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GUBERNATORIAL TRANSITION
STATE OF WASHINGTON
1956 - 1986
by
Lawrence J . Faulk
An Application Project Submitted to the Faculty of The Evergreen State Col lege i~ Partial Ful fillment of the Requirements for the Degree of Master of Public Administration
June 1987
THIS APPLICATI ON PROJECT FOR THE MASTER OF PUBLIC ADMINISTRATION DEGREE
BY LAWRENCE J . FAULK
HAS BEEN APPROVED FOR THE EVERGREEN STATE COLLEGE
BY
DR. CHUCK NISBET
DR. KEN DOLBEARE
DATE
ABSTRACT
This proj e c t rev iews gub e r na t o r i a l transition in
t he State of Wash i ng t on dur i ng the last thirty years.
Transition is defined as the period between election
day and inauguration . It covers the t.raris Lt.Lons of
f i v e Governors that served dur i nq the period 195 5
1986 , namely: Governors Rosellini, Evans ~ Ray.
Sp e l l ma n , and Ga r dner.
The project describes the transition process a nd
h ow it changed over the years . The factors
c on s i d e r e d are the transition bUdget, schedule ;
f u nd i ng , decision-making process, and preparation for
t r a ns i t i on both by the incumbent and the candidate .
Common problems of gube r natorial transltion teams are
examined and suggestions offered that would make more
eff icient use of resources and provide for a smoother
t r a nsit i on . The project describes the tra nsition of
eac h o f t h e five Governors and identifies how those
t r a ns i t i ons could have been more effective. Chapter
I X describes an ideal transition model and ou t l i ne s
t he l e g i s l a t i v e changes requi~ed to implement i t .
The methodology of this project involved inter
v i e wing one o f the five Gover~ors (Ray) and two ke y
s t a f f members (Jim Dolliver and Warren Bishop ) .
These interviews recorded their recollections and
i
s o l i c i ted t h e i r suggestions as t o h ow to improve the
t ransit i on proc e ss . Forma l a nd i nformal i n t e r vie w
t echniques wer e u t i l i ze d . A quest i onnaire was
completed by sta ff memb e rs assoc iated wi t h the
t rans i tions o f Governors Rosellini, Evans , Spellman
and Gardner.
Trans i tion t i me pre s e nt s a unique opportun i ty to
e s tabl ish creative processes for dealing with ma nage
ment and policy issues wh i ch can provide momentum
t hroughout the Governor's first few months i n off i c e .
I t i s necessary for the new Governor t o f ormul a te
l eader s h i p methods for transforming campa i gn pledges
i nto pUblic policy. A smooth and effective trans i
t ion can help achieve this goal. It is hoped this
p r oject will prove useful to the next non- incumbent
Gover nor i n aChieving t hat result.
ii
I.
II.
III.
IV .
V
VI.
VII
VIII .
IX,
X,
TABLE OF CONTENTS
LIST OF TAf,Y-JES
ACKNOWLEDGEMENTE~
I NTRODUCTION
TRANS I TI ON HISTORY
OVERVIEW OF FIVElRANSITIONS
ELECTION DAY AND I TS MEANING
LOGISTICS OF TRANSITION
Financing Staff Services Available Managing State Government Calendar
PERSONNEL AND APPOINTMENTS
The Cab inet Personal Staff Boards and Commissions Selection Process
JRGANIZ I NG THE GOVERNOR'S OFFICE
Decision-Mak ing Style Organizational Design Staff Ex e cut i v e Branch Relationships
SYMBOLS AND SUBSTANCE
The Program The Budget Inauguration State of State Speech The Press The Peop l e
IDEAL TRANSITION
PREPARING FOR THE GOVERNOR'S DEPARTURE
EPI LOGUE
APPENDICES
BIBLIOGRAPHY
iii
iv
v
1
6
9
3 5
38
3 9 40 41 4 3 4 5
48
48 49 51 52
54
54 58 58 61
64
64 65 6 7 68 69 72
74
88
9 2
98
99
TABLE
I
I I
II I
I V
LIST OF TABLES
DESCRIPTION
Governors o f Washington ( 1956- 198 6 )
Guberna t orial TrQnsitions in Washington Hi s t ory (1956-1986)
Gov e r n or ' s Man a ge me n t Style (Ch i e f of Sta f f Mode l )
Governor's Ma nage me nt Style (Spokes of Whe e l Model)
iv
ACKNOWLEDGEMENTS
Many peop l e hel p e d p roduc e t.h i s proj ect.
Governor Ray provided t h ought f u l con~ributions. The
t rans ition c hiefs o f staff: v-1a r r e n Bisllop
(Rose~lini), Jim Dolliver (Evans), Steve Excel
(Spellman), and Greg Barlow (Gardner), also provide~
uEefu~ insights.
Dr. Nisbet, Dr. Ingersoll, and Dr. D01beare
deserve special credit f or providing valuable counsel
at: every stage of the p ro] ect and for reviewing the
d1afts of the manuscript .
Ginny Spadoni deserves special mention for
typing the drafts and final manuscript and making
sure a l l spel l ing errors were corrected.
Evelyn Fallowfield of the State Library provided
e xpert research assistance. Pat Hopkins of the state
Archiv es Office assist ed immensely by making avail
able t h e t ransition records of Lhe five Gover nors in
a very efficient manner.
Finally, I am especially grateful "':0 my wife,
Mary , who was a thoughtful listener and understanding
spouse during the entire two years when I was either
attending class, reading a book or writing a paper.
Our children, Jennifer, John and Josh, were
v
e s pecia l l y c ons i der a t e during t his time
intellectual renewal by dad, a nd I am gr a tef u l
the i r pat ience.
v i
I
INTRODUCTI ON
The wor d "transiti on" in the American pol it ica l
tradit i on means the transfer of power . The s Ub j e c t
of this thesis is Gubernatoriel Transi t.L on i n t he
sta t e of Washington from 19 56 to 1986.
Because this change occurs on a regular bas i s , a
plan can be made in advance for the p e riod betwe e n
the genera l elect i on in November and the inaugurat ion
in J anua r y . This peri od h a s averaged 69 days (ten
weeks ) duri ng the last t h irty years (s e e Table I) .
Dur i ng that time the state has had f ive
Governors : two Republicans -- Evans and Spellman ;
and three Democrats - - Rose l l i n i , Ray and Gardner .
Governor Rosellin i served two terms (1956 -1964) ;
Governor Evans served t h r e e terms (1965 -1976) ;
Gov e rnor Ray serv e d one t e r m (1977-1980 ) ; Governor
Spe llman served one term ( 198 1- 1984 ) ; and f i nally ,
Gov e r nor Gardner i s i n the middle of his first term
(see Tab l e I I ) .
1
TABLE I
GOVERNORS OF WASHINGTON
1956-1986
CAYS BETWEEN ELECTION AND
GOVERNOR YEAR PARTY INAUGURATION
Albert Rosellini 1956 D 69
Albert Rosellin i 1960 D 67
Daniel J. Evans 1964 R 68
Daniel J. Evans 1968 R 6 9
Danie l J. Evans 1972 R 62
Dixy Lee Ray 1976 D 6 9
John Spellman 1980 R 69
Booth Gardner 1984 D 69
2
TABLE II
GUBERNATORIAL TRANSITIONS IN
1956-1986
WASHINGTON HISTORY
NUMBER PERCENT
Sa me Governor reelected (Ro s el l i n i who was r e elected o n c e and Evans who was r e -e l e c t e d twice)
~
j 38 %
Same party -by e lection
Ne w Governor 0 0 %
Party change by e l ection
- New Gov e r n o r 2 62 %
TOTAL 8 100%
3
" Tr a ns i t i on" is de scri b e d as the ten wee ks
between the election a nd the ina ugu r a t i on . They aLe
diff i cult because t h e y are s o few . They leave little
time to turn a campaig n into an administration which
takes office a few days after the Legisla.ture has
c onv e ned, a nd y e t ther e is probably no more crucial
time t h a n this ten-week period. This is beca u s e
dec i sions made during t h i s ten weeks set t he course
for the first year or so of a Governor's term . The
ou tgoing Governor has already submitted the budget t o
t he Legislature and the new Governor must scramble to
s ubmi t changes to that budget. There h a s to be a
legislative program or at least a holding action with
a start on specifics . Cabinet and sub-cabinet
a pp o i ntments must be made along with an understanding
on appointments down the line and on procedures t.o
produce them (and to place campaigners). There has
t o be a "memorable" s t ate of the state address; and
i naugural ball. Furthermore, the new look of the
Governor-elect has to be impressed upon a temporarily
a t t e n t i v e pUblic and an insatiably curious Olympia.
Al l of these a c t ions press in 0n the transition
team . A maj ority of the transition teams have been
composed of campaigners--happy, exhausted , adrenalin
flowi ng--cramped i n temporary office space, trying to
4
adjust their thinking from c ampaigning to governing .
The t y r a nny of t ime al l ows them scarcel y any bre ak
be t ween one a nd the other. Wor s e yet , unl e s s t hey
a r e rema r kab l y sel f - awa re , the work o f t he ten weeks
c a n s eem deceptively l ike mor e campa ign i ng .
Th i s pro j ect wi l l attempt t o bridge the g ap
be t we e n campaigning a nd governing and provi d e a
r epor t tha t mi ght be us e f u l to transit i on t e ams o f
f u t u r e Governors.
5
II
TRANSITION HISTORY
Du r i ng the study peri od o f this paper (1956
198 6 ) two p a tterns h av e emerged. From 1976 to
p r e s e nt, there have b e e n a succession of one - t erm
Governors. For the twenty years prior to 1976 , the
s t a t e had onl y t wo Governors. Rosell ini was r e -
e lected once, while Evans was reelected twice .
Du r i ng the last ten years, gUbernatorial t r a ns i
t ions have been more frequent because of a series o f
s i ng l e term Governors, Transitions to Governors of
t he opposite party have been the rule during this
period. In 1976, a Democrat (Ray) was elected ; in
1980 , a Republican (Spe llman) was elected; and in
1984 , a Democrat (Ga r dne r ) was elected.
In t h e late 198JS and 1990s, the problem of
g ov erning states will continue to be a major
ct.allenge.
Very few leadership challenges a.re comparable to these presented to governors elected in the decade of 1980. Traditional approaches to state management and pol icy development will not be adequate for the difficul t tasks at hand. More efficient use of resources, skillfulluanagement and creative policy choices are needed to meet these challenges. The American governorship has never been more open to or in need of innovation and new approaches to resolve
6
ol d p r ob l ems . . . to t urn thos e p r oblems i nto opportunities. 1
Th i s quote f r om jus t one publicati on of the
Na t i ona l Governors As s oc i a t i on indicates the high
degree of a t tent i on it places on devel oping the
ab il i t y to govern sta t es effectivel y. A l a r ge part
of gett i ng off to a good start is the t rans i t i on
pe r i od . In that regard the National Gov e r nor s
Assoc iation has pUblished at least fou r documents t o
hel p incoming Governors have an effective transit i on .
They a r e : The critical Hundred Days: A Handbook for
the New Governor (1974 ) , The Governor's Office Series
(19 76 ) , Governing the American states: A Handbook
for New Governors (1978 ) , and Transit ion and the New
Governor (198 3 ).
The days when new l y e l e cted Governors c ou l d wait
unt il t hey assumed office to seriously begi n g ove r n
i ng are c l e a r l y gone , i f t hey ever existed i n the
fi r s t p l ace. What has occurred, over the years , i s
tha t more effective a nd sophisticated methods of
prepa r ing newly ele c t e d Governors f o r office have
been developed by t he National Governors Associat i on .
These improvement s will continue, and ultimately ,
believ e , each nomi nee for Governor wi ll appoint a
1 Stephen B. Farber, Transition and the New Governor (National Governors Association, 198 3) V.
7
I
transiti on coordinator to pr epare the s moot he s t
pos s i b l e trans i t ion. These ref i nements c ou l d l e a d to
cha nge s in the l aws e nabling the inc omi ng Gove r nor to
play a larger r o l e i n the budge t process and other
guber nator ial respons i bil ities prior to i naugurat i on.
Chapt e r I X o f this t he s i s wil l describe a n i deal
t r a nsit i on a nd t he changes raquired i n Was h i ngt on
s t a t e laws for t h a t to occur. But f irst , l et' s
examine the transitions that have occurred in t he
s tate of Washington during the study per i od .
8
III
OVERVIEW OF FIVE TRANE:ITI0NS
iN':'RODUCTION
The purpose of this Chapter is to describe the
transitions of each of the five Governors that a re
t h e subject of this study. My research has indica t ed
tha t very little, if any, preparation was accom
p l i shed by the incoming Governors and their staffs
during the election. It. also indicates there h a s
been very little contact between the inc omi ng and
ou tgo i ng Governors . The major reasons for these two
facts are tha t : ( 1 ) c a ndid a t e s do not know if they
will be elected and thus do not spend any time on
trans i tion planning; and (2 ) when candidates compete
aga inst each other, it is difficult for them to
discuss the non-incumbent. winner's taking over the
los ing Governor's office. Finally, there has never
be en a case during the ~ast thirty years where the
incoming Governor has been the same party as the
depart ing Governor.
In any event, there have been five transitions
of new Gov e r nors replacing incumbent Governors during
our study per i od. Wha t follows is an overview and
analys is of the five transitions that occurred r n
1956, 19 6 4 , 197 6, 1980 and 1984.
9
GOVERNOR ROSELLI NI
Governor Ros ellin i h ad be e n a state Senator for
eighteen years, and was a l awye r by profession . Upon
winn i ng the election in 1956, Governor-elect
Rosellini was urged by Robert Sheffelman and Charl e s
Hodde to find a c h i ef o f staff who was interest ed in
pubLi.c administration and compe t ent at t he t a s k of
governing. Robert Sheffelman was a promi ne nt
munic ipal bond attorney i n Seattle and Charles Hodde
was t he Speaker of the Washington state House of
Re p r e s e n t a t i v e s . As a result of that advice " the
Governor-elect contacted the president of the
Univers i t y of Washington and asked him to locate
candidates for c h ief o f staff. The president
s e lected t wo professors , one of whom was Warren
Bi s hop. The other candidate dropped out o f the
competition. Rosellini t hen called Mr. Bishop on the
phone and asked that he be interviewed by his trusted
assoc iates -- Rosellini 's brothers.
" Tr u s t e d associates" is another term for a
"ki tchen cabinet." A kitchen cabinet is a group of
people in whom the Governor-elect has confidence and
who h ave been strong supporters during the campaign _
Once being approved by these people, Bishop was
int erviewed by the Governor-elect who asked h i m to
10
a ccept the positi on of chief o f sta f f . He was to
s t art work on December 15, 1956 .
Whe n Bishop a r r i ved in Ol ymp i a tha t day, he
f ound boxes o f material s i n the Governor's o f f i c e
wh ich he r e t r i ev e d a nd t r a ns por t e d t o t he Secretary
o f St ate ' s office . Th is was necessary bec ause t he r e
wer e no arrangements fo r office space f or t he
Governor - elect .
As a result, Se c r e tary of State Earl Coe was
persuaded to move his deputy out c f his off i ce to
ma ke r oom for t he trans i tion team. Ther e were t wo
volunteer secretaries who assisted Bishop . I n
addit i on to answer ing t he letters and contending with
t he c ons t ant phone ca l ls , the inauguration had to be
planned and the c abinet a nd Governor's staf f
selected. To further complicate matters, the
Governor-elect's s taff c ou l d not gain access t o the
Gove r nor's office prior t o inauguration day.
The kitchen cabinet essentially screened the
candidates for cabinet appointments. They were very
careful about cabine t appointments, ensuring that
pe op l e who knew how to manage state agencies were
select ed for these positions. The Departments of
I nstit utions and Corrections were of particular
c oncern because t he state's facilities had lost
a ccred i tat i on. There were fewer agencies thaD there
11
are t oday . For insta nce, t he r e was no Of fice o f
Financ ial Mana gement ; De p a r t me nt of Social a nd He a lth
serv i c e s ; De p a r tme nt o f Comme r c e a nd Economic
Deve l opme nt ; or Dep a r t me nt of Commun i t y Development.
The Governor's sta f f was much smaller t han i t is
today , approximately ten to twelve people. The r e was
a pers on t o ha ndl e clemency; the Governor 's persona l
secre t ary; the chief of staff ; a secretari a l poo l ;
and a p r e s s secretary.2
Th e re were no legislative liaison and pUb l i c
policy advisors. Perhaps these were simpler t i me s
but i t appears to this a u t h or that maybe simpler was
more effect ive. The s ituation has improved dramati
cally partially as a resul t of Mr. Bishop's efforts.
He led the way to making the transition period an
opportunlty for the newly elected Governor to have
the resources necessary to begin qover-n i r.q the day
after t he election. Th e transition efforts he
sta rted have carried through to the present day and!
in fact , been g r e a t : y improved.
I n 1960 , Governor Rosellini was reelected and
thus tra n s i t i on preparation was not as extensive as
i t wou l d have been had there been a change i n
Governors.
2 Wa r r e n Bi s h op , personal interview, 19 J a nuary 1987 .
12
GOVERNOR EVANS
I n 1964 , Daniel J . Ev a ns wa s elect ed Gov e r nor .
There was essent i a l l y no t ransition preparation by
the Evans organ izati on pri or to the general e lection .
Al l o f t he i r effort was concen~rated on winn i ng the
e l e c t i on rather than plar.ning events a f t e r the
e l e c t i on . The maj o r ity of the transition c osts were
pa i d by utilizing unspent campaign funds ~ although
Gove r nor Rosellini did provide office space and some
f unds f or services to t he Governor-elect. 3
I n this instance, the campaign director, Justice
Jim Dol l i v e r , was selected as transition coordinator
and u l timately became chie f of staff. This is the
only instance dur ing our study period where this
occurred. As was the c a s e in 1976, there was a
kit che n cabinet consist i ng of people who nad been
active in the campaign . The key goals of the new
adminis tration were cont ained in the campaign
doc ume nt entitled , "Blueprint for Progress. II
Governor-el e c t Evans had been a member of the House
of Representatives for twelve years and Jus t i c e
Dol liver had been the attorney for the Republ ican
caucus in the House o f Representatives. As a result,
they had a head start on understanding state
3 Jim Dol l i v e r, personal interview, 9 January 1987.
13
governme nt , as of c ourse , did Governor Rosell ini.
