Tools and Techniques of
Effective Governors
May 2010
Contact: Nikki Guilford, 202/624-5422
Management Brief
Government Leadership and Management
Over the past several years, the National Governors Association Office of Management
Consulting and Training (OMCT) has conducted considerable research and produced resources
regarding the organization and operation of the governor’s office. More recently, OMCT has
focused its attention on examining the governor’s role in leadership and management of state
government. As this work progressed, it became clear that the tools available to governors to
help them effectively lead and manage state government should be fully understood by those who
seek to be governor or those who play important roles in the governor’s office.
This management brief is intended to provide a brief overview of the primary tools available to
governors. The tools include:
 Accessing Information;
 Setting Priorities;
 The Governor’s Staff;
 Selecting Key Personnel;
 Allocating Fiscal Resources; and
 Using the ―Bully Pulpit.‖
Operating in the Public Eye
―Know the rules. Know the players. Know the field of play.‖
In considering how to best use these tools, it is important to understand that a governor’s role is
unique. While a new governor can bring fresh perspectives and important skills from his or her
experience in other venues such as business, politics, advocacy, law or academia, not all of the
lessons learned in those venues will be transferrable to the governor’s office. The governor is
expected to lead and manage government within a complex system of constitutional and statutory
constraints, supplemented by the demands and expectations of tradition. A CEO in business or the
non-profit sector will likely have broad and independent authority around critical issues such as
budgeting, personnel and procurement. A governor’s authority in these areas will likely be more
limited. A business CEO will usually exercise more control over his board of directors than a
governor can exercise over an independent legislature. A legislator, an academic or an advocate
can focus on broad policy issues with little immediate concern for the mechanics of
implementation. A governor must see that his or her policies are not only adopted, but that they
are implemented in an effective and efficient manner. Individuals outside the executive branch
can point fingers and raise questions. Their role is often to hold others accountable. In most
cases, it is the governor who will be accountable in the public’s eye and who must realize that,
indeed, ―the buck stops here.‖
While many officials in business and politics struggle for media attention, governors receive
constant media attention. All of the governor’s actions, professional and personal, will be subject
to intense public scrutiny. A recent review of news headlines should provide powerful evidence
that nothing is likely to remain secret in the face of a 24-hour news cycle. Unfortunately, this
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media scrutiny may also extend to a governor’s family, which means additional measures are
often necessary to protect their privacy.
Numerous official bodies – auditors, legislative committees, federal agencies, attorneys general –
review and report on a governor’s performance and those of his or her departments and agencies.
Some of the issues raised will be important and will demand attention and response. Others may
be less important, but often force a governor to divert time and resources from established
priorities. As with the media, the operating assumption is that problems cannot be hidden, at least
not permanently.
Increasingly the governor’s discretion is limited by a growing body of federal requirements, rules
and regulations. Governors need to pay close attention to developments at the federal level and
may need to play a much more active role in trying to shape and modify federal statutes and
regulations. Similarly, the courts are playing a more active role in the implementation of state
government programs and services. In a number of states, key programs and services operate
under a consent decree that may significantly limit the governor’s authority to set priorities or
reshape programs.
In addition, a governor’s options are apt to be limited by demographic and economic conditions.
Changes in the number of school-aged children, increases in the number of elderly residents,
immigration trends, etc., can significantly impact the volume and type of services that a state
must provide. Recessions and economic downturns may have a negative impact on state
revenues and good economic times may generate unrealistic demands for service. International
competition may impact employment, and emergencies and scandals often require attention that
will divert focus from established priorities.
While the specifics vary from state to state and from time to time, the successful governor will
quickly develop a clear understanding of the context in which he or she must operate. This
should begin with a clear understanding of the state constitution and state statutes. It should
include an understanding of the traditional interactions between the governor and key
stakeholders such as the legislature and state employees. In many cases, a new governor benefits
from an environmental scan conducted during the transition that will identify problems and issues
within individual departments and agencies.
