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Office of Transition Initiatives
Please note: All linked documents are in PDF format
| Objective |
SO Nunber
| FY 2004 |
FY 2005 |
FY 2006 |
| Office of Transition Initiatives |
965-001 |
221,346 |
199,361 |
50,000 |
| Total (in thousands of dollars) |
221,346 |
199,361 |
50,000 |
|
The Development Challenge: Since September 11, 2001, the Office of Transition Initiatives (OTI) has been increasingly critical in such places as Afghanistan and Iraq, to respond quickly to urgent needs for stability and reconstruction and to engage constructively with other U.S. Government efforts. With further recognition of the positive correlation between failed states and havens for terrorists, OTI has an even greater need to perform at the highest levels at being fast to engage; targeting its interventions to the most critical political transition issues; responding to the ever changing and chaotic operating environments by adjusting or developing new objectives and activities; recruiting, hiring and training new staff who already possess the knowledge, skills and attitudes that OTI needs in the field and in headquarters; engage constantly and cooperatively with other units in the Agency and with other important stakeholders in Congress, the Departments of State and Defense, the National Security Council, and other international donors; and consistently monitoring program progress in order to make the best possible decisions that will increase performance.
The USAID Program: OTI's fast, flexible and catalytic response has been enlisted in 29 diverse transitional settings: Afghanistan, Albania, Angola, Bolivia, Bosnia-Herzegovina, Burundi, Colombia, Croatia, Democratic Republic of Congo, East Timor, El Salvador, Haiti, Honduras, Indonesia, Iraq, Kosovo, Lebanon, Liberia, Macedonia, Nigeria, Rwanda, Peru, the Philippines, Serbia and Montenegro, Sierra Leone, Sri Lanka, Sudan, Venezuela, and Zimbabwe. The experience of working in transitions worldwide confirmed these are special and sensitive times. However, the mandate of "filling the gap" has taken on new meanings, especially in light of increased state fragility, significant human rights abuses, recurring cycles of violent conflict, and growing state failure where the path from state breakdown to sufficient stability and security for development assistance to take hold is rarely linear.
Transitions are periods where opportunities exist to target programming that can leverage profound political and social change and, at the very least, preserve the peace and reconciliation as factions and the populace regroup to form better governing structures. The dominant social concerns are short-term: personal security; the basic needs of shelter, food and water; and immediate politically relevant aims. Successfully operating in these environments requires orientations, activities and modalities that differ from those adapted to the more stable environments where long-term, sustainable development is possible. Programmatic flexibility is central. Transitions provide unexpected opportunities to advance democracy and peace, and address unforeseen threats. Responding appropriately requires financial resources and implementation mechanisms that can be readily redirected, and program staff members that are sensitive to the operating environment, willing to take risks, and empowered to make needed programmatic adjustments.
In uncertain transitional periods, the population seeks assurances that democracy and peace is worth the risk and they are not willing to wait months or years for concrete results. Thus, activities that provide transition dividends--and publicize them--are vital for sustaining the momentum for positive change. Frequently producing these dividends on a large scale is easier outside major cities. Hence, a hallmark of OTI's programs is engagement with local communities in rural areas to build confidence in the ongoing transition. Programmatic flexibility and activities with rapid, tangible results are two requirements for successful transitional programming.
OTI's range of transition settings tend to fall into one of three operating environments. While each OTI program is designed specifically around the needs of the transition underway in a particular country, the three categories provide a useful means for thinking about the political and social environment and the types of activities that are best suited to each.
Transitions to Democracy: Transitions to democracy occur when a seminal event, i.e., the sudden demise of autocratic rule or new elections, ushers in a democratic government after a long period of military or autocratic rule and offers the opportunity to sustain support for democracy until economic and social reforms can take hold. In Haiti, Kosovo, and East Timor, OTI addressed citizens' pressing needs and began the process of creating and strengthening democratic institutions. In East Timor, for example, OTI's Transitional Employment Program (TEP) injected critical financial resources into devastated communities to jumpstart the economy, providing East Timorese tangible results of the reconstruction and development process. In fragile democracies, such as in Nigeria, Indonesia, and Peru, OTI's programs often focused on establishing civilian control over the country's armed forces, educating democratically elected officials, and supporting the development of a free press. For example, in Peru, OTI provided support to the media, civil society, and the Peruvian Congress to facilitate higher civilian involvement in defense and security issues. Most recently in Iraq and Afghanistan, OTI is part of U.S. Government efforts to create the space needed for democratic habits to be formed.