This experience enable d them to move quic kly t o
implement their goa l s f o r their administra t i on . This
was accomplished pri ma rily by issuing their ve rsion
of t he 1965-1967 budget approximately eight we e ks
after the election .
The research of this transition indicates t h e r e
was good cooperation bet ween Mr. Bishop a nd Jus t ice
Dol l iver, even though the contact betwee n Gov e r nor
Rosel lini and Gove rnor-elect Evans consisted o f on l y
one meeting. Perhaps th i s was because it had been a
very b i t t e r campaign.
I n this transition , all the incumbent directors
wer e inte rvi ewe d and, as normal, some were kept and
some we r e not retained . However, in each i nstance
where a director was not going to be retained , that
person was given a "grace" period to find a new
pos ition before the new person was appointed . This
was a particularly humane transition in t he sense
tha t t he directors who were not retained were not
i mmed iately removed.
Pe r haps this is because Governor-elec~ Evans was
mor e int e r e s t e d in his program and knew there were
other ways of influencing government other than
replacing peop le. Perhaps it was because he and
14
Justice Doll i ver had a great deal o f experience with
state governme nt .
The problem de p a rtments f or this administration
were the Department of Ge ne r a l Admi n i s t r a t i on and the
Liquor Boa r d . The Department o f General Administra
tion b e c ame t he f ocus b e c a us e of alleged irregu lar i
ties i n the pu r cha s i ng practices. The Liquor Boar d
h a d bee n under fire because of the pract i ce o f the
distilleries hiring campaign workers of the Gov e rnor
t o b e come their agents in this state. This enabled
the a ge n t s to receive s ubstantial income from the
distilleries for the liquor each sold to the state of
Washington . These positions required very little
effort and yet resulted in that person receiving a
substant ial amount of money for simply being a friend
or supporter of the Governor. This was perceived by
the Evans people as a bad practice and they vowe d to
s t op i t, which they did .
Th e staff of the Governor's office was still
small as compared to today's office. The office
emp l oy e d lega l counsel, scheduling sec retary ,
cleme ncy person , Gov e r nor ' s personal secretary , ch i e f
of s t a ff, press secretary and still utilized a secre
tarial pool! There was no legislative liaison,
assistant for boards and commissions, intergovern
mental relations coordinator, constituent services
15
assistant or policy chief . The Gov e r nor and t he
ch i e f o f s t a f f determine d pol i c y a nd handled leg i s l a
t ive liaison persona l l y . Thus , the r e was no ne e d f or
a pol i c y staff or l e g i s l a t i ve liaison peop le.
This author was a membe r of the Washington s t a t e
Sena te from 1966-19 70, a nd as a resul t had t he oppor
t u nity to observe firsthand the operation of t he
Gove r nor ' s office. Being a Republican and a c ampa i gn
di r e c t or for Evans i n Pierce county in t he 196 4
campaign gave me unu s ua l access to the Gover nor 's
off i c e . The Republicans ha d a majority in the House
of Representatives, whereas we were the minor i ty in
the Senate.
Governor Evans had a particularly good grasp of
budget s and the strategy necessary to have his
program passed by the Leg i slature. He was perceived
by the members of the Legislature as be i ng more
knowle dgeable about sta t e government than anybody
e l se i n Olympia . In any event, one of the tact i cs he
used was to call the Republican members of the Senate
down t o his o f f i ce to discuss a particular p iece of
legis l a t i on . Certain members of the c aucus would
swear t ha t the Governor was not going to persuade
them t owa r d his point of view.
Upon entering the office, we would sit down
around the c on f e r e nc e table with Governor Evans. tie
16
would proceed to explain his p o int o f view and wou l d
counter every argument aga i ns t it that wou l d be
brough t up by a Se na tor. At t h e end of the con fer
enc e , certain membe r s wou l d wa lk ou t of his off i c e
sha k i ng the i r heads , s aying to themselves he did i t
aga in . He persuaded us to accept h is position.
Ne e d l e s s to say, Gov e r nor Evans was v e r y effe c
tiv e a t persuading legislators to pass h is p r og r ams ,
as was Governor Rosel lini. The secret o f t h e i r
success was a personal r e l a t i o ~ s h i p with state
legislat ors. and knowledge of state government.
I n 1969, as a result of Governor Evans' leader
sh ip, the Legislature passed transition legislation :
RCW 43 . 06.055 entitled " Gov e r nor - e l e c t - - Appr op r i a t i on
to p r ov ide office and staff " reads as follows:
Th e legislature preceding the gubernator i a l e l e c tion shall make an appropriation whic h may only be expended by a newly elect ed governor other tha n t he incumbent for t he pu rpose of providing office and staff for t he governor-elec t preparatory to his a s sumption of duties as governor. The f u nd s for the appropriation shall be made avai l a b l e t o h im not later than thirty da y s prior to t h e date when the legislature will c onvene .
Th e appropriation has ranged from $5 0 ,000 i n
1976 t o $59,83 0 f or the 1980 transition to $100,000
17
f or the 1984 transition. 4 The r e wa s no transition
pla nn i ng in 1968 and 1972.
Gov e r nor Ev a ns r ema i ned in offic e until 197 6 .
On October 16, 19 76 , he wrot e a memo to his depa rt
me nt heads i n antic i pation of a new Gov e r nor ' s
s ucce s sion to the Governor's office . The memo was
e nt i tled, "Agency Preparation for Transit i on . ,,5 I n
t hat memo he requested that each agency shou l d have a
transit i on briefing document prepared by t h e f irst
week in November and maintain the informat i on i n a
current status. The information requested include d :
a ge nc y mission summary, major programs, organization
chart , proposed budget maj or problems, and commit
ments . His deputy, Bi l l Jacobs, was given the
responsibility for coordinating the transition
process. By November 10 , 1976 , Mr. Jacobs indicated
that the Governor's offi ce was pleased with the
progr e s s to da t e to eff e c t an orderly and cooperative
trans iti on with the new administration. In that same
memo , he requested. that transition files on uncom
pleted projects be p r e pa r e d and retained in the
off i c e for the new administration for their review
4 Budget Documents, 1983-85 Biennium and 1985-87 Biennium, state of Washington, pages 37 and L-7, respectively.
5 D. J. Evans, Memorandum to agency directors entit l e d Agency Preparation to Transition, 26 October 1976 (Wa s h i ngt on state Archives, Olympia, Washington).
18
6a nd ultimate completion. F i na l l y , briefing books
and t r a ns i tion memor a ndums we re comple t e d a nd
approv ed by Jacob s f or a ppropriatenes s and comp l e t e
ne s s .
For some reason , t hese documents were never seen
by Governor - e l e c t Ra y . 7
On December 27 , 1976, Wi l liams J a c obs reque s t e d
the Le g islature t o provide funds for t he ou t g o ing
Gov e r nor. The letter i nd i c a t e d that $20 , 000 s h ould
c ov er all anticipated e xp ens e s . This l e t t e r d i s
cusses a SUbject that will be addressed i n Ch a pt e r X
of this thesis. I t appears c l e a r to this author t hat
each outgoing Governor experiences expenses that
rE:late to activities when they were Governor .
TLerefore, it seems reasonable for the Legisla t ure t o
appropriate funds t o r el i eve the outgoing Governor of
seme of these expenses .
GOVERNOR RAY
In November of 1976, Dixy Lee Ray won the
e l e c t ion for Governor . In that campaign he r theme
was that state government had grown too much ; that
e xpend i t ures were out of control; and t h a t state
6 Will i a m C. Jacobs, Memorandum to all staff e ntitled, Trans ition, 10 November 1976 (Washington s tate Archives , Ol ymp i a, Washington).
7 Dixy Lee Ra y , persona: interview, 18 May 1987 ,
19
government needed a good house c l e a n i ng . One mus t
keep that theme i n mi nd as we describe her gUbe r na
toria l transition .
The maj or p r ob l em f a c ed by Gove r nor - e l e c t Ray
wa s a shortage o f funds for trans i t i on ope r ations .
$50, 000 had been allocated for t r a ns i tion . My
resear ch indicates that about halfway betwe en t he
e lect i on and inaugur a tion, the trans i t i on had
e xpended that amount of funds. This occurred beca use
Governor-elect Ray and her transition staff d i d not
know the y were being cha r ged rent for the furniture ,
office s , typewriters, l i ght s and instal lat ion of
t e lephone s .
An inquiry was made to the Legislature t o
det ermi ne if a loan coul d be made to the t ransition
team. However, the sta te Auditor indicated that
would not be legal. Af ter the election, Gove r nor
Evans had offered to hire Governor-elect Rayon a
persona l services contract for $3,000 a month as hlS
advis or on transporta tion and nuclear facilities.
Howeve r , at the airport waiting to board the plane to
attend the National Governors Conference, t he press
cont acted her about this offer. They made it appear
as i f the offer was illegal. Governo:i..· Evans did
not h i ng to change that per c ept i on . Consequently , she
refused t he offer. The additional fUuds necessary to
2 0
conduct a n adequate transit i on "we r e u l t i ma t ely
prov i de d by Gov e r nor Ev a ns from ~he Gover nor ' s
emerge ncy f und.
The transit i on offi c e s we r e located in two rooms
on t he ground floor of t he Legislative Building.
There wer e about e ight people on the payrol l , most
ma k i ng between $2 , 000 a nd $3,000 a month , but the r e
was not enough clerical he l p to answer t he mail or
handle the telephone calls. Inquiries f r om the news
media a ppeared to be constant during the e nt i r e day ,
and t he press secretary was unable to keep up with
the workl oad because of the lack of clerical support
staff. Governor-elect Ray ha d one paid secretary and
one v ol unteer secretary .
Agency heads and the ir deputies and assistant
di r ectors who are d i r e c t appointees of the Governor
serve a t the pleasure o f the Governor. Ther efor e,
any l e ngth of service beyond the inauguration depends
upon t he Governor-elect 's wishes. Tradit i ona lly,
when a new Gove r nor is elected , direct appointe es of
the inc umbe nt begin to resign to accept other
opportun i ties. Th is occurs because they a r e not
certain whether the Governor-elect will be int e r e s t e d
i n r e ta i n i ng their services.
In 19 76 , mos t o f t he agency directors had been
wi t h Gov e r nor Evans for twelve years. There was a
21
feeling on the part of the Gove r nor - e l ect a nd her
s taff that t he Evans c abine t cause d t he problems o f
s tate gov e r nme nt growt h and l a c k of responsiveness to
c i ti zens' needs . One week a fter the inauguration,
mos t of the direc tors and deputy direct ors had not
ye t resigned. This left the Governor -ele ct in an
awkward posit ion, r e luctant to fire everybody but
a nxious to install her own appointees in t he se maj or
po l icy-making positions.
As a resul t , a l l the agency direct or s and
deput ies who had not resigned. were asked to res ign
and c lea n out their off ices within 24 hours. It is
the on l y time du r i ng our study period when this
abrupt change of agency directors occurred so fast.
The result was that the Governor was hammered by
quest ions from the press concerning this action which
t hey pe r c e i v e d as an unwise move. The Governor's
probl ems with the press continued throughout her
t erm , I suspect primarily because she would always
give a very direct and candid response to a quest i on.
One only needs tc read the press conferences of
Dan Evans to understand just how different this
app r oa c h appeared to the press corps. Governor
Evans ' answers to questions were lo~g and involved,
which demonstrated his understanding of state
government . Governor Ray's answers were much s i mp l e r
22
and got right to the point wi t hout muc h p reamble .
This led to a pe r c eption by the press cor p s that she
d id not understand sta t e governme nt, although I don' t
think that was the c a s e . I am s ure the people
understood her a nswer s muc h better than they did
Governor Evans' answers.
On the surface, cooperation between t hes e two
Governors was evident . One example of t h is i s a
l e tter dated Novembe r 10, 1976, from Governor Eva ns
t o Governor-elect Ray wherein he gives her t he
oppor t un i ty to make appointments to the united states
Senate Commerce Committee ' s study of tourism, instead
of making the a ppo i nt me nt s himself.
I n keeping with Governor Ray's campaign pledge
t o reduce the cost of gove r nme nt , thirteen days afte r
she was sworn in as Govern0r she issued Executive
Orde r No . 77-2 on J anuary 27, 1977. This Order
(Appendix IV) established an expenditure control
program by monitoring six areas of expenditures: (1 )
laps i ng of unexp ired balances; (2) staff i ng; (3 )
c onsulting services ; (4) overtime; (5) procurement of
e quipment, supplies and materials; and (6 ) trav el.
This transit i on was marked with more problems
than most, pr imarily due to a lack of knowledge about
politics a nd state government on behalf o f the
Gove r nor-elect and her staff.
23
GOVERNOR SPELLMAN
In Nov ember of 198 0 , Gov e r no r - e l e c t Spellman
s u c c e e ded Governor Ray. Th e r e a pp e a rs t o have been
s ome t r ans i t ion p lanni ng by Governor-elect Spellman
and Gov e r nor Ray. On Oc t obe r 19, 1980 , the Governor-
elect ' s staff wrote a t r a n s i t i on plan that i d e nt i f i ed
the maj o r transition problem areas a nd a s s i gne d
8respons i b i l i t y a nd a due date for a produ c t . The
major i t ems were as follows: Assemble t r a nsit ion
team; establish liaison with Governor's off i ce a nd
ident ify contact: identify critical issues; implement
crit i cal issues; implement issues task forces ;
prepare John D. Spellman's briefing; prepare
Gov e r no r 's office background book; arrange priorit y
a pp o i ntments; assess fiscal situation; organize ne w
Gover nor's office: organize state government; prepare
me s s a ges to the Legislature; and prepare an
inauguration plan.
On Governor Ray's part i J e r r y Hanna , the
Gov ernor's legal advisor, wrote a note to Paul C.
Bender , the Gov e r nor ' s Chief of Staff, indi cat i ng
t hat a p p r ox i ma t e l y $75,000 from the Governor's
8 J o s eph L. McGavick, Memorandum Washington State Governor's Transition Oc tober 198 0 .
24
emergency funds could be made available to the
i nc omi ng Governor . 9
One of the maj or problems Gove r nor - e l e c t
Spe l lman faced was with c ampa i gn wi nd-down. Onc e t he
gener a l election wa s won, the organization o f t he
campaign collapsed, leaving many i mportant hous e
keeping matters not accomplished. It appears to this
author that chaos developed after winn i ng t he
e l e c t ion. This occu rred because many of the pa i d
sta f f just walked away on the Fri day a f t e r t he
ge nera l election which was the last day t hey were on
t he payroll. There was staff diverted to the
t r a ns i t i on team without authorization and a numbe r of
people made unauthorized c ont a c t s with various state
o f f i c e s ostensibly on be ha l f of the transit i on
o f f ice. To add to t he Spellman team's pr ob l ems ,
nume r ou s expenditures were made on :Dehalf o f the
c ampa i gn during t he last two weeks without proper
authorization. This res ulted in more debts being
c r eate d than planned . However, that is a normal
event i n most campaigns unless a very tight rein is
held on all commitments for expenditure of funds . In
a c los e election, th i s happens because campaign
lea de r s believe that spending just a little bit more
Sl H. B. Hanna, Memorandum entitled, Emergency Funds/Transition, Office of the Governor, 3 November 1 980.
25
mone y will result in victory. The request was made
du r i ng t h is author' s c ampa i gns for the Washingt on
state Sena t e i n 196 6 and 1970 and aga in f or Pierce
county Executive i n 1981 . In 19 66 , I authorized i t ,
won t he elect i on and ended up in debt ; i n 1970 and
19 81 , I said "no" a nd ended up in the bla c k , a nd l ost
both elections, although I don't believe spend i ng any
mor e money in those elections would hav e res u l t e d in
my winning those elec tions"
This trans i tion t e am made a number o f d e c i s ions
early on that represe nt e d Governor-elect Spellman ' s
approa ch to government . They decided to utilize
p r ofess ional personnel pe op l e to screen candidates
for major appointment s t o head state agencies. They
decide d not to generate a reorganization p l a n but
r a t her asked the Legisla t ure for power to r eorganize
t he e xecutive bra nch s ubject to legislative veto.
The y woul d ask the legislative leadership for ideas
on how to improve the Governor's office . The
ques tion of how t o maintain a presence in Washington ,
D. C., was d e c i de d in favor of maintaining a n office
i n the Ha l l of States at the headquarters o f the
Na tional Governors Association.
Conc e r n i ng t he department director positions:
the Governor-elect would rank the agencies in terms
o f importance ; review the briefiug papers; meet with
26
t h e depa rtment director where he f e lt it was a pp r o
priate and t he n make a decis i on as to whether to kee p
t he ex isting d i r e c t or or not. Some directors were
kept (Di r e c t or of the Stat e Ret i r eme nt Systems and
t h e State Printer) . Howev e r , for t he mos t part , t hey
were rep l a c ed. Conc e r n i ng appointments t ha t had not
been confirmed by t he Se nate, the Gov e r no r - e lect
a llowed some of the appointments of the fo r me r
Governor to be confirmed, while other nominees were
replaced with the selections of the Governor-elec t .
Th e transition team was housed in two loc a t i on s .
Approximately twelve p e ople were housed in Seattle at
the Commerce and Economic Development Department and
approximately four persons were housed in the Office
of Fina nc i a l Mana gement in Olympia.
The organization o f the transition effort was
very elaborate in comparison to prior transitions.
Th e or ga n i za t ion had a transition advisory group of
which t he Gover nor-el ect was the Chairman . It
c onsisted of 43 indivi duals who were mostly Republi
can s and all supporters of the Governor-elect . There
wer e t h r e e commi ttees under this advisory group : ( 1 )
"Gov e r nor ' s Office Transition," chaired by Steve
Excel ; (2) "Transition Planning and Management,"
c ha i r e d by J oe McGavick; and (3) "Budget and Fiscal
Analys is , " chair ed by Walter Howe, who was a former
27
Budge t Direct or for the State of Was h i ngton u nde r Dan
Evans. Under t he committee ent i t l e d, "Gove rnor ' s
Of f i c e Tr ansit i on ," t he r e we r e two subcommittees :
( 1) "Cor r e s pondence," cha i r e d by Chr i s Smith, and (2 )
" Pe r s onnel ," cha ired by James Wal do. There was a
fi nal committee ent i t led, "King County Cou r t hous e
Transition, " chair e d by Bob Bratton . The r e wer e
appr oximately sixty v ol unt e e r s invol ved i n the t ota l
transition effort, plus approximately sixteen pa i d
staff.