Accessing Information
―Knowledge is power. Identify, cultivate and use information resources.‖
A governor has access to an overwhelming amount of demographic and programmatic
information. State agencies collect and report a seemingly endless supply of statistics, and
benchmarking data is available from numerous sources. There is a growing body of research that
provides the foundation for evidence-based decisions, and there are countless individuals and
organizations that stand ready to provide access to what they see as best practices. The
governor’s challenge is to create a systematic approach to identifying, collecting, organizing and
analyzing the available information so it can be used effectively to:
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Accurately describe the characteristics of a problem or issue;
Support evidence-based decision making; and
Monitor the implementation of priorities and/or the ongoing operations of state
government departments and agencies.
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All too often, government proposes solutions without a clear understanding of the cause and
nature of a problem. In many cases, what ―everyone knows‖ may not be true. Similarly,
government often endorses ―solutions‖ without empirical evidence that those solutions have
proven successful or without an understanding of the underlying conditions that contributed to
success in other jurisdictions.
The transition period between election and inauguration provides an excellent opportunity to
review operations of major departments and agencies and to identify issues that will need to be
addressed. In many states, the governor-elect will use the transition as an opportunity to convene
transition teams to collect and analyze this information.
Once in office, a new governor should focus attention on understanding and using the data that is
available from state departments and agencies on an ongoing basis. Unfortunately, much of this
data is collected and reported but often goes unused. This data can help explain what it is that
government does and who it serves. However, the most valuable data addresses the outcomes
that government produces. Collecting and analyzing data on these performance measures is the
focus of many management improvement efforts and can be a powerful tool in assuring that there
is a clear focus on established priorities.
In considering performance measures, it is useful to understand the performance measurement
systems that may already be in place and to consider building on that base rather than establishing
new performance management systems. The success of any system depends on the willingness of
a bureaucracy to collect and report accurate information. In too many instances that is undercut
by the failure to sustain any system past a single administration. At a minimum, it is helpful to put
any new system in a historical context and demonstrate how proposing a new system builds on
systems that have been or are already in use.
Second, it is often helpful to begin small. Focus on those measures that are most important.
While comprehensive systems can be of great value, their implementation is often difficult and
time consuming.
Third, measurement, while helpful, is not enough. While it is probably true that ―what gets
measured gets done,‖ performance measurement is most effective when it is combined with a
system of performance management, a system that identifies problems and works to develop
solutions to those problems. In a growing number of states, the governor and the governor’s staff
are actively participating in such a performance management system. Two examples are
Washington’s GMAP and Maryland’s StateStat.
To be most effective, the governor will also need to ensure that his or her department and agency
heads also focus on evidence and data driven management.
The governor’s access to information, however, goes well beyond the state’s official sources.
The governor has access to organizations such as the National Governor Association Center for
Best Practices, the Council of State Governments, regional governors’ associations, and the
Republican Governors Association and Democratic Governors Association to learn about
successful practices in other states and to draw on the experience and expertise of his or her peers.
The public policy and advocacy communities often bring valuable information to the table and
can be the source of promising practices and research-based evidence about program
effectiveness.
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The federal government also offers access to multiple sources of technical assistance and collects
vast amounts of information that can provide valuable benchmarks for individual states.
In addition, a governor and his or her staff interact regularly with constituents and a variety of
other stakeholders. These interactions provide a very personal perspective on what works and
what does not.
Finally, governors are bombarded by a vast array of information and receive criticism from
citizens and the media. Government operations and decisions are reviewed by an endless number
of oversight entities including state auditors, legislative oversight committees, federal auditors,
and the attorney general. While it is often necessary to react, it is also important to listen.
A significant amount of information will be presented to the governor. However, the most useful
information will likely be that which the governor seeks on a proactive basis. The use of this
information as a tool will depend on the ability of a governor to select and have staff that
recognizes the value of this information and will aggressively seek and evaluate it.
The governor’s access to information goes beyond its value in developing programs and policies
and managing the executive branch. It is useful to recognize that access to information can be of
great value as you consider the use of the ―bully pulpit.‖ It also conveys an implied responsibility
for accurate dissemination of information. Data needs to be shared with those that are affected by
the state and its programs on a daily basis.
Setting Priorities
―Success requires focus and concentration.‖
Governors bring two critical resources to the table: time and political capital. Because these
resources are limited, it is important for a governor to carefully prioritize the use of both. In
doing so, it is important to realize that the priorities a governor sets must include personal time, as
well as time for governing.
