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Transition Initiatives
The Development Challenge: The 1990s and early 2000s were periods marked by dramatic change where countries all over the globe underwent transitions: transitions from autocratic to democratic rule, transitions from war to peace, and, unfortunately, transitions away from democracy and from peace to war. It quickly became apparent that these transitions were particularly sensitive; choices made during these periods had enormous influence on a country's future, for good or ill. However it also became quickly apparent that traditional forms of humanitarian aid and development assistance were not suited to these periods of transition. Instead, there was a need for a mechanism that retained the responsiveness and flexibility of humanitarian response, but focused on advancing democratic governance and managing conflict within highly charged and highly fluid transitional environments.
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The USAID Program: In 1994, USAID created the Office of Transition Initiatives (OTI) as a tool for this new era. Since then, OTI has operated in 28 diverse transitional settings: Afghanistan, Albania, Angola, Bosnia-Herzegovina, Burundi, Colombia, Democratic Republic of Congo, Croatia, East Timor, El Salvador, Haiti, Honduras, Indonesia, Iraq, Kosovo, Lebanon, Liberia, Macedonia, Nigeria, Rwanda, Peru, Philippines, Serbia and Montenegro, Sierra Leone, Sri Lanka, Sudan, Venezuela, and Zimbabwe. The accumulated experience of working in transitions worldwide has confirmed the initial premise that they are special and sensitive times. Transitions are ruptures between what was and what will be. As old ways of governing have been discredited, often no agreement among local leading groups has been reached on new models of governance and peaceful coexistence. In these extraordinarily fluid times, it is indeed possible to reshape a society socially, economically, and politically. And in transitions from Serbia to East Timor to Sierra Leone, OTI has demonstrated that modest amounts of targeted transitional programming 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 benefits of transitional assistance are not automatic. Transitions are highly politicized and frequently unstable as major groups within the country jockey to shape the emerging regime. With so much that is unsettled, the dominant social concerns are short term: personal security, the basic needs of shelter, food and water, and immediate political 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. The currents within a transition are often unpredictable, revealing both unexpected opportunities to advance democracy and peace and 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.
Another key is to identify activities that have rapid, visible impact. In uncertain transitional periods, the population is hungry for 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. Together they begin to describe the effective approach OTI has developed to operate in transitional settings. This accumulated experience, combined with a commitment to creativity and excellence, ensures that OTI remains a valuable tool for the current era and for eras to come.
While OTI has worked in a diverse range of transition settings, they tend to fall into one of three operating environments. And 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 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 nongovernmental organizations 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. Other OTI programs targeting transitions to peace have included Indonesia, Kosovo, Macedonia, Congo, Sri Lanka, Sudan and Burundi.
In several instances of supporting transition to peace, OTI was asked to establish a presence in a country that did not yet have a USAID mission. For example, 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 USAID and the U.S. Government. In the East Timor case, OTI worked with local communities to repair needed infrastructure and provide economic incentives to the population. To the East Timorese, OTI was the welcome face of the U.S. Government.
Transitional Political Crises: A third scenario for OTI intervention involves a political crisis in which a transition has first stalled and then begun to unravel. 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 is intended to provide an opportunity for political leaders and civic leaders to discuss their differences in neutral space.
Responding to transitional political crises 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. Moreover, not every political crisis is serious enough to warrant OTI's involvement. This places an extra burden on OTI, in collaboration with USAID regional bureaus and field missions, to determine when a transitional crisis has begun and how OTI can best respond.
The Administration plans $54,676,000 for FY 2004 Transition Initiatives, and requests $62,800,000 for Transition Initiatives programs in FY 2005. A list of country programs managed by OTI, showing obligated funding levels implemented for FY 2002 and FY 2003 and planned for FY 2004 and FY 2005, follows this chapter.
Other Program Elements: OTI works closely with the Agency's geographic bureaus and field missions to coordinate objectives and activities that support a country's transition. In East Timor, for example, OTI's program laid the foundation upon which the mission is building. In Afghanistan, OTI is an integral part of the Agency's program, along with the Asia and Near East bureau and the Office of U.S. Foreign Disaster Assistance. When appropriate, geographic bureaus and field missions transfer funds to OTI to carry out activities in the field. OTI's programs can also be funded by economic support funds from the Department of State.
Other Donors: OTI coordinates its programs with other in-country bilateral or multilateral donors.
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