Th i s was a huge e f fo r t that gave t he Gov e rnor
elec t 's administration a head start in terms of
unde r s t a nd i ng the problems of state government.
However , in terms of the appointment process , the
s he e r number of task forces and search committees
made it difficult to keep track of who got nominated,
how t h i s was done, by whom and on what particular
basis.
GOVERNOR GARDNER
In November of 1984, Governor-elect Gardner
rep laced Governor Spellman. The literature search of
the transition ~ecords in the Washington State
Archives indicates little, if any, transition
p r epar a t i ons prior to the general election of 1984.
The Gardner staff moved i nt o trans i t ion faci lit i es on
Nov ember 16 , 1984. 10
The trans i t i on headquarters of Gov e r nor - e l e c t
Ga r dne r wa s loca t e d i n the ba s eme nt of the General
Admi n ist r a tion Build i ng. The facil i t ies c ons i s t e d of
a series o f carpeted offices and c onfe r e nc e rooms .
Des ks and chairs were in place; telephones were
instal l e d and ope r a t i ng , and copying mach i nes wer e
av a i l ab l e . Parking spaces outside the buildi ng ha d
been arranged for t he Governor-elect' s sta f f . I n
s hort, the Depart ment o f General Administ r a t i on ha d
g one to ext ensive eff orts to prepare a transition
he a dqua r t e r s that was operational on the day the team
a r riv e d . This was a un i que accomplishment .
The transition pa i d staff consisted of approxi
mately twelve people . This was supplemented by
loaned executives from the private sector. The pace
was he c t i c , as I can attest to, because my wi f e was
one o f those l oa ne d executives to this transition
e ffort . The staff worked day and night, seve n days a
week for approximately five weeks. At the end of
t ha t time, she had proven herself to the staff and
t he thr e e t op people ; namely, Booth Gardner, Orin
s mi t h and Greg Barlow , which resulted in the
10 Keith Angier, Memorandum entitled , Gubernatorial Tr ansit ion Offices, Department of Ge neral Administration, 26 November 1984 .
29
Governor - e lect selecting her t o be t he Di r ector of
the Wa s hingt on sta t e Lot t e r y .
As in prev i ous adminis trat i ons , there was a
k i tche n cabinet tha t met wi t h t he Governor-elect and
gave h i m their idea s . The Governor-elect a lso gave
them his ideas wh i ch reflected the realitie s of
govern i ng as he saw it. The two ideas did not alway s
ma tch be c a us e the k i t c he n cabinet was i n o l ymp i a for
two hou r s while t he Gove r nor - e l e c t spent ful l t i me
ad j us t ing to the responsibilities of being Gove r nor.
There was a memora ndum of understanding ente r e d
int o with the Gove rnor - e l ect's transition team. The
l i terature does not reveal the date of that document,
but ther e i s l i t t l e doubt it was after the general
elect i on .
The agreement prov i ded that contacts wi t h state
agencies would onl y be by designated individuals of
the Gove r nor - e l ect who would be identified and
commun i c a ted to Governor Spellman's chief of staff
prior to any direct contact being made.
On November 18, 1984, Governor Spellman ' s Chief
of Staf f , C. Kenneth Grosse, wrote a memorandum to
agency directors and executives of boards and
commissions reques ting that they prepare certain
30
11 i n f ormation by November 30 , 1984 . The memo
requested the f o l l owi ng information : (1 ) a ge ncy
responsib i l i ties ; (2) o r gan i zat i on c h a rt ; ( 3) budget
synops i s and FTEs ; ( 4 ) agenc y s t r e ngths and wea k
nes s e s ; ( 5) descri ption of ongo i ng negotiat i ons; (6 )
propos e d legislation; ( 7) agency long-t erm goa l s ; (8 )
r esume of director , if he or she would like to s t a y
on after J a nua r y 16, 1985; and (9) pending issues .
These status reports were compiled into t r a nsi
tion not e b ook s prepared by the Department of Gene r a l
Admi n istration . The memo also indicated t h a t depar t
me ntal request legislation should be returned t o t he
Off ice of Financial Management who wou ld then h o l d
t h em for subsequent review and analysis by the
Gover nor-elect 's transition team.
Governor-elect Booth Gardner's transit i on team
d i d prepare decis i on packages during this transltion
pe r i od . 1 2
I n summary, it appears there was little transi
tion p l a nn i ng during t~e election by either any
i nc omi ng or outgoing Governor during our study
per i od . This seems natural because each c a nd i c a t e i s
concentrating on winning the election . The
11 Kenneth C. Grosse, Memorandum entitled, Transition, Office of the Governor, 19 November 1984.
1 2 Joel Merkle, Memorandum entitled, Enerqy and utilities, Advisory Group, 4 December 1984.
31
e xc ept i on , o f cour s e, is in 19 76 when Governor Evans
voluntarily r el i nqu i shed the gover nor s h i p .
ANALYSIS
As we have see n, there have been eight t r a nsi
tions during our s t udy period : 1956 , 19 60 , 1964 ,
19 68, 1972 , 1976, 1980 and 1984. Leav i ng aside thos e
cases whe re an incumbent was reelected (19 60 , 1968 ,
and 1972) , there were five trans i t i ons o f newly
elected Governors: 1956 , 1964, 1976 , 198 0 and 1984 .
Of these f ive, the 1956 transition (Rosel l i ni ) and
the 1964 transition (Eva ns ) seem to hav e be e n the
s moothest, most nearly successful in a l l respects at
once , thus givi ng these Gove r nor s - e l e c t a head s t a r t
on inauguration day. Gove r nor - e l e c t Ray's transition
was almost surely t he roughest, caused in part by
runn i ng out of funds ha lfwa y through the t r ansition .
Rosel l ini and Evans people leaped i nt o gov e r nme nt ;
Ray' s , Spellman 's and Gardner 's hesitated. I suspect
i t is because Rosellini and Evans people were
e xpe r i e nc e d in legislative affairs , and that
Ros ellini and Evans , themselves, were e xpe rienced
legis l a t i ve leaders. Rosellini had been a Sta t e
Se na t o r for eighteen years while Evans had been a
State Represent ative for twelve years" This
c ons i de r ab l e legislative experience contributed a
32
gre a t deal to t he effectivene s s o f their admi n istra
t i ons, becaus e it gave them an appreciat i on f or the
intr i c a c i e s o f t he l egis l a t i ve pr ocess a nd a personal
rel a t i ons h i p wit h the legi s l a tors.
I ronical l y , Spel l ma n and Gardner u t i lize d more
funds and had more pe r s onne l available for trans i tion
e f f ort s than any of t he i r predecessors. Th i s p r ove d
to be a pa r t of t he i r problem. Too ma ny pe opl e
inv ol ve d in t he de c ision-making process l e d to a
de l ay in decis i ons a nd in some c a s es t he wr ong
de c i s i on . As we have indicated , Spellman and
Ga r dne r ' s efforts were part i cu l a r l y elaborate , thus
g i ving them a head start on i naugurat i on day .
Spel l ma n eventually l os t this momentum with t he
se l e c tion of his chief o f staff as has Gardner with
the lack of organizati on in his office. The result
o f mor e funds and mor e people being i nvol v e d in
t r ans i t i on has r e s u l t ed in a larger sta f f in the
Gov e rnor' s off i c e . Th i s ha s not necessarily made the
Gove rnor's office more effective.
From election t o inauguration all tra ns i t i on
s t a f f s have scrambled. The normal difficult ies of
a l l transiti ons have been compounded by common
p r ob l ems , one of wh i ch is the lack of adequate
i n f orma t ion be i ng exchanged between the staffs of the
Governor - e l e c t and t he Governor.
33
This project will suggest solutions to these
common problems by describing and analyzing guberna
torial transitions by functional category. So let's
begin with election day and its meaning.
34
IV
ELECTION DAY AND I TS MEANING
" Do not be led astr ay by statutes or the
c onst itution or othe r formal-look ing and soundi ng
document s that refer to the t e rm o f office as
s tart ing after the transition ends. You are gove r nor
the moment you are elected . . because the pe op l e
t h ink you are . "13
--~ Former Governor
"The most important goal of the transit ion is
t he l ong - t e rm eff e c t . In other words , the new
gover nor shou l d not a l l ow short-tel.!1l pressures and
demands for immediat e results to over-shadow the
absolut e necessit y of e s tablishing a solid admi n is
t rative base for the e nt i r e term of office.,, 13
--A Midwestern Governor
The next morning after a Governor is elected, it
i s nece s s a r y to f i nd ways to mobilize the machinery
of gov e r nme nt to transform the ideas of candidacy
i nto the programs of office. The afterglow of
v ictory must be tempered by the formidable task of
13 "Transition and the New Governor, A c r i t i c a l overview," Nat i onal Governors Association (1981), 5.
35
mak i ng a s mooth a nd effective transit i on int o office
a nd assumi ng responsib i l i t y f or state governme nt .
El e c tion day marks the end o f t he campaign and
t he be g i nn i ng o f the Gover nor 's admi n istration in
a c complishing the Gove rnor's goals. Performing s uch
d i verse act i vities a s answering mail, r ecr u iti ng
c ab i net members or preparing a s uppLem errt.a L budget
s h ou l d not be viewed as isolated tasks to be acc omp
l i shed ; rather, they should be approached as p a r t s of
a n ove r a l l str a tegy -- a n organizing pri nc i ple , i f
you will , to translate t he new Governor's v ision o f
what t he state can be i nt o reality.
By conducting an e ffective transition , the new
Gover nor will be ahead of the game when the adminis
t rat i on takes office. I t is during this time that
t he c i t i z e ns get their first clear view of the style
a nd s ubstance of the new administration
The transit i on peri od sets the stage for the
f irs t year or so of the administration. Problems
c r eated and left unresolved tend to fester . If left
unreso l ved, the new administration starts to lose the
c onfidence of the Legislature, state employees, the
press and ultimately the citizens. Governor
Spel l ma n ' s selection of a chief of staff was an
e xamp l e of this kind of problem. The perceived
d isorganiz ation of Governor Gardner's office is
36
poss i b l y a nother example, depe nding on whe t he r the
Gove r nor decides to do s omethi ng about i t . Howeve r,
if a c c omplishe d effec t ivel y , t he t r a ns ition peri od
wil l g i v e the Governor -el e c t a l e g up when he o r she
takes office . Tr ans i tion is a chaotic pe r i od o f
t i me . If the Governor-elect c a n manage t he
a c t ivities involved i n completing the campa i gn and
preparing to be Gov e r nor i n an orderly fash i on , the n
t h e c i t i ze ns wi l l have confidence i n t he new
administration.
All candi dates have a desire to let down, to
relax and to forget the whol e operation for a few
days after the election i s won. This is understand
able . However, before t he Governor-elect leaves for
a well-deserved vacat i on , the transition coordinator
s hou l d be appo i nted. Th i s person should obviously be
a t r usted associate who also has management ski l l s ,
is respected, above reproach and most importantly,
r e c ognized as the representative of the Gove r nor
elec t .
The checklist from the National Governors
Association (Appe nd i x II) details the items that
s hou l d be d i s cus s e d at the first meeting of the
Governor-elect and the transition coordinator. This
leads into a discussion of the logistics of
trans ition.
37
V
LOGI STICS OF TRANSI TI ON
The logistics of tra ns i tion a r e the mainstays of
a n effective transiti on. On the morning after
winn i ng a gUbernatorial election , there i s a n
immediate need by the Governor-elect f or funds t o
f i na nce transition; space to house the Gove r nor
ele c t 's peopl e ; machines to type, copy and ke ep t r ack
of correspondence and othe r administrative mat ter s ;
telephones to communicat e with the outs i de worl d ;
desks and chairs to e na b l e the staff to function ;
t ransition stationery and envelopes and stamps to
mail the letters a nd ot her correspondence between the
Gov e r nor - e l e c t and the c i tizens; and finally, parking
spaces for the transition t e am.
When Governor-elect Booth Gardner and his staff
arrived in Olympia on November 16, 1984, all of the
a bove were wai t ing for them. This is much di f f e r e nt
than whe n Warren Bishop arrivec. in Olympia on
December 15, 1956, to assume the chief of staff
pos i t ion for Gove r nor - e l e c t Rosellini. As mentione d
p r eviously, there were none of the above and so Mr .
Bi s hop persuaded Secretary of State Earl Coe to lend
him a nd h i s two secretaries office space in order to
38
enable t h e m to conduct t h e bus i nes s o f trans i tion f or
Gov ernor - e lect Rosellin i .
FINANCI NG
Fund ing is requi red for an effective t r a ns i t i on.
$1 00 , 000 was budge t e d for the 1984 t rans i t i on , and
$100,000 is budgeted fo r t h e 1988 tra ns i t ion . If t he
inc umbent Gov e r nor (Ga r dne r ) is reelected , there wi l l
be l e s s need ( i f any ) for transition funds t h a n if a
new Gov e rnor is elected .
One of the first th i ng s a transition team needs
to do is to prepare a t r a ns i t i on budget. There are a
number of ways that t ransitions have been funded
during the last thirty years. The obvious source has
been une xpe nde d campaign funds. Use of vo l unteers
has a l s o been a regular p r a ctice. These people could
be citizens who are commit ted to the Governor -elect
a nd wish to volunt eer t he ir time, or compani es who
wis h to gain access to the Governor's o f f i c e and,
thus, v olunt e er loaned executives. Transition team
members have also been hired on personal service
contra c ts wi t h the state as was done with Governor
Spellma n ' s and Gov e r nor Gardner's team.
Re a lizing the Governor-elect's constraints, the
Washington State Department of General Administration
a nd Office of Financial Management. have attempt ed to
39
ant icipate t he Governor-elect ' s i mme d i a t e require
me nts and the types o f i n f orma t i on , advi c e and
services that may be r e qu i r e d t hroughout t he t r a ns i
t i on pe riod.
STAFF
As we have seen, the Governor- elect's ne e d for a
sta ff begins on t he day after elect i on. I n t h i s
author ' s opinion, it i s not good pubL i. c pol i c y to
have the Governor-el ect use whatever l e f tov e r
campa ign funds they can find to run thei r off i c e s
betwee n e l ect i on and inauguration. The Governor
elect i s conducting publ i c affairs for the citizens
of t he state and thus public funds should be
ut ilized .
Congr a t u l a t i ons i nundate the newly elected
Gove rnor; the budget needs decisions; program
dir e c t i ons must be de c i d e d and ul timate:Ly an
administration mus t be assembled. The Legislature
has recognized this need and provided funds, offices,
te l ephones, copying services and hir8d staff through
pers ona l servi c es cont racts f or this "in between"
t i me bef or e t he Governor-elect takes office.
It is to this end that the Department of General
Administration and Office of Financial Management
have made an effort tc provide these services . The
40
emphasis i n the planning f o r tra n s i t ion by these
department s has been on b e i ng wel l prep a r e d to
r espond to t he Gov e rnor -el ect ' s r e qu i r eme nt s rat her
than p r e s umi ng his or h e r de s i r e s . Fu ll recognition
i s g i v en t o the fact that the Gov e r nor - e l e c t wi l l
hav e h i s or her own style and method o f do i ng t h i ng s .
I t h a s also been recognized that the Gove rnor-e l e c t
may d esir e the advice a nd consultation o f a v a r i e t y
o f resources.
SERVICES AVAILABLE
Wha t follows, therefore, is a brief explanat i on
o f h ow the resources o f the Department of General
Admin i s t rat i on and Office of Financial Management
have bee n of assistance to the Governor-elect .
DEPARTMENT OF GENERAL ADMINISTRATION
o Of f i c e space, equi pment , supplie s, sta f f
o As s i s t in preparation of transition budget
o Assist in space/organizatior.al planni ng for
Gov e r nor ' s office
o I de nt i f y i ng appointments to be made in the first
several months of the new administrat i on and
p r ov i ding a c omput er-assisted method to expedite
the appointment process
41
o Assist in the p r e pa r ation o f the exe c utiv e
o f f i ce budge t
o Ar r a nge t he mov e t o the executive mans ion and
hel p dete rmine the budg e t a nd staff needs of t he
o f fi c i a l residenc e
o A presentation on the organizat i on and op e rat i on
o f state government
OFFICE OF FINANCIAL MANAGEMENT
o A presentation on the characterist i cs o f the
p opu l a t i on , t h e e c onomy and the work f orce
o A presentation on the expenditure-revenue
s i t ua t i on for the next four years
o Assist in the dev e lopment of a method to be used
f o r considering a gency budget requests
o As s i s t i n the determination and final develop
ment of the Governor 's revisions to the bie nn i a l
budge t
o As s i s t in the development of policy positions of
the Governor-elect
o Provide brief ings on carry-over issues or
p r og r ams and a ssisting the development of
fo l l ow- t h r ough strategies
Th e r e are ot h e r i t ems that need to be considered
by the Gov e r nor - e l e c t ' s staff.
42
PROPOSED LEGI SLATION
Det ermi nat i on of met h od s for the d e v e lopment,
i n t roduction and s u c c essful p a s s a g e of legislation
p r oposed by t he Gov e rnor - e l e c t a nd t h e state agenc ies
mus t b e made.
MANAGING STATE GOVERNMENT
~(,his area is perhaps most dependen t upon t h e
G overnor-elect'~ styl~ and personal wishes a s he o r
she considers the r-oLe of chief executive. Items
t h at n e e d to be considered include current manag e me nt
practices and tecnniques; the use of cab i nets and
c ouncils; the executive office staff involvemen t in
departmental and legisla t i ve liaison. Al t ernatives
need to be developed for the Governor-elect 's
c o nsideration.
The organization o f the transition sta f f is a
very confusing subJect t o discuss because there is no
formal organi~ation. In the transitions that I have
e xamined, there has been no standard organization
p a tter n . In fact . I think that most members of any
trans i tion team would agree that members of transi
t i on s t a f f s are called upon to perform almost any
t a s k a ny time and that the task always needs to be
a c complished now. In that kind of an environment ,
43
t he p e ople t h a t have the best res u l t s - ori e nted ski ll s
r ise t o t h e a t t ent i on o f the Governor - e l e c t a nd i n
some i n s t a n c e s a r e t he n appo i nte d to a c a b inet
posit i on as a d i r e c t r e s u l t o f the i r t r a n s i t i on
effor+:s ..