One of the most powerful tools for governors is the ability to establish priorities for their
administrations. In most states, these priorities will focus on policy changes, usually in the form
of new programs or major modifications of existing programs. They may be as broad as
improving education and promoting economic growth or as specific as a change in the formula
for local government assistance or the construction of a new state facility. In some states, the
governor’s priorities may also include management initiatives to improve customer service or
improve the economy and efficiency of government operations.
The competition to be selected as a gubernatorial priority can be intense. Every stakeholder feels
slighted if his program or initiative does not make its way into the state of the state address. At
the biennial National Governors Association Seminar for New Governors (SNG) one consistent
lesson is the importance of limiting the governor’s priorities. Most governors serving on the SNG
faculty recommend that new governors select no more than three to five priorities. A longer list
tends to dilute public and legislative attention and may overtax the governor’s limited political
capital.
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The governor’s staff will play a key role in ensuring that the priority setting process is well
informed and that options and proposals are evidence-based and have been vetted with
department and agency personnel, as well as key stakeholders.
In addition to focusing the work of the governor’s staff, the governor’s priorities help the
department and agency heads who report to the governor establish their missions and priorities.
In a number of states, departments and agencies are challenged to examine and prioritize their
own programs and services to contribute to the achievement of the governor’s priorities.
Establishing a list of gubernatorial priorities does not mean that those priorities are the only
activities that will receive attention and resources. The state budget provides means to ensure
attention to a broader range of issues. In addition, department and agency heads will establish
priorities of their own that will require little gubernatorial involvement or investment.
Public communication of priorities is important. The governor’s bully pulpit provides numerous
opportunities to communicate priorities both formally and informally. Formal mechanisms
include the governor’s state of the state message, the executive budget and the governor’s
legislative program. In addition, the governor has many less formal opportunities to articulate
and promote his or her priorities through speeches and other public appearances.
Another important lesson communicated at the Seminar for New Governors is the importance of
controlling the governor’s message and schedule. While every governor is faced with a list of
―must do‖ events, each governor also has a considerable degree of flexibility in accepting or
creating invitations that will place him or her in front of key audiences. Moreover, the governor
can generally use any appearance to spend some time discussing and promoting his or her
priorities.
The establishment of priorities provides an important opportunity to build connections with the
legislature and key interest groups and constituencies. It also provides the opportunity to build a
team mentality among the department and agency heads. In both cases, the opportunity to suggest
and evaluate alternatives can be important.
Finally, internal communications are critical. The governor’s appointees best serve the governor
when they possess a clear understanding of the governor’s priorities and how they are expected to
contribute to achieving these goals. Cabinet meetings, sub-cabinet meetings, and one-on-one
meetings with the governor can be powerful tools in this communications process.
The Governor’s Staff
―You are only as good as your staff. Loyalty is important. Competency is critical.‖
The governor’s personal staff is a primary tool for interacting with the executive branch, the
legislature, the media and a wide variety of stakeholders. In every state, the governor has a
considerable degree of flexibility in determining the organization and structure of the governor’s
office and defining the ways staff will function. The governor also has broad flexibility in
selecting the members of his or her staff.
The selection of a chief of staff is one of the most important decisions.
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While loyalty, political skills and trust are important requirements for this position, it is also
important that the individual have a strong understanding of state government and the skills
needed to manage both the governor’s staff and to oversee the management of a large and
complex government structure.
In most governors’ offices, the staff will perform a variety of functions, including:
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Policy development;
Agency liaison;
Legislative relations;
Legal counsel;
Appointments;
Scheduling;
Correspondence and constituent services;
Media relations; and in some cases,
Project management.
In most states, the governor has designated a chief of staff to manage and coordinate these
functional areas and, in many cases, to serve as the governor’s surrogate.
Beyond determining the structure of the governor’s office, the governor needs to make two
critical decisions. Specifically:
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How to interact with his or her staff; and
How to interact with his or her appointees?
Governors’ management styles vary considerably. Some governors prefer to interact with a
number of senior advisors on an ad hoc basis. Others prefer for the chief of staff to coordinate the
flow of advice and information. Some governors like to receive information orally and make
decisions in meetings and other settings. Other governors prefer written briefings and decision
memos and prefer to make decisions in a more private setting. There is no best answer. The
challenge is to be clear and consistent.