Transitions to Peace: Transitions to peace are openings that signal movement away from conflict and instability toward more stable, democratic governance. Typically, a window is a constitutive settlement, broadly defined as an agreement among political actors on how to move forward. The settlement may take the form of a peace agreement, an accord, or a new constitution. In these situations, OTI works to strengthen the chances of an agreement's success by identifying and addressing critical bottlenecks to it, and by increasing civil society's involvement in the negotiation process. Typical activities involve supporting forums and conferences organized for NGOs to discuss and provide input to the peace process, and providing technical assistance to the development of national peace-building plans. In Sierra Leone, for example, an OTI grantee conducted consultative forums in all areas under government control and played a key role in peace-building efforts after the May 2000 setback. OTI also promotes a culture of peace and reconciliation through media campaigns and programs to ensure accurate and balanced reporting; establishes "safe spaces" where members of diverse communities can discuss or address problems of common concern; builds the capacity of local communities to manage their own conflicts; and works with local partners to resolve specific conflicts through facilitated workshops and joint problem solving.
OTI was asked to establish a presence in East Timor, a country that did not yet have a USAID mission. OTI entered East Timor on the heels of the retreating Indonesian militia and before the USAID mission established an on-the-ground presence. OTI's ability to immediately demonstrate a U.S. Government commitment can be enormously useful to the Agency and the U.S. Government. To the East Timorese, OTI was the welcome face of the U.S. Government.
Transitional Political Crises, also known as state fragility: A third scenario for OTI intervention involves a political crisis where a state's legitimacy and effectiveness has seriously declined. In this scenario, OTI sees the potential to prevent or mitigate what could turn into violent conflict by shoring up democratic institutions and supporting the momentum for positive, political change. OTI typically achieves this objective by supporting forums and public meetings at which key issues can be debated and works with civil society and independent media to enhance democracy. For example, in Venezuela, with a society sharply divided over fundamental issues, OTI's program has provided an opportunity for political leaders and civic leaders to discuss their differences in neutral space. Responding to transitional political crises in failed, failing and recovering states poses particular challenges. Unlike transitions to democracy or from war to peace, there is frequently no discernable event, a peace accord or an election, to mark the start of a political crisis.
The Administration plans $48.6 million in appropriations for FY 2005 Transition Initiatives (TI) managed by OTI, and requests $50 million for Transition Initiatives for OTI in FY 2006. See separate TI chapter concerning expanded TI account funding in the amount of $275 million for programs in Afganistan ($150 million), Ethiopia ($25 million), Haiti ($30 million), and Sudan ($70 million) that will be managed by USAID missions in those countries.
A list of country programs managed by OTI, showing obligated funding levels implemented for FY 2003 and FY 2004, and planned for FY 2005 and FY 2006, follows this chapter.
Other Program Elements: OTI works closely with the Agency's bureaus and field missions to coordinate objectives and activities that support a country's transition. In Sri Lanka, for example, OTI's program is fully integrated in the USAID mission's strategic plan, and the mission is using its own funds to complement TI assistance. In Afghanistan, OTI is an integral part of the misson program, along with the Asia and Near East Bureau and the Office of U.S. Foreign Disaster Assistance. In Iraq, OTI is a significant partner in the U.S. Government's response. In FY 2004, OTI managed a budget of approximately $183,000,000 of Iraq Relief and Reconstruction Funds. OTI's programs can also be funded by Economic Support Funds allocated by the Department of State.
Other Donors: OTI coordinates its programs with other in-country bilateral and multilateral donors.
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