The hours are long and the t a s k requ i r e s a
seve.r,-day-a-week commitment by the members of t h e
team until the inauguration party i s comp lete d .
The 1980 (Spel:manl and 1984 (Gardne r ) gub e r na
torial transitions represented the state o f t h e a r t
in the availabil i ty of resources and involvement o f
people. Even those left something to be desired in
terms of organization and decision-making. Both
tra ns i t i ons utilized c ommi t t e e s of supporters t o
screen c a nd i da t e s for j obs a nd analyze major p o l i c y
quest ions. Thu s , t hey bot h had many people i nv olv e d
i n the dec ision-mak ing p r ocess in terms of publ Lc
pol i c y a nd cabinet appointments.
It goe s without saying that appointments to the
tra ns i t i on t e am s hou l d be made with great ~are!
beca u s e , i n actual f a c t , the staff which wil l manage
t h e Gov e r no r ' s o f f ice is being assembled.
Ba s i c a l l y, there a re three separate t a s ks which
mu s t be accomplished during the transition~
prepara t i on t o assume the reins of government,
campaign wind-up , and i naugural p l.anninq , The reas ori
44
it is di f f i c u l t to accomplish a l l of these tas ks i s
because t he v o l ume of mail a nd cal l s during trans i
t i on i s overwhe lm i ng . Bot h J i m Dolliver a nd Warren
Bishop i nd i c a t e d a s much in t heir interviews with
this aut h or . Th e r e f or e, i t is imperative t ha t the s e
three t a s ks be delegate d to members o f the t r a n s ition
team a nd accomplished effectively so that the back l og
does not become too severe.
Nevertheless, a bac k l og has been i ne v i t a b l e
dur i ng t he s e five transiti ons (1956, 1964, 1 9 7 6 , 1 980
and 1 9 8 4 ) . The transition offices were deluged with
communications asking f or job s , suggesting ideas for
change and making all ma nner of requests. To prevent
people from becoming disillusioned or disgrunt.led,
when no answer is swi f tly forthcoming, a general
acknowledgement letter has been sent automatically to
those pe op l e cont a c t i ng the transition office.
CALENDAR
Th e calendar o f tra nsition is a series of ta r ge t
dates f or accomplish ing certain tasks. Append i x III
of this thesis , from Governor Spellman's transition,
is the only calendar this author was able to locate
during the archiva l search. Most dates listed in a
trans i tion calenda r have been target dates rather
than hard and fast de a d l i ne s . They change as events
45
change since transition time i s a v e r y f l u i d period .
Nevert he l ess , there a r e some basic milest one s that
ne e d to be met . They i nclude v a c a t i ons for t he
Gov e r nor -elect; c ampa i gn wi nd-up; t r a ns i t ion sta f f
s ele c t ed ; t r ans i t i on office operational ; guberna
t oria l staff interviewed, selecte d a nd a nnounc e d ;
age ncy directors intervi ewed, selected a nd announced;
i naugu ral preparations completed ; l e g i slativ e p rogr am
f inal ized ; stat e of s t a te address drafted ; budget
decis ions made; and fi na l l y , complet e a r r a ngements
f or t he move i nt o the Governor's mansion .
The Governor-elect ' s calendar should be kept
r e l a t ively fre e of speaking engagements and
c e r emonial occasions du r i ng the transition period so
t hat the Governor - elect can c oncentrate on personnel
a ppo i ntments, legislative program and changes to the
b ienn ial budget a l ready s ubmi t t e d to the Legislature,
a nd the state of state address. My res e a r c h
i nd i c a t e s that the time o f all the Governors-elect
was ove r-s che du l ed, which p r ov e d distracting and
c os t l y for some of them in the long r u n .
There i s no doubt that as the transition takes
s hape , t he new Governor will find that events will
t end to outspend even their campaign level energies.
Consequently, the new Governor should use the
vacat i on time to reflect on the governorship itsel f
46
a nd t he accomplishments he o r she wants t o a chi eve
duri ng his or her f i r s t t e rm. At t he same t i me , the
Governor- e l e c t s hou l d e ns u r e that a n effec t i v e
trans i t i on team i s prov i d ing a s ound p latform f r om
which t o launch t he new admi nistration.
47
VI
PERSONNEL AND APPOINTMENTS
THE CABINET
The Governor 's c a b i ne t positions are, wi thout
question , the most important appointments and t h e
ones which shape a Governor's administration . The
c a bine t can be the Gov e r no r ' s most vital tool for
managing the executive branch efficient l y a nd
effectively . In each administration during the last
t h i r t y years, t he r e have been departments t h a t have
been of particul ar concern to each new administra
t i on. In 1956, the Department of Inst itutions and
Of f i c e of the Budget wer e the focus. In 1964, it was
the Department o f General Administration and the
Liquo r Board. I n 1976 , it was the Department of
Social and Health Ser vices. In 1980, it was the
Nat i onal Guard a nd the Department of Ecology. In
1984 , it was the State Patrol, the Department of
Comme r c e and Economic Development, and the Department
o f Labor and Industries.
In each instance , the Governor-elect changed the
department director as a first order of business. In
fac t , these changes were campaign pledges that the
Governor-elect had made. Some of the Governors
duri ng the last thirty years have been more f a mi l i a r
48
wit h t he i ntricac ies of the e xe c utive branc h t han
others (Ros e l l ini, Eva ns ) . All Gove r nor s during t h i s
per i od sought t he mos t c ompe t e nt, creative managers
they c ou l d find to fil l the c ab i ne t positions.
Beyond the ma nageme nt skills which they brought ,
the cabinet appo i ntees , singly and as a g r oup , have
served as a person ification of the Gove r nor - e l ect .
The ir appointment s were the first key symbol t o the
bureaucracy, to the Legislatu~e and the cit i ze ns a t
large , of the shape a.nd values of each a dmi n i s tra
tion . They are more visible and, t he r e f or e ,
perce i v ed as more important than the personal staff
of t he Governor. However, after studying this
subj e c t , I bel ieve beth are important i n order to
create a successful adminis~ration.
PERSONAL STAFF
The personal staff of the Governor is very
important, on a par with the Governor's cabinet . It
is t he Gov e r nor ' s staff that in conjunction with the
cabinet gives the policy direction. The two
s t r ongest members of a Governor's personal staff
during the last thirt y years have been Warren Bishop
and Jim Dolliver. Warren Bishop served as Chief of
Staff and Di r e c t or of Office of the Budget at the
same t i me . Mr. Dolliver served as Chi.e f o f Staff and
49
i n essence s poke for the Governor a s , of course , d i d
Mr. Bishop . These two peop l e , i n my mind , are two o f
t he most t houghtful pUblic - s p i rited c i t izens we have
in t he state of Was hing t on. They have a vast array
of e xper i e nc e t ha t s houl d be utilized. I n any event ,
bot h of these people indicated to me that i t i s
criti cal to have s ome one whom the Governor trus t s to
be t he i r chief spokesman . When the spokesman speaks ,
t ha t is, i n essence, the Governor speaking . I t
requ i res a very unique set of circums t a nces and
pe op l e to be able to accomplish that goal .
I n the v i ew of this aut ho r , only two admin istra
t ions during this s t udy period have achieved that
cohesiveness between t he Governor and their chief
spokesman : namely, Governor Rosell~ni and Governor
Ev ans.
In t r ansitions duri ng this study per iod, the
maj or department d irectors have not been appointed in
t ime to have a sign ificant interface with their
c ount e r parts from the previous administration.
I deal ly, the Governor-elect's appointing p r oc e s s
s hou l d a l l ow these important decisions to be made
without the c ons t ant bother of preliminary
mach i nations. Ironically, this author found just the
opposite condition. There was never enough time to
50
consid e r c r u c ial personnel decisions in a logical
f a s h i o n .
BOARDS AND COMMISSIONS
Th e board s a nd c omm i s s i o n s are a separate
s ubject because they are multi-member p a nel s wh ose
t e rms e xpire on a staggered basis. As a resu l t ,
these posit i on s do n o t become vacant at the same time
as the transition period. They, not t h e Govern o r ,
hi r e thei r exempt personnel so it is more difficu l t
f o r t h e Gov e r n o r - e l e c t or the sitting Governor , f o r
that matter, to influence t h e i r selection.
The chairmen of most of the boards and
commissions in the Stat e of Washington are s e l e c t e d
by t h e ir members. The only e xceptions where the
Gover n o r selects the c h a irman are the Puget Sound
Water Quality Authori ty and the utilit i es and
Transp ortation Commission , and now the Game
Depa r t me n t . I n a n y event, most of the decis ions
h avi n g to do with boards and commissions are not
driven b y election of a new Governor, but by the
agenda establish ed by each one o f the :'Joards and
commissions.
51
SELECTION PROCESS
Because t he ma jor appo intment s are so i mport a nt
to carrying out the Gove r nor- ele c t ' s program , it i s
wor thwh i l e to e xami ne the sel e c t ion process . In
ever y instance, t he r e a r e people whom t he Gov e r nor
ele ct would like t o have in the new administration;
and the r e are positions that are not ope n to t he
selection process because the Governor-ele c t ha s
already selected t he person for a particular j ob .
Howeve r , in those inst ances where there i s no p r e
selected candidate, the transition t e ams have
e s t ablis hed an elaborat e screening and interv iew
proces s.
All Governors have a small group of trusted
peopl e who act as advisors. As we discussed before,
t h is g r oup is called t he "kitchen cabinet." Then
there is a wider g r oup o f people who are int e r e s t e d
in stat e government and/or politics who are b r ought
i nt o t he transition proc ess to broaden the base and
provide input into the decision-making process .
In all the transitions studied, both of these
groups p l ayed a major role in the selection proc e s s.
In 1980 and 1984, the personnel review and recom
mendation processes were elaborate. In 1980 , there
was a personnel committee established to determine
mi n imum requirements for positions, interview
52
c a ndi da tes and r e duce t he numbe r of candi da t es d own
t o a s hort l ist tha t wou l d be submitte d to t he
Governor- e l e c t f or sel ection .
The first ste p i n the proc e s s has been to list
t he ke y pos itions in state government. These are
normal l y the directors and deput y dire c tors o f
departments that a r e appointed direct ly by the
Governor . Each transit.Lon has t a r g e ted these
positions because they are responsib l e f o r
imp l eme nting the Governor's program . The next step
ha s been to determine whether the incumbe nts i n those
positions will stay on i n the new admin istrati on .
Th is dec i s i on has been accomplished by either the
Governor - e l e c t hav i ng made up his or her mind ahead
o f time or interviewing the incumbent. The decision
is then communicated to each individual in t he form
o f a l e t t e r from the Governor-elect.
Most transit ions hav e treated the incumbents
f r om t he previous administration professionally and
humanely, even though it is recognized that t hey will
proba b l y be leaving. When it has been determined
t hat a particular individual will be leaving , it is
usual l y accomplished in a way that reinforces the
best perceptions about the management style of the
Gov e r nor - e l e c t .
53
VII
ORGANI ZI NG THE GOVERNOR'S OFFI CE
Next to t he a ppo i nt me nt of t he c ab i net, the
s e l e c t i on of t h e members of t he Governor 's personal
s t a f f represents the most vital personnel dec is i ons
made during trans i t ion . However, before one ge t s to
t he question of selecting staff, the manageme nt
framewor k of ~he Gov e r nor ' s office mus t be
established. It is the Gove r nor ' s staff t hat crea t e s
an effective system for assisting the Governor in
mak i ng de c i s i ons and ensuring that those dec i s i ons
a r e implemented.
DECISION-MAKING STYLE
The staff accomplishes this assistance by
rec e iv i ng and process i ng information; ther efore, new
Gov e r nor s are asked how they prefer to receive
inf ormat ion and make decisions. The structur e of the
o f f i c e then is molded t o fit the Gov e r nor ' s manage
ment style. The organizational design mus t fit the
de c i sion- ma k i ng style of the Governor or friction ,
con f us i on and frustration will result. There are t wo
models of organization that can be utilized The0
first is a hierarchy structured staff where issues
f or decisions are transmitted up the organization
54
l a dd e r t o t he senior staff f o r gUbe r na tor i a l
dec i s i on s . This mod e l includ e s a chi e f o f s t a f f who
reports directly t o t h e Gov e rnor and manages the
s t a f f ( s e e Table II I ) . 14
The second model i s a str u c t u r e whe r e all senior
s t af f report d i rect l y to the Governor and dec i s ion s
a re arrived at by discussion among a dv oc ates o f
oppos i t e points of view. In t h i s sta nc e , t h e
Governo r acts as the ~tnter of the wheel ( s e e Tab l e
IV ) .15
Whi chever model is chosen, it is impor tant that
t he Gov e r nor select one individual in whom h e or she
c a n con f i d e and who can speak for the Governor on
po l i cy matters. It could the chief of staff or a
s p e cial assistant . It makes little difference what
t h e title of the indi v i dual is. The important point
is tha t this individual has the Governor's con f i d e nc e
a nd can speak for the Gov ernor with certainty .
14 "Transition a nd the New Governor , A c r i t i c a l Overview," Nationa l Gov e r nor s Association, Mod e l I (1981 ) ,43.
15 "Transition and the New Governor, A critical Ove r v i ew, " National Governors Association, Model II, ( 198 1 ) , 44.
55
- - -
MODEL !
I Chief of Stoff
'"U1
- - I
I
- -- - - .-- - --- - - ,
Personal SecretoryGOVERNOR
. II I
Legislative Secretory Press
Affairs Assistant
"r: II
(
]I
Intergovern Liaisons Agency
mental Relations Assistant
~ - - - -- tl1
I J ~ ...
H
Legal Office H~ Counsel Manager
1 l~uPPor1 andSpecial Interest Scheduling Boards and Constituent I Cler icalGroups and AssistantCornrrussions Services
.---r Appointments SiaffAssistant Pol itical Affairs Assistant Assistant
-1
TABLE I V
MODEL II : SPOKES OF THE WHEEL
I Agency Legal Counsel I Special Graup Liaisons Lia ison/
Pol itical ASSistant
Ii:
i
-
Press Personal Secretary Secretary
r, V t
! GOVER NOR
Vari ous Special
/ ~ ./ 1/1===;===~==:J~ ~
Constituent Services
f
~:J I. : SS=is=to==n=t==;!J
Administrative Ass istant
I
Intergovernmental Relations Assis ant
Schedul ing Ass istont
I ----
Leg islative Liaison Assistant
57
ORGANIZATIONAL DESI GN
Dur ing the l ast thi rty years, all Governors in
t he St a t e o f Wash i ngt on have chosen t o have a chief
of staff. In two i ns t a nc e s , the chief of staff could
s pe a k for the Gove rnor on policy questions : namely ,
Warren Bishop during Rosellini's tenure, a nd Jim
Dolliver during Evans ' term of off ice. When t he s e
gentlemen wer e interviewed, they both expla i ned t he
i mportance of hav i ng someone able to speak for t he
Governor. I suspect the reason these two administra
t ions were regarded by all observers as effective is
because there was only one person who could speak for
t he Governor.
This ability to have someone other than the
Governor speak on policy matters enables the Governor
t o pass off a pa r ticular crisis to this individual.
Th is frees the Governor to concentrate on the
s t r a t e g i e s for aChieving the major pUblic policy
i n itiatives of his or her administration.
STAFF
The staff of t.he Governor's office has grown
during the last thirty years to encompass a wide
rang i ng list of functions. During Rosellini's and
Evans ' terms, policy analysis and legislative liaison
were ha nd l e d by the Governor and/or their chiefs of
58
staff. During the terms of Ra y , Spe l l ma n and Gar dne r
specific i nd i v i dua ls we r e added to the Gov e rnor's
staff to hand l e the s e f unc tions . At one p o int i n
1959, Warren Bi s h op was both BUdge t Director and
Chi e f of Staff. Th is ass i gnment occurre d beca u s e Mr .
Bis h op was the c h i e f architect of t h e new BUdgeting
and Accounting Act that was passed by the Le g i s l atu r e
in 1959.
In any event, there are certain core func t i ons
that need to be accomplished by t h e Governor ' s
office. Telephone calls and mail need to be answe r ed
promptly. Appointments need to be made when
vaca ncies occur i n gubernatorial appointed positions .
The Governor's t.i.me needs to be scheduled. The
Legislature needs to be apprised of upcomi ng events
that may impact their districts. The press needs to
be kept; informed of ac tions taken by the Gov e r nor .
Press conferences with the Governor need to be
a r.ranqed , There is a l e ga l factor invol ved in all
actions t.aken by the Governor, thus there must be
:::ompetent legal advice available to the Gov e r nor .
: itlzens must have access to the Governor to e ither
solv e a problem they may have with government , or
explain their views concerning the public policies of
':: he Governor.
59
The Gov e rnor mus t make s pe e che s to e xp l ain the
public po l icy initia t i ve s tha t a r e being advanc e d by
t he admi nis t r a t i on a nd a t t empt to pe r s uade t he
a udience to suppor t t hem. The audience c ou l d be
c i tizens and it i s mos t ass u r e d l y the Legislature .
Thus , there must be a speech writ ing capab i l i t y in
t he office. However, public policy initiat i ve s mus t
be developed before they can be explained . Th i s
necessitates having someone on staff t o c oncentra t e
on devel oping public policy initiatives f or the
c ons i de r ation of the Gove r nor , the appr op r i ate
c ab i ne t members and the Legislature. The Governor
must be aware of developments at the nat i onal and
loc a l levels of government so that a proac tive
r esponse rather t han a reactive response can be made
on be ha lf of t he state. This need requ ires a
p r esenc e in Was h i ngt on , D.C. either through the
National Governors Associa tion or some other method.
I t also requires having a staff member understand the
p r oblems of the local units of government so
appropriate responses can be initiated.
Al l of thes e functions need to be 3ccomplished
i n s uch a fashion as t o result in coordinated action
t hat achieves the Gove rnor's goals. As with anything
wort hwh i l e , it is easier said than done . However,
du r ing the last t h i r t y years, five Governors in t he
60
St ate of Was hington have g one throug h this proc ess .