When a governor is open to direct interaction with a variety of players, a key challenge is to
ensure that all critical decisions are well staffed.
Governors also vary considerably as to the level of detail with which they wish to be involved.
Some prefer to deal almost exclusively with big picture items while others may want to get
involved in the details of program design or implementation. For most governors, the level of
involvement may vary from issue to issue depending on the importance of the issue, as well as
individual expertise and interest.
Governors also have numerous options for interacting with their appointees who are running
departments and agencies. In some states, the governor relies on these appointees almost
exclusively and interacts with them individually as needed. In other states, the governor relies on
his or her staff to monitor agency activities on an ongoing basis. The governor’s willingness to
address and define the nature of this interaction may be critical to his or her success and the
success of appointees.
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The most successful governor will often seek to focus on building and maintaining a team
approach both in the operation of the governor’s office itself and between the governor’s office
and department and agency heads. The team concept is enhanced when all the players understand
their roles and the roles of others on the team. It is critical for agency heads to be included in the
decision making process. It is also critical for governors’ staff who serve as liaisons with
department heads to possess a basic understanding of what agencies can and cannot do.
Conversely, it is important that agency heads practice political sensitivity and keep focused on the
governor’s priorities and not become captives of their agencies or constituencies. The complexity
of state government and the relatively small size of the governor’s office suggest that the key is
the appointment of department and agency leadership that the governor trusts, who share a
commitment to the governor’s priorities and who have the political and management skills
needed to succeed.
The greatest challenge a governor’s administration will likely face is maintaining effective
internal and external communications. Staff and agency heads will often compete to have access
to the governor and may treat information as the currency that will gain them that access. It is
critical that a governor makes clear that information is to be shared if he or she is to avoid making
decisions without receiving the broader input needed. It is also important that the governor (or
the chief of staff) conveys priorities, assignments and expectations clearly and that staff and
appointees are given clear feedback regarding their performance.
Selecting Key Personnel
―Your appointees will be your primary strength and greatest vulnerability.‖
The department and agency heads that the governor appoints will be crucial to the governor’s
success. They play an important role in developing the governor’s priorities and will often be
responsible for the successful implementation of those priorities. More importantly, they will be
responsible for detecting and responding to operational problems and issues within their authority
that threaten the governor’s credibility, re-election potential or legacy. Most governors can
survive the loss of a specific priority, but they are less likely to survive a major ethics scandal, a
major service snafu or an inadequate response to a natural disaster or other emergency.
Many governors’ appointments will be determined, at least initially, during the transition period.
Most transitions will develop a specific procedure for soliciting and processing applicant
resumes. This process will likely be supplemented by one or more high level staff members
specifically charged with screening potential candidates for higher level positions. In many
cases, this staff will be supplemented or assisted by volunteers specifically charged with
personnel responsibilities or by the team responsible for reviewing individual agencies or
program areas.
Once in office, the governor will likely rely on his chief of staff or other senior advisors to seek
and evaluate candidates as vacancies develop. In some states, an appointments staff may assist in
recruiting for high level positions, as well as appointments to boards and commissions. Make
certain to provide adequate attention to the selection process. During the process, in addition to
the list of positions that must be filled, the nature of the tasks that will be assigned to each
position should receive equal attention. While the political component of the appointment process
is acceptable and important, one should also be certain that the appointees have the skills needed
to succeed in a management position.
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It has been suggested that the successful management of a state department or agency requires
three critical positions:
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Leader;
Manager; and
Navigator.
The first two are self-explanatory and may often be found without reference to the candidate’s
experience in state government. The third requires a clear understanding of the mission,
environment, and operational capacity of state government, often of a specific agency. Only in
rare instances can one individual or position combine all three functions. It may be helpful to
think about selecting a team of two or three individuals who together incorporate the necessary
skills.
The selection process works best when it is viewed as building a team. This requires a clear
understanding of the governor’s objectives and priorities for any given agency and an
understanding of how appointees are to interact with the governor and the governor’s staff
members. Loyalty and trust are important but they should not be obtained at the cost of
competency.
