidate, planning early allows for goal-setting and the allocation of key responsibilities, which will help set the foundation for developing leadership systems, coordination, staffing, appointments, and policy development after the results of an election are known.

Planning After an Election

After the results of an election are known, candidates turned leaders-elect must prepare to make the transition from campaigning to governing. This is best done in the period between the election and an inauguration with a core team of individuals who will support the new leader’s transition. It is typical during this time for transition teams and other core groups supporting the leader-elect to make plans for how the leader will staff the new administration, including the executive leadership core; review government agencies and departments to assess the needs of government and to decide how the new leader will work with each of these agencies; and begin to craft a strategic agenda that will outline the new leader’s policies and plans for reform.

Planning After a New Leader is Sworn into Office

Following a new leader’s swearing into office, there is often a narrow window of approximately 100 days to propel policy goals and gain the trust of the people. During this time, the incoming administration is also working to identify and vet staff and appointees based on the new leader’s top priorities, in addition to closing down transition operations and filing important records established during the transition process, which should be passed on to future administrations and transition teams. It is critical that during this time the new leader develop systems (if none already exist) to support internal coordination, communication, and chain of command so that the new leader’s plans and priorities are effectively communicated across government agencies and to the public more broadly. It is during these first few months in office that the new leader's decisions and communications can solidify their legacy for the years to come.

SMOOTH TRANSITIONS INCLUDE DEDICATED ACTORS and processes

Transition teams: Transition teams are typically assembled after top contending candidates are known to allow sufficient time to develop a transition strategy and timeline, and to establish the candidate’s goals. These teams will carry the candidate from the pre-election to post-election (at which point the unsuccessful candidate’s team is disbanded), and until the leader-elect takes office. Transition teams are often comprised of an executive director or transition chair, who are responsible for driving the candidate’s management, policy, and communications plans; and developing a timeline for the transition. Transition teams may also hire legal, financial, and policy experts to support the development of the candidate’s political strategy. The transition team will also be responsible for liaising and developing relationships with the outgoing administration’s transition team, in addition to key leaders from the outgoing administration.

Outgoing Administration: The success of an executive transition often depends on the cooperation and preparation of the outgoing administration. The outgoing leader, cabinet, chief of staff, and other key executive staff can support a smooth passage of information by providing items such as templates for standard administrative procedures, contingency plans for national security matters, and information on departmental and agency-specific operations and appointments. They can also scan or file relevant documents for such procedures in order to preserve and pass on critical institutional knowledge. Once the results of the election are known, the outgoing administration can meet with the leader-elect and his or her transition team to pass along useful information regarding executive processes. It is also essential for the outgoing administration to designate a transition coordinator to ensure all necessary preparation and coordination takes place.

Incoming Administration: A new leader and his or her administration are critical players in the continuity and stability of good governance. It is important that there is a plan in place to have key executive staff at the ready to come in and set up an office as soon as the executive is inaugurated. Key executive staff include: Chief of Staff, Director of Communications, Legislative Liaison, Cabinet Liaison, Legal Advisor, National Security Advisor, Foreign Affairs Advisor, Administrative Manager, and a Manager of Presidential Personnel (appointments).

Civil Service: A strong, neutral or non-partisan civil service is an essential ingredient in smooth transitions. Not only does it provide continuity in government through the passage of institutional memory, but it also ensures that new leaders have the tools, resources, and information they need to effective translate campaign promises into concrete government action. Leaders in the civil service are critical in providing non-partisan expertise on the history and content of existing policies and programs, which may help the incoming administration understand the range of bureaucratic or administrative implications of a shift in policy at a level of detail, which new leaders may not have fully considered while in campaign mode.

Legal Frameworks: Legal frameworks laid out in constitutions, electoral laws, and other national laws and legally binding directives are critical to the success of global transitions. It is especially essential that legal frameworks be developed to lay out the following: length of the transition, allowing sufficient time for planning the transfer of power; the roles and responsibilities of the permanent civil service in the preparatory process, emphasizing its impartial and process-oriented function; the timeline for completion of preparatory steps, especially briefing materials for the incoming executive; a process whereby the incoming executive and staff can have the resources and access to plan its entry into government in advance; rules for the management and handover of assets to include government-owned physical assets, as well as documentation produced while in public service; in parliamentary systems, rules for decision-making while parliament is dissolved that acknowledge the principle of majority rule and limiting the actions of an outgoing administration.