Some have accomplish e d it mor e effectively than
ot hers a s evidenc ed by t h e e l ect i on results.
The effort to s t aff t h e Gover nor' s office is
best summed up by the f o l l owi ng quote:
" Es t a b l i s h i ng an office and developing a n administrative s t rategy for its operat i on i s an early p riority for the new governor 's personal transition, and decisions on o f f i c e organi zation and operation must meet the new governor's specifications . with ou t an effective and l oy a l staff it will not b e p o s s i b l e for the new governor to carry ou t the duties of chief executive. Beyond t he o r g a n i z a t i ona l des ign it is necessary to i n s t i tute measures for the management o f the office that will ensure efficiency and e n c ou r a g e professionalism in the governor 's s taff. In the final analysis, the g ove r n o r wi ll be held accountable for the smooth operation of the governor's office.,,16
EXECUTIVE BRANCH RELATIONSHIPS
The rela tionship between the Governor's personal
s t a f f and the cab inet is a key factor in achiev i ng
t h e Governor's goals. Somehow, the Governor must
c reate a team from these two groups of appointees.
Appointment s to t h e Governor's staff should match the
Governor's personal management style while other
a p p o i n t me n t s should reflect the Governor's policy
p r eferences. For instance, if the new Governor has
16 "Transition a nd the New Governor, A cri tic a l O'lerview , " National Governors Association ( 1 98 1 ) , 52.
61
decided t ha t de c r e a s i ng t he inf l uence of the
Po litical Ac t i on commi t t e es is a t op pri or i t y that
c ould r e quire an i ncr e ase d bUdget for t he Public
Di s c l os u r e Commi s s i on a nd legis l a t i v e action, then
a ppo i nt i ng a leading advocate of that po l i cy as the
e xe cut i v e director makes a great deal of sens e .
If on t he ot he r hand, the Governor ha s dec i de d
t ha t economic development is the h i ghe s t pri or i ty ,
t he n appointing an election reform advoca t e a s the
exe cut i v e director o f the Publ i c Di s clos u r e
Commi s s i on makes less sense thau appointing an
e f f e c t i v e director who will allow the Governor to
f ocu s on other priori t i es.
The question sti l l remains: how to forge a team
from these appointees?
The answer is to v i ew the Governor's appointees
as a management team. The Governor can prov ide a
pos i t i ve framework from which they can carry out the
broad polici es of the administration and at the same
time manage effectivel y as agency administrators. It
is essential that the Governor have a positive
p r ogr am. This, i n essence, amounts to a list of
t h ree or four pUblic policy achievements that the new
Gov e r nor wishes to achieve before reelection time .
By concentrating on this program, the Governor can
62
f ocus the e n e r gies o f his o r her appo i n t e e s , t h u s
aChiev i ng s ome measure o f suc c e ss .
Th a t i s no t t o s a y tha t management i n and of
i tsel f is not c r itical to t h e n e w Governor and his or
her impac t on the sta t e . It is simp ly s a y i ng t h a t
manageme nt a l one is n ot enough. But wi t h public
p olic y goals and ma na g eme nt skills, the n e w Gov ernor
c a n a c h i ev e success and at the same t i me mak e a
d ifference for the bet t erment of the people.
63
VIII
SYMBOLS AND SUBSTANCE
THE PROGRAM
The new Governor 's p r ogram is critical . It i s
as i mp o r t a nt as se::'ecting the r ight peop l e for t h e
cabinet and the staff. I n fact, wit hout a prog r a m o f
pUb l ic policy initiatives, the new Governor will find
'oFi t difficult 1._ net impossible to i n f l uence t he
d irection of stat e government.
The Governor's program appears more coherent a nd
better def i ned when a few symbols can be found that
get across the main ideas and draw them all together ,
or that emphasize att ractive parts of the Governor ' s
pol icies and personality . In 1956, Governor-elect
Rosel lini was concer ned with institutions because
they had deterior ated so badly. In 19 64, Governor-
elect Evans, an engineer by profession, campaigned on
t h e platform of "A Blueprint For Progress." In 197 2 ,
Di xy Lee Ray focused on the problems of t h e Depart
me nt of Social and Health Services created by the
Le g i s l a t u r e in 1970. In 1980, John Spellman produced
a d oc ument e ntitIed, "Washington State i n the
Eighties, A Management Plan." In 1984, Booth Gardner
c onc e nt r a t e d on economic development and the
import ance of eff ective management practices.
64
Symbo l s cannot by themsel ve s p r oduc e subs t a nc e ,
but there is no discount i ng the i r hypnot ic e f fec t .
I n any event , a new Gove r nor wi ll ne e d to th i nk
t h r ough the p r ogr am and c oncentra t e on getting i t
pa s s ed by t he Leg i sla t u r e . This e f f or t c a n be
e nha nc e d by having t he newly appo i nted depa r t me nt
heads a dopt or i nter na lize the Governor ' s priorit i es
and p r ogram. It is also important to have t he b i l l s
dra f t e d in time for t he Legislature to c ons i de r t hem
during their committee weekends in December prior t o
the conv e n i ng o f the legislative session i n January .
This is difficult: but it can be accomplished .
I t requ i r e s tha t the Gove r nor - e l e c t establish as a
p r i orit y the drafting of bills which is the culmi na
t i on of the exe cutive branch's efforts in terms of
pol i cy development. It does no good to have ideas
f or public polic y jus t exist in the he a ds of the
Gov e r nor - e l e c t a nd t he new team. They must be
writt e n down a nd transf ormed into proposed l e g i s l a
t i on (b i l l s) wh i c h t he Legislature can then c ons i de r
during the session.
THE BUDGET
Any pUblic policy initiatives must be worked out
wi t h in the confines of t he state's budget. The
budget is the p r imary i ns t r ume nt of a Governor for
65
policy and a dmin i s trat i v e dec i s i on-maki ng as wel l a s
for program cha nge s .
The bienn i al budget i s , in sum a nd s ub s t a nce,
state government and theref ore the new Governor must
seek to influence the outcome of the budge t for t he
next biennium. The budget cycle in t he state of
Washington runs from July 1 to J une 30 , two years
later. It begins and ends in odd years . The
Governor is elected in an even year. Thus , whe n t he
Govern9r takes office i n the odd year, ther e is only
six months remaining o f the biennium . The sit ting
Governor has already submitted the budget for the
next two years.
The ultimate result is that the new Governor
must submit his or her ideas on the previous
Gove r nor ' s budget or the ~ew Governor will spend the
f i rst ha l f of his or her term running the government
on s omeone else's terms. From a pol i tical science
pe r spective, this type of budgetary system is a
ridiculous way to operate, chaining the new Gov e r nor
as i t does to the old Governor's budget. This issue
will be discussed :_ n the chapter entitled , "Ideal
Transition . " In a ny event, until a cha nge in the
budget process is made, the Governors e l ected in
Nov ember a r e not able to change the system before
66
taking office a nd thus must '_ive with the present
s c he du l e o f event s.
I NAUGURATI ON
The inauguration , as a festive rite of passage,
i s a richly symbolic event in and of its e l f . I t
off e r s a unique opportunity for ~he Governor - e l e c t to
c e l eb r a t e the victory of a long a nd d i f f i c u l t
campaign. There is on l y one inauguration fo r a new l y
e l ecte d Governor. There may be ot hers i f t he
Gov e r nor is reelected, but it does not; match the
e nthusiasm of the first event.
There are two maj o r components of a Governor's
i naugura t i on : namely, t he celebration, and the state
o f the s t ate speech to a joint session of the
Legislature . Traditionally, the celebration in the
f o rm of a ball has been handled by a private
c i t i z e ns ' committ ee and has been held at the st.
Mar tin ' s Col l ege gymnasium. The committee and Booth
Ga r dner , t o their credit, broke with tradit i on and
he l d t he ball in t he Rotunda of the Legislative
Buildi ng . I t was unique and in this writer's opini on
proved to be a very stirring event. The theme was
s i mp l e but strik i ng: the Governor returned to the
po i nt ( t he capito l) t ha t symbolized the power of the
peop l e , not to ret race old steps, but to strike out
67
on a new path. The peop le we re invi ted i n t o the
Governor's o f f i c e its elf ; the b a nd was pla yin g a n d
peop l e we r e d a ncing i n t h e Rotu nda. To say the
least , it was a magni f i c ent b e g i n n i ng , and all the
more so because i t h a d never been done dur i ng our
s tudy p e r i od .
STATE OF STATE SPEECH
All of the Governors during the last t h i rty
years have given speeches that emphasi z e their h o p e
f o r the f u t ure. This speech has offered each
Governo r an unparallel e d opportunity to stress his or
h e r goals and i nspire the people to help achieve
t h e m. There is no speech, over the four-year term,
that has the same potential to fire enthusiasm and
create momentum for the new Governor's program. The
t.heme is simple but striking; inspirational r a t h e r
than problematic; general and not detail. It
emphasizes a new partnership between the people and
the Goverr.or.
The organization of the .i.nauquraL celebration
i nv o l v e s an overwhe l.mi nq workload and h3S been kept
separate from transition planning. While the
inaugural planning people from the Governor-elect' s
s t a f f have been hou s e d in the transition offices, t h e
68
f i nancial arrangements and sec r e t a r ial personnel have
r ema i ned wi t h t he priva t e cit i ze ns ' commit t e e .
The i naugu r a t ion has pa i d for i tse lf with a ny
l eft over funds be i ng u s e d to help pay f or t he next
i naugurat i on c e l ebr a t ion.
THE PRESS
Traditionally, t he Governor-elect holds a news
conference t he day after the ei.ection . That f i r s t
meet i ng with t he press is an opening signal and
conveys to t he public t he direction the new admin is
t r at i on will take . The press obviously waits to
f o l l ow up the election with firsthand stories from
the Gove r nor - e l e c t , and television wants to have
pictures of the new Governor for its viewers.
Every Governor during the last thirty years has
had a formally designated press secretary. I suspect
t hat every Governor throughout history has had such a
pers on even though tha t person may have not been
designated as such. In any event, the new press
secreta ry will need to determine how certain support
functions are handled (photography, who recor ds and
distri butes the t r anscription of the Governor 's press
conferences, and preparation and distribution of
press releases ) .
69
In 1964, Governor Evans be ga n transcrib i ng p r e s s
con f e r e nc es and d i s t r i buting t h e t r anscription . That
p r a c t i c e h a s b e e n c ontinued by e v e r y Gov e rnor s ince
19 64 , including t he pre s ent Gove r nor , Booth Gar d ne r.
Gov e r no r Ga r d ne r has added a few addi tions that make
the record of the press conference easier to fo l low.
For instance, a topical index is included that
rel ate s any part i cular topic to a s pe c i f i c page
numb e r , and a list of members of the press and who
t hey represent has also been added.
The press secretary has to hav e a c los e
r e l at i ons h i p with the Gov e r no r to be effective. As a
r e s u lt , the press secretaries have usually had direct
acce ss to the Governor. Most press secretaries are
h i r ed during the campa ign and usually stay on to
bec ome a part of the Governor's staff. The news
papers and the pUblic relations profession h a v e been
the traditional recr uiting grounds for press
sec r etari e s . Governors Evans and Spel lman h i r e d
ne ws p a p e r reporters as press secretaries, while
Gov e r no r Gardner hired a pubLi.c relations profes
s i ona l to be his press secretary. There is no doubt
t h a t good relat i ons with the press are essential to
convey the new Governor as a leader, manager and
pol i c y maker.
70
Pr e s s p e op le serve as a point of con t a c t for
me d i a personne l who wi s h to sch e du l e an i nterv iew
wit h the Gov e r nor. Ev e r y new Gov e r n o r a t t e mp t s t o
d e v i s e a press s t r a t e gy tha t g ives the media every
op p o r tun i t y to see t h e new Governor a ggre ssivel y
pu rsu i ng the act ive manageme n t of stat e g ov ernment
a nd d e a l i ng with the major p ubl ic policy que stions
fac i n g the new administration. The press sec r eta ry
h a s a major role in the schedul ing o f the Gover n o r b y
ma k i ng sure that the media i s given ample time t o
i n terview the Governor wherever they t ravel . Mo s t
p r e s s secretaries a nd their staffs also a re
r e s p o nsib l e f o r arranging for a newspaper clipping
service and have a large r o l e in writing speeches for
t h e Gov e r n o r .
I ncr e a s i ng l y , Governors are involving t h e i r
pre s s sec r e t a r i e s in p o l i c y development and l e g i s l a
t i v e relations i n an effo r t to create a comprehensive
p u b I Lc affairs s t r a t e gy . Governor Gardner is the
onl y Governo r in the state of Washington du ring the
last t h i r t y years to design and i nc l ud e strategic
p olit ical commun i cation options on an equal basis
with their person nel, program and bUdget alternatives
t r adit i ona l l y included in pl a nning a public policy
init iative.
71
THE PEOPLE
The peop l e who vote , of cour s e , a r e the
indi v i duals who elect the Gov e r nor. The c i t i ze ns as
a whole are the r ecipi e nt s o f the public po l i c i e s
a dvocat e d by t he Gove r nor s . Increasing l y , Gov e r nors
hav e recognized t h i s fact and have take n ste ps to
e nsure that the people have direct access t o the
Gov e r nor . There are a numbe r of steps that c a n be
t a ke n to ensure that the Governor doe s not become
isolat e d from the people. Throughout the na t ion
t he s e steps have included the establishment of a
s t a te ombudsman; special toll free IIhot line ll in the
Gove r nor ' s off i c e and constituent affairs staf f
peop le in t he Governor's office; and fina l l y , town
hal l meet i ngs.
In this state, ombudsmen have not been ut i l i z ed,
whi l e "hot lines," town hall meetings and constituent
a f f ai r s personnel on t he Governor's staff have been
us ed. The reason f or e s tabl ishing these mechanisms
t o de a l with the concerns of the people is that
bur e auc r a c i e s are inherently poor jUdges of their own
a c t ions and tend to loose all capability t o respond
to t he genuine needs of citizens. Therefore , a new
me t hod of repr e s ent ing those needs has had to be
e s tab l i s hed.
72
Gov e rno r Gardner i s t h e fi r s t Governor in this
s t a t e to include con s tit ue nt a f f a i r s peop l e on t he
Governor ' s sta f f . Genera l l y, thes e people i nv e s t i
gate complaint s a ga i ns t any sta t e agency.
Th e constitue nt affairs peopl e have t h e p owe r t o
r e que s t and rec e ive any informat i on from any stat e
a ge nc y . They cannot enforce their s olution , al t hough
t h e y can work t o bring their recommendat i ons about
t h r ou gh the agency itself or by bring i ng t h em t o t he
att e nt i on of the Governor.
Governor Ra y was the first Governor t o uti l i ze
t own ha l l meet i ngs as a way of communicating directly
wi t h t h e people. The Governor and certain members of
t h e cabinet would travel to various regions o f t h e
state for an "open house" question and answer forum
wi t h l oc a l residents. During her gUbernatorial term,
t hese eve nts were schedu led every few months or so .
Very often a citizen doesn't have the s lightest
i de a where to take his or her particular problem .
The i de a s identified above for assisting the citizen
in finding a solution are a few of the methods tried
ov e r the years in this state.
73
IX
I DEAL TRANSITI ON
PREPARATI ON
One o f t he f i r s t acts a candidate for Gove r no r
shou ld accomplish after his or her a nnounc eme nt is to
a pp o int a person to pre p a r e a transit i on pla n . The
p l a n shou ld start with the day after t h e g e ne ra l
e lect i on and end wi t h the inaugurat ion . The pe r s on
wh o prepares the plan should be someone who i s not
e xpec t i ng to be pa r t of the new administrat i on so a s
to not cause h a rd fee l ings with the campaign staff .
The plan should be available to the candidate the
morn i ng after t he general election.
The other critical period i3 the first s ix
mont h s after inaugurat i on, essentially coinciding
with t h e legislative session. Therefore , i t s e ems to
me that a candidate should appoint another person, an
ou t s i de advisor who would concentrate on that period
of t ime. Again, it is probably better if this person
has no ambition t o be part of the Governor 's cabinet ,
bu t prepares a schedule of events that can be used by
t h e Gov e r no r - e lec t ' s appointees to implement the
Governor - e l e c t ' s priorities. This plan should be
av a ila b l e sometime before the Governor-elect is
ina ugur a t e d but far enough along in the trans i tion
74
pe r iod t o take into account t he l e s sons being lea r ned
by the trans i tion team.
Admi t t e d l y , t he se are difficult a c t i ons t o
acc omp l i sh be c ause t he y can be viewed by one ' s
s upporte r s a s a wast e of time and by one's opponents
a s pres umpt uou s . Bot h Justice Dol liver and Gove r nor
Ra y felt it would be a waste of time t o spend any
e f fort on transition bef or e one is elec t e d Gove r nor .
Nevertheless, this aut hor feels it wou ld be worth
wh i l e to have someone planning the transition becaus e
tra ns i t i on is too important to ignore until aft e r the
e l e c t i on.
TRANSITION TEAM
Ideal ly, it wou l d be preferable for t he transi
tion team to be selected from the campaign staff so
a s to enable the trans i t i on effort to begi n
i mme d i ately after the election. This rarely occurs
be c aus e the skills r equired to elect a Governor are
not necessarily the same skills needed to assist a
Gov e r nor in governing a state. It did occur in two
i nstances during the last thirty years in t he State
o f Washington. In 1964, Jim Dolliver was the
campai gn manager for Dan Evans and became the
Gov e r nor' s chief of staff. In 1980, Governor-elect
Sp e l lman designa ted steve Excel, a prime campaign
75
wor ke r , i n charge o f t r a ns i t i on and ultimately
appo i nt e d him to be a princ ipal advi s or .
If i t i s not normal l y pos sib le , in most
insta nces, t o u t i lize campa ign peop l e in major
gover nme nt a l r oles , t he question becomes : How doe s
one fi nd competent people to assume leadershi p r o l es
on t he staff of the Governor-elect and s elec t them
f a s t enough to get the transition peri od off to a
good sta r t ? Part of t he answer seems to be t hat a
candi date for Governor must always be on the l ookout
f or c ompetent people t o assume maj or roles on t he
sta f f and i n the government, if the campa i gn is
s uc c e s s f u l . The other part of t he answer is t o be
ve r y selecti ve in appointing people to paid campaign
post s and select people who are also capable of
assumi ng maj or roles i n the government or on the
Gov e r nor ' s staff. This str a t egy may be easier said
t ha n done but it is worth trying to accomplish so as
to not have to go through the process of continua l l y
f i nd i ng new people to meet tne Governor - elect's
c ha ngi ng personne l r e quirements.