The selection of key appointees presents both an opportunity and a risk. In the short term, that
risk relates primarily to issues of ethics and conflicts of interest. Many governors give early
attention to articulating an ethics policy for their staff and appointees. This may often go beyond
the requirements set forth in state law. In addition, governors will need to give specific attention
to developing a screening process that will serve to uncover ethical issues or conflicts in the
backgrounds of potential employees. In most states, both the governor-elect and the governor
will have access to an official agency that can do formal background checks. However, these
formal checks will also need to be supplemented by careful reference checks and detailed preappointment interviews. Experiences in numerous states suggest that these screening tools need to
be applied to ALL appointees. Without a thorough vetting process, a governor can be
embarrassed by newly discovered issues related to individuals whom they have known or who
have been in the public eye for years.
Allocating Fiscal Resources
―Dollars signal priorities. In a time of fiscal crisis, old programs
will need to make room for new.‖
In most states, the governor is able to influence or decide the allocation of state resources through
a combination of an executive budget and the ability to veto budget or appropriation bills. Even in
those states where these powers may be limited, the governor will usually be able to play a major
role in the allocation of resources.
The governor’s role in preparing and approving the executive budget offers three important tools.
An appropriation request can:
 Send clear signals as to the governor’s priorities;
 Provide the resources needed to accomplish those priorities; and
 Provide useful bargaining chips in working with legislators and important stakeholders.
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Historically, governors have been able to fund new initiatives and priorities from the annual
growth in state revenues. Unfortunately, this option will be extremely limited or unavailable in
most states over the next several years. While state revenues will eventually begin to grow, the
recovery will be slow and revenues are not projected to reach pre-recession levels for several
years. In addition, federal mandates, matching requirements, and grant conditions—especially in
big ticket areas such as health care and education—will require the commitment of much of the
available growth.
As a result, governors will increasingly be forced to look at reducing existing expenditures or the
rate of growth in existing programs to free up resources for new innovations or initiatives.
Unfortunately, most stakeholders and interest groups tend to use the level of appropriations as the
scorecard by which they judge the support and commitment of the governor. The governor can
consider a number of options under these conditions to minimize uncontrolled growth and to
develop public support for more creative strategies.
The process might begin with asking a single question each time the governor is told that any
expenditure is mandatory. That question is: Why? Department and agency heads should be able
to provide clear documentation for any mandatory request. In many cases, what may initially
appear to be mandates may not prove to be so, and some mandatory expenditures may be
attempts to respond to or avoid potential federal audit exceptions or criticism. In some cases, the
costs of preventive activities may exceed any potential losses or benefits.
Quite possibly the easiest approach is to focus attention on improving the economy and efficiency
of existing programs. Toward these ends, governors have used a variety of tools, including:
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Enterprise Solutions – initiatives designed to break down the silos in administrative or
management systems to reduce duplication or obtain savings through the economy of
scale.
Government Reorganization – efforts to reduce duplication and overhead costs through
the elimination or consolidation of administrative structures
Economy and Efficiency Reviews – comprehensive reviews of government operations,
often with private sector involvement, to identify opportunities for savings
Reduction of Fraud and Abuse – focused efforts to identify and eliminate fraud and abuse
in government programs, with a major emphasis on medical payments and program
eligibility
Shared Services – opportunities to reduce costs by identifying cross-agency and crossjurisdiction opportunities to share services. (See the Minnesota Wisconsin Shared
Services Project.)
Employee Involvement and Empowerment – agency- or government-wide initiatives that
focus internal attention on potential improvements.
A second approach is to begin a formal process of evaluating and prioritizing the services that are
provided or funded by state government. In many states, the focus has been on across the board
expenditure reductions rather than a more targeted approach to reducing or eliminating programs.
A formal process of articulating goals and priorities then evaluating programs and services
according to their ability to help achieve those goals and priorities can be a powerful tool in
helping legislators and the public reach a rational decision as to what programs may no longer be
justifiable in terms of existing resource limitations.
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It is often informational to review the original purpose of programs and services. In many cases,
these factors are no longer relevant. This may be particularly true for outdated regulatory
programs, including a number of boards and commissions.
The third approach is a conscious effort to redefine the scorecard to try to focus public and
stakeholder attention on outcomes rather than on inputs. Like a review of expenditure priorities,
this begins with an effort to articulate clear goals and objectives for major programs and
expenditure areas. It includes the development of a set of simple measures to evaluate progress
toward those goals and a willingness to modify programs and strategies that do not appear to be
working. Because of the complexity of state government, it will often be most productive to limit
this effort, at least initially, to a small number of programs or objectives.