I t is essential that the "transition team be
assembled as s oon as possible after the campaign .
This should be accomplished within the first week
a f t e r the general election. The transition chief and
the l e a de r s of the team should have been designated
76
a s the Governor -elect's staff f o r t he t r a nsition
period t o be mos t e f fect i ve . Thus, the t ransit i on
time can be come a shake down cruise i roning out
d i f f i c u l ties that deve l op a nd e nable the different
personal it i e s to understand each other, as well as
unde r s t a nd their relationship to each other a nd
r e s ponsib i l i t i e s expected by the new Gover nor .
GOVERNOR'S STAFF
The Governor's staff, to be most e f f e c t i ve ,
shou ld be a relatively smal:, close knit g r oup that
gets along well together; is totally loyal to t he
Governor; and final l y, is competent to perform t he
f unctions necessary to assist the Governor in
govern ing the state . That's not to say t he r e should
not be disag reement about major public pol i cy
ques tions among t he staff. However , feuds or
disloyalty cannot be tol e r a t ed once a decision has
bee n made by the Governor.
Although the Governor-elect may be able to fill
the Governor's staff with people known from previous
wor k , it is not normally possible to f ill a majority
of t he very top appointive positions of the execu
tiv e branch in that manner.
This is bec a us e most candidates for Governor
spe nd so much time getting to know people who c a n
77
h e l p them ge t ele cted Governor t hat they don' t get to
know people who can he lp t h em gov e r n aft er the
e lec t i on .
THE CABINET
Se l e c t i ng t he r ight people f or t h e cabine t o f
t h e new administration is the most important f unct i on
a Gove r nor - e l e c t can acc omp l i s h next to selecting h is
or her pers onal staff. There are a number o f i tems
t o ke e p in mind: conflict of interest ; compatib ility
wit h the Governor-elect's program; effectiveness in
suggesting and implement i ng policy; Senate confirma
t i on; party affiliat i on and political clearance;
ba ckg r ound check and reput ation generally. The best
de s cri p t i on of the type of people one looks for when
p r e p a ring to assume a major political position like
Gov e r nor or President is summed up in the fo l l owi ng
quot e:
"As Sorense n later explained, Kennedy wanted men who could both think and act , an out look mo r e practical than theoretical and mor e logical than ideological ; an ability t o be precise and concise, a willingness to learn , to do, t o dare, to change; a nd an ability to wor k long and hard, creat ively , s u c c e s s f u l l y . An important trait that Kennedy's recruiters looked for was ' t oughne s s ' by which they meant 'having t he ability to withstand the pressures of one's s ta f f and t o pursue long range ob j e c t i v e s in a practical way in face of al l the obstacles that are interposed by t h e machinery of government.' Time wou l d
78
show t h a t when Kennedy ' s appo i nte es demonst r a t e d t he s e p a r ticula r qual ities to a subst a ntial degree , they acqu i r ed h i s c on f i d enc e and became i nflue nt i a l ; when they lacke d them to a ny sub s tant i al degr ee, they fa ile d to wi n his confide nce, lac ked i nflue nc e , a nd eve nt ua l l y found thems e l v e s in new j obs at a further remote location f r om h im . ,,17
The selecti on p r ocess has never been as system
at i c and thorough as the Governor-elect wou ld l i ke .
I t most likely nev e r wi l l be. ~t wi l l a l wa ys depend
on the Governor-e l e c t 's personal style and b e fairly
loos e because the Governor-elect wi ll b e personally
i nv o l v e d in selecting the cabinet as well as a
certain number of exempt pos i t i ons in e a ch age ncy .
This process is c omplicated by cabinet members
and ot h e r exempt personnel who serve at t h e plea s ur e
o f t he Gov ernor but who do not tender their resigna
t i ons when the new Gover nor is inaugurated. This was
a problem, as we hav e see n in 1977, when Gov e r no r
e l e ct Ray was sworn i n . It was not a problem for
Gov e r nor-elect Spellman i n 1981 because Gover nor Ray
a s k e d her appoint ees to submit their resignations on
t h e day she left the governorship.
In 1984 it s e emed to be understood by t.hese
appointees that they serve at t.he pleasure of the
17 Ca r l M. Brauer, "Presidential Transitions Ei s e nh owe r Through Reagan," Oxford University Press, 1986 , page 75.
79
Governor. Governor-elect Gardne r i nt ervi ewed
Gov e r nor Sp ellman 's a ppo i ntees and de termined whe t he r
he wanted t o keep t hem or not . However, t h i s c a n
lea d to misunde r s t a nd i ng as wel l . For i nstance , in
t he c a s e o f t he Lotte ry Director, the Gover nor - elect
gave the impression tha t he woul d be sta y i ng.
Howeve r , in between t he interview and i naugurat i on ,
my wi fe became the nominee of the Governor f o r
Di rec tor of the St ate Lottery.
How t h i s occurred is a mystery but I s uspect
that she had demonstr a ted such outstanding capabi l i
ties t hat the trans i t i on team thought she would be
perfect for the job a nd so the decis ion was made. It
jus t goe s to show that events in the transition t e am
itself can take prece de nce over init ial meetings
between the Gov e r nor- e l e c t and directors of the
fo rme r Governor.
In any event, t he Governor-elect must make his
or her choices for d irectors clear ~a r ly enough
during t r a ns iti on so that the new dir e c t or s c a n take
a dvant ag e of the knowledge of the former directors.
Finally , t he public employees must be persuaded
to support the Governor-elect's public policies
c onc e r ning t he d i r ection of the government, if it is
t o be a c h i eve d . In order to accomplish t ha t end, it
i s important t o have people at the higher echelons of
80
government who are experi e nc e d i n government a s
oppos ed to bus i ne s s beca use i t is they who know how
t o mov e t he gove r nment in t he direc t i on t he Gov e r nor
e l e c t wants t o take it, and j us t as i mpor tantly, they
know how to de l ay and postpone implementation of the
Gover nor ' s program.
THE LEGISLATURE
The first legi s lative session is a test o f the
t hor oughness of the Governor-elect's p r epa r a t ion.
The r e will normally be at least one and possibly two
committee weekends after the election and before the
i nauguration. The new Gove r nor ' s proposed legisla
t i on should be drafted and available for the members
to cons i de r at. these c ommi t t e e weekends.
If the Gove rnor-elect has a majority in the
Hous e o f Representatives and the Senate, then a
me e t i ng should be convened between the leade rship of
t he t wo houses and the Governor-elect to determine
t he a genda for the upcoming session. These t wo steps
could go a long way in helping the Legislature
appr ove t he Governor- elect' s program. It might be
pos s i b l e to pass the Governor-elect' s program in a
t i me l y fashion and adjourn the Legislature within the
cons t i t u t i ona l limit instead of not pas s ing the
81
Governor-elec t ' s program and e xt e nding t he l egis l a
t i v e s e s s i on into a s pe c i a l s ession .
THE BUDGET
On or before December 15 of each ev e n- number e d
year, the biennial budget is released by t he Of f i c e
o f Fina nc i a l Ma nageme nt (OFM). Obv i ou s l y , the
Gove r nor - e l e c t ' s direc t o r of 0FM should be appo int ed
by December 15 so t hat the new d irect or c an analy ze
a nd s uggest the necessary changes to t he bienn i a l
budget be i ng proposed by the ~utgoing Gov e r nor . If
t h is i s not accomplished by that time or p r e f e r ab l y
be f or e t ha t date, t hen t he Governor-elect i s limiti ng
h is or her ability to influence the budget during the
f irst t wo years o f their administration.
The problem c ould be eliminated by enabl ing the
newl y elected Governor t o submit his or her budg e t to
t he Legi s l atu r e a s opposed to hav i ng the out go i ng
Gove r nor' s budget, in essence, be the pla n o f
e xpe ndi t u r e s for the fi rst two ye a r s of t he new
a dmi n i s tra t ion . Anothe r way o f solving the p r ob l em
wou l d be to hav e the Governor-e l ect sworn into o f f i c e
a s hor t t ime afte r the elec t ion is cert i fied . Th i s
wa s suggested by Gov e r nor Ray and this aut hor thinks
i t make s s e ns e . I f t he Governor-elect were sworn in
e a r l i e r and the Legislature met later, t hen t he
82
e nt i r e budge t process could be change d t o allow t h e
incoming Gov e r nor t o submi t the bUdget instead o f t h e
outgo i ng Governor .
THE CONSTITUTION
The Constitution of the State of Washi ng t on
calls for the Legislature to meet early i n Janu a r y of
each odd-numbered year. It has been amended to a l low
the Legislature to meet in JaJ1Uary of each even
numbered year as well.
It seems to me that J a nu a r y is too e a r ly for t h e
Leg i s l a ture to meet in this day and age. The
e c onomi c forecasts are not available until about the
middle of March. Thus, the Legislature is required
t o spend essentially two months making decisions on
ot h e r issues that are not as essential as the budget
a nd necessary taxes t o support the adopted budget.
If ther e were a constitutional convention , t h e n the
i de a of allowing t he i ncoming Governor to submit his
or h e r budget to the Legislature could be
i ncorporated into the Constitution.
A constitutional convention could exami ne other
pu b l ic policy questions that need to be answered in
t he 1990 s and bey ond . Al though these questions do
not i nv o l v e trans ition directly, they do involve the
Gove r no r ' s abilit y to govern, which is an underlying
83
p r i nc i ple of tra nsition. The cons t i t utiona l f r ame
work is t he backdrop whic h frames the de c i s i ons the
Gove r nor-e l ect i s a l lowed to make. Governor Ray
i ndica t e d that t he e xe c ut ive branch of wash i ngton
sta t e . government i s fragmented. There are t oo many
statewide elected officials that hav e r e spons i b i l i
tie s tha t should be the responsibility o f the
Gov e r nor . There are t oo many boards and c ommi s s i ons
t ha t impede the ab i lit y of the Governor t o gove rn.
The Personnel Board is responsible for a pers onnel
s y s t em that is not responsive to the Governor .
The Transportation Commi s s i on is respons i ble for
a de par t me nt that is independent of the Governor .
The s e are merely two examples of the situation as
Gove r nor Ray found it i n 1977 . It i s essentially the
same t oday, and in fac t , may have gotten somewhat
wors e with the establ i s hment of additional boards and
c ommi s s i ons not responsible to the Governor.
As the transportation problem in the Puget Sound
r e g i on becomes worse in the 1990s, if a candidate for
Gov e r nor proposes to solve that problem by a
c ons t i tutional convention which would make the
department responsible to the Governor, then it has a
c ha nc e of being approved by the Legislature and the
pe op l e. without this kind of leadership on the part
o f the Governor and a dramatic problem perceived by
84
t he people , a c onstitutional convent i on wil l not be
conv e ned. I n 1967 a nd 1969 , Governor Eva ns p r opos e d
a c onstit u t i ona l conve nt ion and this author wa s one
of the sponsors of tha t leg i slation . There was not
enough support f o r t hat legislation t o eve n get out
o f the Senate constit utions and Elect i ons commi tte e .
This author is of the firm bel ief that a
c onst i t ut i ona l c onvention should be convened in order
to make the exe cutive branch of state gove r nment
r e sponsive to the Governor, thus enab l i ng t he
Governor t o solve the problems of society a t l a r g e .
TRANSITION SCHEDULE
The following ideal schedule of events is
divided into essential ly three phases: early ,
mi ddle , and late in t he period between the general
election and inauguration . It is offered merel y as a
gu i de to a new Governor who may not be familiar with
s t a t e government .
EARLY IN TRANSITION PERIOD
o Appoint transit ion staff on the model of future
Governor's o f f i c e
o Supe rvi s e campaign, wind-down activities
o Discuss with members of campaign staf f their
f utures
85
o Establish priorities, t ime tables and me t hod s
f or f Ul f i l l i ng c ampa ign p l e dge s
o App o i nt c o- c ha i r pe r s on s for the inaugur a t i on
o write f i r s t dra f t o f s t a t e of state address
o Move i nt o trans i t i on office in Ol ympia
o Decide on p r i orit i e s of persona l schedu le du r i ng
t r a nsiti on
o Cont a c t outgoing Governor to reque s t:
(1) Appointment of transition coordi na tor ;
(2 ) Directive to incumbent's staff on tra ns i
tion c oope r a t i on ;
( 3 ) Agreement on date for mov ing i nt o
Governor's mansion;
(4 ) Agreement on records retention;
(5) Agreement on staff support level for
outgoing Gov e rnor;
(6) Agreement on t h e cabinet nominees meeting
wi th outgc-ing Governor's cabinet counter
parts;
(7) Resignations of directors and deputy
directors ~f state agencies.
o Take a vacation
MIDWAY IN TRANSITION PERI OD
o Announce selection of Governor's staff
86
o I nt e rv i ew c ab i net nomi ne e s as they bec ome
ava i lable
o Announc e cabinet appo int e e s a s the select ions
are made
o Compl ete prelimi nary outline of the legislative
program and meet with legislative leaders on i t
o Convert legislative proposals into bills
o Assess information gathered on the b ienn ial
budget and outline tentative budget str a tegy
o Meet with cabinet nomin~es and expla i n expecta
tions
o Launch sear ch program for boards and commi s s ion
appointments
o Approve final inaugural plans
o Complete second draft of state of state address
LATE IN THE TRANSITION PERIOD
o Finalize biennial budget strategy and draft
rec omme nda tions
o Fina l i ze sta t e of state address
o Close trans i tion offices
o Move into Gov e r nor ' s office and mansion
87
X
PREPARI NG FOR THE GOVERNOR' S DEPARTURE
The first step that s hou l d be t a ke n by an
outgo i ng Gove r nor is to prepare the Governor ' s
r e c or ds for archiv ing . The records of the Governors
a r e mai ntained by the Office of State Archives unde r
t he d ire c t i on of the State Archivist , s i dney F .
McAlp i n , and the Ch i e f o f Archival Services , David W.
Ha s tings . I n Janua r y 1984 , the Washingt on St a t e
Ar c h i ves published Volume IV entitled, "Gu i de to the
Papers of the Governor of Washington Albert D,
R.:>sellini -- 1957-1964 . " This was the first volume
published for a Governor during our study per i.od .
Volume V, which will cove r the twelve years of
Governor Evans' administration, is in work.
The person assigned the task of preparing the
G ,,~vernor's archives should be a trained librarian.
The p roc e s s of sorting and labeling is a voluminous
process that requires a great deal of time and thus
s hou l d be started a s soon as possible. In fact,
i d e a l ly, s oon a fter taking office a Governor should
work with the State Archivist in establishing filing
systems and procedures for eventual disposition of
t he pape rs .
88
Pr e pa r a t i on f or a Gover nor's departure i s
diff i c ult be cause o f a lack o f resou r c e s to use f or
thi s pur pos e. It is more d i f f icult if i t i s not
vo lunt a r y . The s t a t e tends to hav e cons i de r ab l e
i nt e r est in the new Governor, staf f and administra
tion and basically ove rlooks what happens to t he
out going Gov e r nor , or how he or she should prepare to
leav e o f f i c e .
Ther e are a number o f reasons why t h is oc c ur s .
Fi r s t , the outgoing Gov e r nor is history a nd t he
Gov e rnor - e l e c t is t he futur e . Therefore , l itt le
attention is paid t o t he outgoing Governor. A second
reason is that the best t i me to p:copose and have
legisl ation passed on gubernatorial trans i t ion is at
t h e begi nn i ng of the new administration when the
problems of transition are most clearly in view .
Yet, t he next trans i t i on is a distant ev e nt and t he
immediate problems o f t he new administration are
uppermost . Therefore , a new Governor does not place
a high priority on an event that will take place four
years i n the future. A third reason is that the
out go i ng Governor has l i ttle clout to ferce consider
a t i on of the problems they are experiencing and how
t hey might be addressed in future transitions.
In any event , the former Governor has served the
s t a t e as the ch ief executive officer for at least
89
f our years . Therefore, it seems r e a s ona b l e tha t the
state s hou l d p r ov ide some resou r c e s to hand l e the
car r y - ov e r res ponsib i l i t i e s of the outgo i ng Gov e r nor .
The carr y - ov e r corr e s ponde nc e i s t he main i t em
of busine s s . The mos t pra c t i c a l way to handle this
bu r de n is to provide a budget fo r sec ret a r ial
s e rv i c e , telephones a nd office space. During our
s t udy pe r i od and, I am s u re throughout the histor y o f
our state, t hat has never occurred. Outgoing
Gov e r nors have had to fend for themselves a nd see k
outs i de he lp and f i na nc ia l assistance as t he y transit
out o f office and wind down the details and l oose
e nds o f their admi nistr a t i on.
The r e is l ittle that can be done by ot he r s to
he lp a n out go i ng Gover nor prepare for a new life.
But t ha t life wil l be much easier if there is proper
p lann i ng and ass i s tance f o r the winding down p r oces s .
I t seems to this author that adequate res ou r c e s
s hou l d be made ava ilab l e to the outgoing Governor to
wr a p up h i s or her official busine s s . Th i s would
he lp t he outgoing Gov e r nor to leave off i c e in an
orde rly and systematic way. An appropriat ion should
be i nc luded i n the budget to assist the transition of
t he Gov e r nor out o f office just as there is for the
t r a ns i t i on o f the Governor-elect into offic e.
90
The Nat i onal Governors Con f e r e nc e seems to
r e c ogn i ze t h i s need becaus e t hat organizat i on i s
p l a nning t o pUblis h a t r a ns i t i on i ng out gu i de l ine t o
a ss i s t outgo i ng Gove rnor s . Perhaps this sta t e wil l ,
i n the f utur e , i nc l ude an appropriat i on fo r thi s
purpos e . I hope s o .
91
EPJ;;LOGUE
The t i me between the general election a nd the
i na ugu r a t i on o f a newly e lect e d Governor i s short.
I n l e s s than thr e e mont hs , newl y elected Governors
prepa r e to assume the reins of government. I t is a
bri e f a nd unique time in which t o c ons ide r i n more
c onc r e t e and specific terms ::han is possible i n a
campaign what they want to accomplish and how a nd
wha t and with whom t hey hope t o a c c omp l i s h it.
Tr ansition is not a t i me of reflection, howeve r.
c rit i c a l decisions need to be made at a fast pace a nd
t he s e decisions affect the new administration for
some time.
The most crucial decisions made dur ing transi
tion are the selection of the cabinet and the
Gov e r nor ' s personal staff. Cabinet members make
rec omme nda t i ons but only the Governor can decide. A
f u r t he r complication is that any chief executive in
t he pub l.Lc sector f i nds .it difficult, if not
i mpos s i b l e , t o accept without seeking an independent
j Udgme nt , t he pr oduc t s and pro~osals of agency
d i r e c t o r s whose r esponsibilities for the most part do
not require them to look at the Governor's adminis
t r a tion and his or her problems as a whole . Thus,
t he need for a personal staff exists.
92
The pe r s ona l s t a ff of t he Gov e r nor has grown
dur i ng t he l a s t t h i r t y years and has always
r ep r e s e nt e d the personal ne e ds of t he Gov e r nor .
The ir purpose ha s bee n and i s to s ummarize and
a na l y ze . t hos e p r oduct s and proposals for t he
Gov e r nor; t o r e s o l v e the conflicting v i ews o f the
vari ous state agencies; and to define the issues that
hav e to be decided. This is accomplishe d by p l a c i ng
t he Gov e r nor ' s pers onal imprint on t hos e de c i s ion
options and to make c e r t a i n that pract i cal political
fac t s a r e never overlooked and to enable the Gov e r nor
t o make these decis i ons utilizing the fu l l range cf
the Governor's considerations and constituencies,
whic h few, if a ny , cabinet members share.
The Governor's s t a f f are the eyes and ears of
t he Gov e r nor. They perform any number of f unc t i ons
on t he Governor' s behalf . These functions range from
tal king with legislators, state employee s , news
peopl e , experts, lobbyists and agency direc t ors to
servi ng on interagency task forces and chairing
l e g is l a t i v e strategy sessions of agency personnel
du r ing the legislat ive sessions . They review
p r opos al s and draft language for speeches ; att empt to
s pot p r ob l ems before they become crises and screen
sugges t ions for executive request legislation. They
dra f t executive orders; interview people be ing
93
cons i de r ed for appointment by the Gover nor; bear the
Gov e r nor ' s me s s a ge s; look out for his or her
i nt e r e s t s; car r y out h i s or he r orders; a nd make sure
the Gove r nor' s decisions a r e c a r r i e d out.
The essenc e o f being Governor i s mak i ng
de c isions. Dur i ng t he trans ition per i od , Gove r nors
ne e d t o de t e r mi ne their priorities; how t he y p r efer
t o ma ke decis ions; a nd determine ways and means o f
bu i lding on their strengths and c ompe ns a t ing f or
the i r weaknesses so a s to preserve t he i r power to
i mp l eme nt their de c i s i ons . Trans i tions are a t ime o f
e xt reme optimism in the Governor-elect's orga n i za
tion . After all, they have jus t won the h ighest
political prize in the state and i t is diff i cul t for
them to foresee any prob l ems that they can 't solve .
r t is precisely this ove r - opt i mi s m that the Gov e r nor
e l ect must gua r d aga i ns t .
There are a numb e r of ways of guarding against
t h i s over-optimism. One o f these methods wou l d be to
have a candid discussion with their predecessors
about l e s s ons they learned during their term of
o f f ice . Admittedly, this is difficult i f the
Gov e r nor and Governor-elect opposed each other in the
campa ign. But it is worth the effort on the part of
t he Governor-elect to initiate this kind of discus
sion i f at all possible.
94
Governors-elect need to be hone s t wit h pros pec
tive age nc y di r e c t or s a bout their expectations . If
t h ey i nt e nd to r e empha s i ze a part icular agency, the n
t he y need to be str aight f orward with the prospective
a ge ncy d i rector. On t he other hand, if t h ey i nt e nd
t o b e their own economic developme nt ch i e f , it wou ld
be prude nt for t he Governor-elect t o inf orm p r os pec
t i ve appointees of their intentions and to h av e
c a r e f u l discussions a b ou t precisely what tha t mea ns ,
i n terms of the prospective appointee's e xpec tations .
Tr a n s i t i on planning has become more e l abor a t e in
t he sta t e of Washing t on, thanks in part to the
f und i ng and res ources provided to the Governor-elect
by t he state Legisla t ure. Rosellini and Evans ran
l e a n operations compared with those of Spellman and
Ga r dne r . It is also clear that the most effective
t r a n s i t ions have had clear lines of authority
ema na t i ng from the future Governor's trans ition chief
who be c ame the Governor's chief of staff. It might
b e useful t o convene a conference of former Governors
to determine what additional institational; fi.nancial
and informati.onal resources t.hey couLd have used to
i mprov e their own transitions.
Most of the f ive Governors and their top aides
during the last t h i r t y years would most likely agree
that finding the r ight people and matching t~ose
95
p e op l e to the right job is the mos t difficul t t a s k
during t r ans i t i ons. Al l exempt pos i t i ons t he or eti
c a l l y must be approv e d by the Gove r nor ' s office.
Howev e r , in pra c t i c e , t h i s s ystem has sel dom been
implemented to t he f ul les t extent poss i b l e. That i s
t o s a y that the Governor's office has not domi na t ed
t he selection process for sub-cabinet p os i t i ons . The
best pos s i ble res u l t is to find t he mos t qua l i f i ed
and c ompe t e nt people who are t r u l y ded i c a t e d to
pUbl i c service. Th i s is indeed d i f ficul t , but
essential if . t he admi n istration is going t o be
s uc ces s f u l .
Career publ i c employees should not be overlooked
i n t he personnel select ion process. Career employees
want to participate i n the excitement o f a new
admi n istration. It i s these people that will
ultima t e l y have to i mp l eme nt the admin i s tration 's
pUblic policy i n itia t i v es. Therefor e, it i s a good
idea to establish effective working relationships
with career civil servants. There is no be t t e r way
of i nc l ud i ng them i n the transition by c onsidering
them for the t op exempt positions in each a g ency and
s o l i cit i ng their ideas on how to best implement the
Governor - e l e c t ' s ideas.
Al though all newl y elected Governors corne to
o f f i c e with new ideas for changing pubLic policy ,
96
t he s e i de a s a r e not always adopte d . Ther e a r e a
numbe r o f c ons t r a i nt s to a c t ual shifts i n pubL d.c
pol icy , the p r i nc i pa l one s bei ng the Legisla ture and
pUblic opinion . I n orde r to change exis ting
s t r uc t u r es or c rea t e new programs , Governors must
per suade the cit i ze ns and lead t he Le g i s lature .
Thu s , as numerous writers have d i s cu s s e d ove r the
years and as ou r five Governors have no doubt
determi ne d , gubernatJrial power i s mostly a n oppor
t un i t y t o persuade.
The initial months as Governor a r e a r i ch
opportunity t o exerc ise that power . If i t is not
nu r t u r e d and e xercised with great skill , t he oppor
t un ity will be missed and some fut ure Governor will
seize t he challenge . Finally , we need t o remember
that all Governors, be c aus e they are people and t hus
f a l lible , make mi s t akes . The question i s does the
Gove r nor l e arn from t hese mistakes? If Gov e r nor s
h av e the capacity to learn from t he ir mi sta kes, then
he o r she c a n s til l hav e a successful term of o f f i c e .
97
APPENDICES
98
GUBERNATORI AL TRANS IT ION
STATE OF WASHINGTON
1956 - 1986
by
Lawrence J. Faulk
Questionnaire Utilized In
An Applications Project submitted to the Faculty of
The Evergreen State College in partial
f u lfillment of the requirements for the degree of
Master of Public Administration
May, 1987
APPENDIX I
QUESTIONNAI RE
The pu r po s e of this quest ionnaire i s to determine if thes e a c t i ons happened duri ng your involvement in Gubernator i al Trans i t i ons . If so, is the i ndi cated time frame correct? The answers wi l l he lp me in analyzing Gub e r na t o r i a l Transitions in the State of Wa s h i ng t on from 1956 - 19 8 6 .
pay 1 (the day after election)
Ac c e p t e d call from outgoing governor; asked fo r co ope r a t i on a nd name of incumbent's transition coord i na t o r and plann ed mee t ing with governor after vacation.
De s i gna t e d inaugural coordinator and gave broad gu i de l i ne s r e gar d i ng desired to ne of i na ugu r a l .
Me t with campa ign manager and discussed campaign wi nd down , f i na nc i a l reporting procedures, office closing, et cetera.
Appointed transition coordinator and met with h im to review transition checklist:
Established overa ll ground rules for use of governor-elect's time. Made final plans for meeting with outgoing governor and advance meeting between incumben~ and new governor's transition coordinators. Reviewed genera l ly transition office activities. Established ground rules for personnel screening. Discussed initial press announcement and designation of media contact.
Wrote letters of congratulations/condolences to ot her st a tewide candidates on governor's ticket and to leg isla tiv e candidates ..
Made final vacation plans.
Confirmed attendance at Seminar for New Governors.
2
WEEK l:
Too k a family va cati o n .
Discussed family arrangemen ts. Read "Transition and (he New Gover no r: A Cr it i ca l Ov e r v i ew and Governing the American State s : " A Handbook f o r New Governors. Had family review "Transition and the New Go ve r no r and Governing the American States",
Bega n to focus on key goals of the new adm inistra t i o n .
Began consideration of the style and tone of the i naugural ad d r e s s .
I n new governor's absence, the transit ion coordina t o r:
Established transition office internal procedur~5l tv de3l with correspondence, telephone calls, and constituent requests. Developed ties with outgoing gove r no r ' s off ice. Est a b1 ish e d pro c ed u res for e xecut i ve bra nc h r e c r u i tme n t and screening. Designated clerica l staf f pas i t i o ns in the new governor's office. Arranged necessary meetings for governor-elect. Establishad relations with state patrol f o r new governor's secu r ity provisions and the state emer gency management/disaster services agency relative t I) the governor's emergency management role.
3
WEEK 2:
At ten de d Seminar fo~ New Gover nors.
Upo n r e t u r n to s tate met with:
Outside adv isers , Key legislators who supported new gove r nor's candidacy.
Dis c ussed and decided on organization of governor 's office.
Selected and designHted chief of s t a f f / e xe c u t i ve assistant. Appointed and announced ~ress secretary. Directed office procedures manual to be written .
Met with incumbent governor and spouse to discuss :
,Fami l y arrangements. Ground rules for new governor's involvement in i nc umbe nt governor's budget process. Outgoing governor's cooperation i n arranging brief in gs on potential crises or emergencies. Outgoing governor's transiti on activities.
Wi th the assistance of the chief of staff/executive assistant, considered p r ime c a nd i da t e s for the ma jor departments:
Office of Financial Management (OFM) Ecology Social and Health Services Trade and Economic Development
Discussed with executive assistant the process for de partme n t head appointments, including;
Developing profiles of desirable qualities f o r each major department director. Developing recruitment strategy.
Governor and transition coordinator met witn high-~evel par ty o f f i c i a l s to determine ground rules for solicitation of c a ndi da t e s through the party structure for appointments.
4
WEEK 3:
App r oved or disapp r oved recommendations oy chief of staff for a ppoi n t me n t of remain ing governor's office staff, including:
Legal couns e l . Legislative lia ison. Scheduling assistant. Assistant for boards and commissions. Intergovernmental relations courdinator. Constituent services assistant, Chief of Policy
I n t e r v i ewe d candidates; selected and announced the a ppo i n t me n t of major department directors.
I ns t r ue ted chi e f 0 f pol icy t 0 de vel 0 pal i s t p r omi s e s and overview of critical issues.
0 f c ampa i g n
Bega n budget i nc l ud i ng :
process by receiving fiscal overview briefing,
Revenue estimates. Expenditure projections. Potential balances or deficits. Other bUdget problems. Status of state bonded indebtedness.
Made decisions on budget governor's involvement in~
ground rules, including level of
Revenue estimations. Review of "big t icket" items. Agency budget reviews. Procedures for agency appeals. Capital expenditures.
De velo ped legislative review guidelines.
Me t wit hieg i s 1a t i vel i a i son t 0 dis c u s ssehe d u 1e for meet i ng wi t h legislative leaders and o ther potential legisl a ti ve al lies.
Obtained complete list of all board and commission appo intments and developed process for screening candidat es.
5
WEEK 4:
Di s cussed and decid e d on or ganization of cabinet:
Reviewed a ppo i n t me n t s to be made and i de n t ified candidates for priority appoinments. Scheduled interviews with potentia l ca b i ne t o f f icer s and d i s c us s e d governor's office and ca b i net r e l a t i on s .
Re v i ewed list of c ampa ign promises and cr i t i ca l issues i de n t i f i e d by chief o f policy.
I s s ue d new adm inistration's budget guidelines or p r e f e r e nc e s .
Directed schedu ling assistant to deve l op a six-month st r a t eg i c schedule based on new governor's pr i o r i t ies .
Ma de initial decisions on areas of reallocati ons in t he b udg e t to reflect campaign priorities and admi ni s t r a t i on go~l s .
6
WEEK 5:
Met with legi s l ative l ea de r s to discuss:
Legislative org a n izat ion . Fiscal outlook. I de a s for legislative program.
Communicated top three to five priorities t o chie f o f s t a f f , di r e c t o r of OFM and chief of policy.
Me t with the press and informally discuss e d as s e ssme n t (or r ea s s e s sme n t ) of the fiscal condition of the s tate .
Comm issioned the first draft of the inaugural address .
Be ga n a~pointing and announcing other cabinet po s t s to r e f l e c t priorities.
As a courtesy, telephoned current governor to d is c us s st at us o f his transition activities and offer assist~nce.
Re v i ewe d , signed ar.d submitted to the pUblic di s cl osure c omm i s s i o n the final campa ign expenditure/income report.
7
WEEK 6-8 (concluding with the week of the New Year ) :
Conve ne d budget b r i e f i ng sessions with agencies conc e r ne d wi t h major pri or i t y is s ue s .
Comp l e t e d preliminary bUdget decis ions f o r a ll agencies .
Commissioned the first draft of th e bUdge t me s sage and "budg e t in brief h document.
De s i gna t e d agency liaisons.
Instructed legal counsel to review and r e por t on s t a nd i ng executive orders.
Established procedures and, where necessary , appointed in terim/acting agency heads.
Completed legislative package.
Completed budget preparation.
Completed final touches on inaugural address.
Received briefing on overall inau gural activities.
Completed legislative proposal tracking and review process an d discussed veto gu idelines.
Commissioned the first draft of the state of the 3tate message.
8
WE EKS 9-16 (the legislative session):
Received oat h o f o f f ic e and gave inaugural address.
Ga ve state of the sta t e message and budget message .
Submi t t e d budget and le g i s l a t i ve package t o t he legi s l a t u r e .
Ma na ged the legislati ve program, incl uding:
Continuing to build relat ionships with leg i s l a t o r s and interest groups. Monitoring agency legislation. Implementing strategies for agency and i n ter est group lobbying.
Sc he du l ed public appearances to promote l eg i s l a tiv e p r og r am.
9
WEEK 16 a nd Bey ond :
Exami ned s tat us 0 f 0 ng0 i ng pro grams , e s pecia 1 I yin pri o r i t y areas .
*Evaluated pr iority program status.
Est a b lis hed p 1" 0 gram prio r i tie s for e xecut i ve b r a nchagen c i e s and developed management guidelines, f o r example ;
Rewa r d innovative management practies.
Evaluated executive branch organization/reorganizat i on .
Directed trend/iss ues analysis.
Reviewed legislative actions and sign/veto procedures:
Made public announcements explaining vetoes.
Reviewed effectiveness of the operation of policy development and bUdget process.
Re v i s ed and refined the bUdget and policy proces s and structure.
I n itiated development of plans for the comi ng year 's legislative program. (Even year session)
-After t he close of the legislative session.
10
CH ECKLIST OF ITEMS TO BE DISCUSSED AT GOVER NORELECT'S FIRST MEETING WITH TRA NSITION COORDI NATOR
(the da y al ter the elect ion an d pr ior to an y vacation or attendance at the Sem inar for New Covc rnors)
Winding Down the Campaign - Delegation of respon sibilit ies for closing dow n activities - Brid ove rview of fina ncia l report ing req u irements and fina l re
porting date s -Initial d iscu ssion of the role of forme r camp aig n staffers in bo th
transition efforts and upcoming ad minist ratio n Note: Campaign manager sh ould attend thi s pa rt of the meeting.