All efforts to reduce or reallocate government resources will likely come with a political cost. As
a result, one of the most important decisions a governor must make is whether those costs are
acceptable. It makes little sense to expend very limited political capital on initiatives that will
have little fiscal or program impact.
In addition, it is important to realize that while savings do not necessarily have to lead to a
reduction in services, they will require reductions in personnel, facilities and purchasing.
Moreover, the realization of actual savings will likely require an investment of time and resources
for overseeing the implementation of agreed upon changes. Like the implementation of new
programs or priorities, savings are not automatic.
While it is true that many potential areas for savings will be small, they can do much to both
demonstrate a commitment to the process itself and to improve public support for the state
programs and services that continue.
The governor’s budget office in most states provides the vehicle for collecting and analyzing the
information needed for budget development.
Using the Bully Pulpit
―Craft your message. Develop a communications strategy. Stick to it.‖
Governors are in an ideal position to communicate their concerns and priorities to a wide range of
audiences. The so-called ―bully pulpit‖ can encompass a range of formal and informal tools. The
formal tools include official communications such as the state-of-the-state message, the budget
message and official testimony before the state legislature. Less formal tools include: meetings
with key stakeholders; press conferences and press releases; appearances and speeches; the
governor’s website; and correspondence and constituent services.
Generally speaking, the ―bully pulpit‖ is used to focus public attention on an issue and the
governor’s proposed solution to that issue or to mobilize public support for action on the
governor’s proposal.
There are at least two important components when considering the use of the ―bully pulpit:‖
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Defining the message, and
Creating a strategic approach.
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The governor’s priorities will define the message in most cases. However, it is equally important
to focus on creating a strategic approach to communicating that message. The governor’s
schedule can provide a powerful tool as governors are almost always welcome to speak at almost
any gathering. Similarly, the governor usually has considerable flexibility in what to emphasize
during a speech. Because of the importance of the governor’s time, the scheduling team will often
involve several members of the governor’s senior staff, including the chief of staff, the
communications director and others.
Department and agency heads can broaden and amplify the governor’s message once it has been
clearly defined and communicated to them.
The ―bully pulpit‖ is also a powerful educational tool. The governor can play a major role in
creating public awareness and engaging the public in efforts to address critical issues such as
conservation, childhood obesity, reducing drug abuse and smoking and more.
The governor can also play a critical role in reshaping public expectations about the role of
government and the capacity to make large changes quickly. This will require a real effort to
improve public awareness about the role of state government and tough choices in times of fiscal
retrenchment.
Conclusion
Governors have access to an overwhelming amount of information. Make certain that the
governor’s staff understands the availability and importance of such information and that it is
collecting, analyzing and using that information on a regular basis. Remember that the governor
also brings important information to the decision making process.
The governor’s staff will be critical to his or her success. Select them carefully. Make sure they
focus on what is important, and insist that they work as a team.
The governor’s appointments to department and agency leadership will also be critical to his or
her success. Make certain appointees understand their responsibilities and the skills they will
need to succeed. Define gubernatorial priorities and expectations; provide access to the governor;
and hold them accountable.
Allocate limited state dollars to the governor’s priorities. With lower revenues and growing
demands, the governor will need to make hard choices. New initiatives and new priorities will
require the reallocation of resources and may require the reduction or elimination of prior state
programs. Make the tough choices. Try to redefine the scorecard to focus on the effectiveness of
services provided to key constituencies, not just the dollars appropriated.
Your ―bully pulpit‖ can move mountains, even legislators and bureaucrats. Keep the message
focused to manage public expectations.
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Additional Information
The NGA Office of Management Consulting & Training (OMCT) provides governors, chiefs of
staff and governors’ staff members with valuable resources and management services on the
leadership and management of state government and organizing and operating the governor’s
office. Many OMCT publications are accessible online at www.nga.org/omct.
This NGA management brief was written by Barry Van Lare, Senior Advisor, NGA Office of
Management Consulting & Training. For more information on OMCT services and publications,
please contact Nikki Guilford, Director of OMCT (202/624-5422; [email protected]).
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