Planning for the Inaugu ra I -Appointment of inaug u ra l coo rdi nator -Initial d iscu ssion of s ty le of opera tion (commi ttees /individ ua ls,
finances, activi ties, pol itical par ty /campaign commi ttee invo lvernen t)
--Dis ( us~io n (If preferen ces of hoVl'rn or -l'lt'd and spollse
Use of Governor-elect 's Personal Time -Discu ssion of major activ ities to involve governor-elect following
vacation and atte nda nce at the Sem inar for New Governors - Establis hment of ground rules re lative to meetings involvin g and
no t involving governor-elect
Plans for Meeting w ith Outgoing Governor - Discussion of ~etails so meetin g can be cord ial and mean ingful
Transition Office Activit ies -Overview of tran sit ion office bu dge t -Over view of transi tion office activi ties -Discussio n of campa ign wo rkers w ho wi ll work in tran sition - Ini tia l di scu ssions on procedures for budget and legislative pack
age de velopment and cabine t recru itment -Est abl ishment of procedures for governor's off ice recru itment
Initial Pres s Announcement -Discu ssion of contents of firs t post-electio n press announceme n t.
and way it w ill be re leased
Final Discuss ion Hems - Comp let ion of vacat ion plans - Con i irmation of attendance at National Governors' Associat ion
Sem ina r for New Governors
11
APPENDIX II
flz'Oc.. T·/)'()~:,\. .-..4- '::"
WASHINGTOU STATE GOVERNOR'S TRANSITION PL'\N
ResDonsibility
. Assemble Transition Team JIJS - Identify Chief Staff Personnel JLH/SE - Arrange Space and Organize J1£1/S£ - Identify Support Personnel SE - Establish Correspondence Control SE/CS
1. Establish Liaison \.;/Governor Ray's Office and Identify JU1/SE
- Office Layout JLM Staffing and Salaries JU1 Transition Budget JUI Boards and Commissions CS/?,R
Basis in Law CSjRR Appointing Authority cs/anVacancies CS/RRPending Confirmations JUI
Identify Critical Issues JDS/ JU1/SE
- Revenue/Expenditures WH Cowlitz River Basin Flooding JLH/SE Recruitment of Department Heads (DSHS; L&I ; ES; DOE; Personnel Board; National Guard) JDS/ JU1/ JH Pending Appointment to Utility & Trans. Commission Buard JDS/ lUI! JW
. Implement Issue Task Force s -TDS/JLH . A. Identi fy Pr i nci p l e I s s ue s
- Budget ~'[H
- Personnel .n·l/ RH./CS- Affirmative Action .nJ - Energy AT - DSHS* CH - ES (CET1\) ~': JLM - Higher Education JU1 - Community Colleges JUi
Primary-Seccndary Education (SPI) JU1 - Pri~ons (~cNei1 Island) JLM(Robinson) - Ecology (Planning) JUI(Rahm)
B. Prepare John D. SpelJman Briefing JU1
C. Prepare Governor's Office Background Book JLl1
APPENDIX III
2L L '
Due Da t e
11/05/ 80
11/ 08/ 80 11/ 07/80 11/ 10 / 80 11 /21 /80
11/ 07/ 80
11 / 07/ 80 11 /0 7/8 0 11/ 12 /8 C, 11/ 07 / 80 11/ 24/ 80 11/ 24/ 80 11/ 24/ 80 11 / 07/ 80
Continui r.g
12 / 31/ 80 1 / 07/ 81
12i 31/ 80
12/ 23/ 80
1.1 / 08 / 80 11 /1 1/ 80 11/ 04/ 80 11/ 21 / 80 11 / 10/ 80 11/ 28/ 30 11/ 28 / 80 11 / 28/ 80 11/ 28/80 11/ 10/ 80 11/07/80
12/ 19/ 80
12/19/80
ll)
Responsib ili t y Due Date
V. Arrange Priority Appointments JDS/JU1/SE/BS 11 / 24 / 80
- Governor Ray JDS/JU1/BS 11 / 0 7/ 80 Repub lican Elected Officials JDS/JLH/BS 11 / 10/ 80
- Democrat i c Elected Officials JDS/JU!/BS 11/ 24/80 Legis l ative Leadership JDS/JLM/BS 11/1 0/ 80 Dep,ar tmen t Heads JDS/JLM/BS 11/24/ 80 Others JDS/JLH/BS
n. Assess Fiscal Si t ua t i on JDS/~m
- Meet with John D. Spellman for direction HH 11 / 16/8 0 - Review Revenue Projections vlH 12/ 01/ 80 - Rev i ew FY '81-'83 Prelim. Appro. Requests HH 12 / 01/ 80 - Meet w/Counci1 of Economic Advisors JDS/UH 12/ 01/ 80 - ~!ect ,.J / S;:a t e Ec cn ora i c Task Forces \.T!-i 12 /01/ 80 - PreDa ~e Prelim i ~ ary Reco nmendacions JDS/\JH 12 / 31/ 80 - Review w/John D. Spellman \JH/ JLM 1 / 02/ 81 - Prepare Draft Bud~~t Actions & ~essage VlH/ J11'1 1 / 07/ 81
II. Organize New Governor t s Office JDS/J1M/SE 12/ 20/ 80
- Ident ify Principal Management Issues JDS/JUI 11/28/3 0 Ident ify Key Fositions JLH/SE 11/ 28/ 80 Ident ify Potential Appointees JDS/ JL11 11 / 28/80 Ident ify Potential Holdover JDS/JLM/SE 11/ 28/ 80 Review Office Space JLE/SE/BS 12/0'5 / S0 Review Office Functions SE/BS 12/05 /8 0
II. Organize Sta te Government JDS/ JU1/ JH 12/2 0/ 80
- Ident ify All Exemot Positions Jl-l/RR 12/ 05 / 80 Ident ify & Eva]uare Current Appointees JLM/SE/JH/RR 11/28/ 80 Ident ify Potentials Positions for Replacement JDS/ JUI/JH 12/ 07/ 80 Recruit Candidates and Appoj.nt J'i.J /:{R 1/ 14/ 31 Notify Current Gffice Holders JDS/JH 1 / 02 / S ~_ Revi 2w ? c~~i~; A? ~ o i ~ te~s & V~ c 3 n c i e s o ~ Boards & Co~issions JDS/ JU1/ JH 11/2(~/(Jj
Lden t i .f y those to be Hi t hd r awn JDS/ JUI 12/15 / 30 Identify Replacements JDS! JU1/ JI1 12/15 / 80 Prepare Letters tCI the Senate JDS!JH 1/07 / 31
:X. Prepare Messages t c the Legis la ture JDS 1/ 13/ 81 - Inaugural Address JDS / JL"1/HH 1/ 13/ 31 - Budge t Message JDS/WH: · 1/ 07 / 81 - State-of-the-State JCS/JLH 1/02/ 81 - Appointment Messages JDS/JW 1/31/31 - Others
\ ..J /
Responsibi li t y Due Da t e
X. Prepare Inaugt~ration Pl an
- Identify Liaison to City of Olympia - Respond to Offers of Support - Ident i f y Inaugural I s sues - Prepar e I naugur a l Plan
LH:b 1/ 19/ 80
JDS/ SE
Bill J acobs Bill J acobs
BJ/lLH/SE Bl/SE
11 /2 3/80 . .
11 / 28/ 80 12/ 05/3 0 12/ 05/ 80 12/ 07/ 80
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STATE OF WASHINGTON OFFiCe: 0" Trt!:. GOViORNOR
OLYMPIA
DIXY LEE RAY GOVERNOR EO 77- 2
E X E CUI I VEe R D E R
STATE EXP~~ITL~ REDUCTION
WdEREAS. It is the explicit intention of the Legislature , as express ed in Section 194 of Chapter 269, Washington Laws, 1975, Fi r s t Extraordinary Session, to limit fluctuations in biennial spending patterns which tend to inflate the final cur r en t level base and,
WHEREAS, I am currently reviewir.g agency budget requests in relation to the c~rrent level bese ~xpenditures, for purposes of presenting a comprehensive budget proposal for the 1977-1979 Biennium to the current session of the Legislature;
NOW, THEREFORE, I, Dixy Lee Ray. Governor of the State of Washington, by virtue of the po\~er vested in me by RCW 43.88 do establish an expenditure control progra~. This program applies to all executive branch agencies, and is designed to preclude instances of abnormal expenditure patterns occurring near the close of the current bie~~iU$.
This program will take effect imm~diately this 27th day of January 1977 and extend through the period ending June 30, 1977. The following ad~nistrative measures are hereby established to effect this expenditure control program:
1. Lapsing of Unexpended Balances -- The Budget Director shall lepse t o reserve any unexpended or unobligated balance existing on December 31 , 1976 in each eppropriation made for operations for the current biennium. He shall effect similar lapsing to reserve of unexpended balances at the close of each r~maining month of the bienniwn.
2. Staffing -- Agency directors are instructed to fill no new positions, or positions vacated during the period of effectivity of t his Orde~. Exceptions to this directive will be granted only for critical or emergent situations fer which there is clear evidence that compliance with this directive could be aetriffiental to the public being served or the cest inte~est of the state. Directors, or their designees, fro~ the following agencies, r epre~enting their respective personnel jurisdictions shall c ompose a co~ittee to be chai=ed by the Budget Director to establish criteria and propose procedures for the granting of
APPENDIX IV
I ,
exceptions to this directive: the De?ar tment of Personnel, the Higher Education Personnel Board, the '{as hi ngton State Patrol, and the Council for Postsecondary Educa tion. Criteria and procedures developed by this commi t tee shall be approved bi the IP '
Governor prior to i~plementation.
3. Consulting Services -- No further personal. service coritcac t s subject to the filing requi rements of RCW 39.29.010, shall be obligated without the explicit, prier review and approval of the Budget Director. Such review and approval shall place primary er:!phasis on assuring that such personal services are consistent with needs of the benefiting ?rogram and with legislative intent . It shall further assure that the specific perso~al services a r e not being sought as a means of circ'..illIVenting the staffing dir ective of this Order.
4. Overtime - Agency directors are instructed tc reduce wherever possible the use of overt iDe and other premium pay and t o avo id the use of these compensations as a means of circumvent ing the staffing directive of this Order.
5 . Procurement of EgTJipr.;ent. SUDDlies. and Haterials - The Purchasing Division of the Depart~ent of General Administration and the procurement agencies of the higher education institutions are directed to ~onitor all purchasing actions for the"remainder of the biennium. No stockpiling of materials or supplies above normal levels or abnocmal increases in equipment purchases beyond what is essential for norillal operations is to be approved.
6. Travel - All travel by state employees is hereby limited to that ~hich is critically necessary to carry out state programs. No tr1ps are to be taken for the purpose of attending confer2nces, convent ions, or training prograws unless the attendee is a formal paIt of the program delivering an address or is a convention o f f i.c LaI whos e attendance is mandatory. Emphasis on travel reciuction will be placed on both in and out-af-state travel.
7. A~p}i~~~i~i~y - The d~ectives of this Order are equally applicable to all executive branch agencies, except those headed by elected officials, in~smuch as such exception to the allotment and reserve procedure is established by RC'ioi' 43.88.110. They also apply to all funding sources subject ~o allotment procedures.
.. .. EO 77-2- .
~, "'\ .
IN WITNESS WHEREOF, I have hereunto set my hand an d caused the seal of the State of \.J'ashington to be affixed at Olympia this 27th day of January A.D., nineteen hundred and seventy-seven.
Governor of wa ~ngto n
BY THE GOVERNOR:
4 ;:tp~ Secretary oi--State
TRANSITION STAFF GOVERNOR-ELECT SPELLMAN
Commerce & Economic Development Building 312 - 1st Avenue Nor th
Seattle, Washi ngt on 98109 206 -464-6244
M E M 0 RAN DUM
DATE: November 13, 1980
TO: Paul Bender
FROM: J. L. McGavick
RE: Transition Budget
We believe a transition budget of $84,163.40 is required to e f f ec t i v e l y implement the new Governor's budget; including$10 , 000 to fund a necessary analysis of the Cowlitz River Basin Emer gency . The balance 't'1ill be used to finance staff support t o ensure effective takeover of the government January 14, 1981.
The transition costs breakdown as follows:·
Staff salaries, including benefits $54,161. 00
Tr avel 8,002.40 Consultan t s 12,000.00 Office overhead 10,000.00
TOTAL $84, 163.40
The attached detail contracts set forth the scope of work to be undertaken by t he Transition Staff plus two consultants retained t o support special purpose analyses.
We appreciate your support of our efforts to make an effective transition of ,governments.
J. L. McGavick Steve Excell
APPENDIX V
J LM :b At t achmen t s
J OHN D. SPELLMAN - TRANSITION BUDGET
ub t o t e L 'RAVEL EXPENSE: .. Mr . Spellman f ar e - Gov's. Conf. New Gov. Briefing $ 328.70 Mr. Excell f ar e _ II \i 328.70II II It
Regi s t r a t i on fee - Mr. Exce11 100 . 00
Transfer cost & baggage handling 70.00
'~ansition Team Auto Expense: ul ympia @140 mi~ @l8.5¢=$25.90/trip x 250 trips 6,!~ 75 . 00
Overnight expense - Olympia - 10 days @ $35/room 350.00 10 days @$35/diem 350.00
Consul t an t - Cowlitz Co. Disaster @$30/hour 10,000.00
Space , Utiliti es, Facilities
POSITION SAL..J\RY DURATION SUBTOTAL TOTAL (Per Month) (Honths )
ec . Assistant $ 4,000 . 2.1 $ 8,400 .
~af f Assis t an t 3 , 000 2.1 6, 300
'taf f Assistant 3,000 2.1 6,300
Itaf f Assistant 3,000 2.1 6 , 300
. R. Officer 2,500 2.1 5 , 250
,orrespond . Coord . 2,000 2.1 4, 200
lac/Off i ce Manager 1,746 2.1 3, 667
udge t Coord. 1,660 2.1 3,486
-ue Coordinator 1,660 2.1 3,486
;!cr e t ar y 1,320 2.1 ! 2,772
I2.0ncer n 500 1,000
ntern 500 2.0 1,000
t ern 500 2.0 1,000
~tern 500 2.0 1,000
$ 54,161.00
$ 30,002. 40
$ 84 ,163 . 40
Consultant - Energy Policy 2, 000 .. 00
Subtotal
,..\!)~L
PRESENTATION TO READI NG COMMITTEE
June 4, 19 87
By
Lawrence J. Faulk
INTRODUCTION
This project is entitled "Gubernato r i a l
Transition in the state of Washington f r om 1956
1986." "Transition," for terms of this thesis , mea ns
the time between election and inaugurati on. The
reason this proj ect 'wa s selected was to determi ne if
transition of future Governors could be carried out
more effectively. It is such an important period of
time for the Governor-elect and his or her staff
because the decisions made during this period impact
the incoming administration for some time.
BACKGROUND
There were eight transitions from 1956-1986 and
five Governors. Fi.ve of the eight transitions were
s t udie d , because these five (1956, 1964, 1976, 1980
a nd 1984) involved non-incumbent Governors. There
fore, they were the transitions where start-up
problems would be experienced. The five Governors
wer e Rosellini Evans, Ray, Spellman and Gardner.1
Governor Ray and Chiefs of Staff Warren Bishcp and
1.
APPENDIX VI
Jim Dolliver were interviewed a nd a quest i onnai r e wa s
completed by staff members associated wit h the
transit ions of Governors Rosellini, Evans, Spellman
and Gardner. What foll ows is a summary of the major
lessons learned during this project.
DECISION-MAKING STYLE
The most successful of these five t r a ns i t ions
were 1956 (Rosellini) and 1964 (Evans). They wer e
successful because (1) these Governors-elect unde r
stood politics, the Legislature and state government ;
(2 ) they both picked transition directors who could
speak for the Governor-elect and who became their
chiefs of staff; and (3) this decision was made known
during the transition period. Finally, these
transitions had relatively few people involved in the
decision-making processes.
These two Governors were effective because they
det ermined pUblic policy and handled legislative
liaison themselves rather than delegat ing that
respons i b i l i t y to staff people. Finally, these t wo
Gov e r nor s had served in the Legislature for extended
periods of time and thus had a personal relationship
with legislators which made it easier for them to
personally persuade legislators to support their
pr ograms. This personal relationship i s a key
2
ingredient in enabling a Gove rnor to have his or he r
programs pass e d by t h e Leg i s l a t u r e .
TRANSITION FUNDING
The appropriation by the Legislature to fund
transition efforts by incoming Gov e r nor s has r a sen
from zero in 1956 to $100,000 in 1988. Thus, t here
is now no shortage of funds for the incoming
Governor. In fact, I am not sure there's not too
much money available because it leads to a l a r ger
number of people being involved in transition whi ch ,
I believe, makes transitions and ultimately the
Governor's office less effective. However, there are
no funds appropriated for the outgoing Governor, and
I think this should be accomplished.
CABINET APPOINTMENTS
These appointments need to be handled properly
if the new Governor is to have a successful start-up
during transition. The Governor-elect must determine
who will stay and who will go from the old adminis
tration, as well as who will replace the departing
people. These decisions must be made early enough in
the transition for the Governor-elect's appointees to
ge t a handle on their responsibilities so they are
3
p r epa r e d to implement the Gove r nor ' s policies on
inauguration day.
Problems created by choices made during transi
tion and left unresolved cause problems for new
administrations . If these unresolved problems become
t oo severe~ they can cause the incumbent to lose the
ree lec t i on campaign .
SCHEDULE
The Governor's calendar should be kept
relatively free to: (1) concentrate on selecting the
major appointees; (2) develop the Governor-elec~'s
program; (3) prepare his or her version of the
budget; and (4) turn those decisions into bills for
t he Legislature to consider.
CONS'I'ITUTIONAL REFORM
It is clear that our State Constitution should
be revised through the calling of a constitutional
convention. The convention could change the time
whe n the Legislature meets, thus changing the budget
cyc le and allowing the Governor-elect to submit his
or her budget to the Legislature rather than the
outgoing Governor. The same result could be achieved
by having the Governor-elect sworn in as soon as the
e l e c t i on is certified, as Governor Ray suggested.
4
The convention could also eliminate many o f t he
elected officials in the executive branch of the
government, resulting i n the Governor-elect being
responsible for the executive branch of government,
in fact as well as name.
CRITIQUE
If one were to redo this pro ject , the word
"transition" could be enlarged to include the f i r s t
six months of the Governor-elect 's term . A c h apter
on the sub j ect of "power " could also be included
because the use of power by the Governor is a key
ingredient to being an effective Governor. Richard
Neustadt in his book entitled, Presidential Power,
wrote: "The search for personal influence is at the
center of the job of president."
Another chapter on "leadership" could be added.
James MacGregor Burns in his book entitled,
Leadership, quoted Franklin D. Roosevelt, who said:
"The presidency is . . . preeminently a place of moral leadership. All our great presidents were leaders of thought at times when certain historic ideas in the life of the nation had to be clarified. ... That is what the office i s -- a superb opportunity for reapplying, applying in new conditions, the simple rules of human conduct to which we always go back. without leadership alert and sensitive to change, we are bogged up or lose our way."
So it is with the Governor. Those Governors
t hat underst and these principles will be succe s s f u l .
Those tha t do not grasp them will have a difficult
t i me making a diff erence .
6
BIBLIOGRAPHY
An onymous; " Gub e r nato r i a l Transition in t h e s t a t e s," state Gov ernment Administration ( De c e mbe r 1968) .
Arkansas Legis lati v e Cou n c i l; Pre-inaugural staff , Office and Ot h e r Allowances for Gov e r n o r s in Arkansas and Various states. Little Rock , Arkansas, the Le g i s l a t i v e council , 1971 .
Bey l e , Thad L.; Wi c kma n , John E . ; "Guber na tor i a l Transit i on i n a One-party Setting . " Pub l i c Administration Review (January/Februar y 19 70).
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