GUIDING PRINCIPLES
FOR
BUILDING COLLABORATIVE PARTNERSHIPS
BETWEEN
GOVERNMENT AND PHILANTHROPY
Report and Case Studies
March 2012
Philanthropy Consulting Service
Marion Webster and Trudy Wyse
PO Box 1011
Collingwood Victoria 3066
Australia
ABN 57 967 620 066
T. +61 3 9412 0412
F. +61 3 9415 7429
E. consulting@communityfoundation.org.au
W. www.communityfoundation.org.au
1.
Background to the Project
The Office for the Community Sector (OCS) within the Department of Planning and
Community Development (DPCD) was established to support and build the capacity of
community sector organisations so that they can be sustainable into the future.
In 2009 the OCS set up the Philanthropy and Government Working Group to explore
broad avenues for collaboration between philanthropy and government, with the aim of
maximising the impact of government and philanthropic work and spending on the
community sector.
The Working Group has co-ordinated a series of events and briefings aimed at developing a
mutual understanding of government processes, the philanthropic climate in Victoria and
ways of engaging philanthropy in government work.
In May 2011, a discussion paper entitled Guiding Principles for Building Collaborative
Relationships between Philanthropy and Government was developed by the Working Group.
The paper aims to highlight some common elements of successful collaborations between
government and philanthropic grant makers. It outlines a set of draft principles which could
guide a constructive collaborative approach between philanthropy and government
grantmakers wanting to work together to support projects with community and not for profit
organisations.
The Australian Community Foundation’s Consulting Service was contracted to continue this
work by assessing the value and relevance of the guiding principles against four selected
initiatives being undertaken by not-for-profit (NFP) organisations and supported by
government and philanthropy.
The four case studies include:

Strengthening Social Cohesion in Hume City - Supporting Parents Developing Children
Project

Loddon Mallee government and philanthropic partnership (Robinvale component)

Children’s Protection Society – Early Years Education Research Program

White Lion - Youth Mentoring Program
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It became clear during the consultation phase of the contracted work that projects which are
supported by both government and philanthropy sit on a continuum of engagement, as is
outlined in greater detail in sections 3 and 4.1 of this report. The Working Group has agreed
on a specific definition of a collaboration (see section 4.1, page 7) which does not
necessarily apply to all of the four case studies. The discussion in this report, therefore,
focuses on what constitutes a collaborative partnership, as opposed to much looser
arrangements in which a project may be supported by philanthropy and government, but
without a formalised relationship to guide the project’s development.
The following sections of this report include a summary of local and international material of
government philanthropy collaborative partnerships, general findings and observations on
effective collaboration based on the documentation of the four case studies,
recommendations re changes and additions to the draft guiding principles and an outline of
each of the four case studies.
2.
Project Methodology
The Working Group nominated the 4 case studies to provide a variety of different types of
arrangements and relationships that can exist between philanthropy, government and NFP
organisations supporting a common project. At least one of the Working Group members
was a partner in each of the case studies.
A lead agency was identified for each case study and as part of this role, they provided
background information and co-ordinated the involvement of the other partners in the
project.
The four lead agencies completed an initial questionnaire which provided information about
the nature of the cross sectoral relationships and the extent to which the draft guiding
principles were reflected in, and relevant to, the development and implementation of the
partnership arrangements to date.
This was followed by a group discussion with each of the case studies and involved some or
all of the partner organisations. This discussion further explored the background to, and
implementation of, the arrangement, from the different participants’ perspectives. Each of
the draft principles was raised in the context of the project’s development, and the
usefulness of the principles for guiding the development of effective collaborative
partnerships was explored by the groups.
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The information and analysis provided through the questionnaires and discussions formed
the basis of the case studies and recommended changes and additions to the guiding
principles.
3.
Government Philanthropic Collaborative Partnerships - A Summary of
Local and International material
'In the USA, Henry Ford once said, “Coming together is a beginning. Keeping together is
progress. Working together is success.” The philanthropic sector’s relationship with the
public sector is best described as mixed and uneven. While governments can hinder a
foundation's mission, they also offer the potential to further the mission beyond what the
foundation could accomplish by itself'.
The Council on Foundations USA
In the UK, this view has been echoed. 'For all the talk about public-private partnerships
these days, the relationship between government and philanthropy remains awkward and
incomplete. They are usually portrayed as opposites- two sides of a coin at best, adversaries
at worst.'
Macdonald and Szanto 2007 235-6
A scan of local and overseas material that looks at the role of government – philanthropic
collaborations/partnerships tends to reflect the same “mixed and uneven” relationships.
At the same time it is being increasingly recognised that the issues communities are
currently facing are extremely complex, can be chronic and severe and spill over sectoral
boundaries. The traditional silo approach where different sectors and agencies (government,
philanthropy, corporations, community) respond in isolation and solely according to their own
agendas and priorities is ineffective and limiting. There is a general acknowledgement in the
literature that by leveraging the work of the government and philanthropic sectors, the reach
of both philanthropy and government’s intellectual and financial capital and the scope of their
successes can be broadened to achieve greater positive social change. The literature also
recognises that good cross sectoral partnerships bring much more than financial resources,
and can lead to a much better understanding and a redefining of the relationships and
strategies, of both sectors which will hopefully lead to more sustainable change.
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In both the USA and the UK considerable work has been undertaken to build and share
knowledge about the opportunities and learnings about government – philanthropic
partnerships. In the USA this has been done through the establishment of the Public –
Philanthropic Partnership Initiative at the Council on Foundations.
The program aims to:

serve as the facilitator and go-to source for public-philanthropic partnerships;

catalogue current opportunities and develop tools and resources to enable
foundations to successfully partner with government;

generate timely analysis and commentary to increase awareness and understanding
among the foundation community and the government about all aspects of public
philanthropic partnerships.
It also provides a number of examples of successful partnerships.
In the UK the Intelligent Funding Forum commissioned Dr Diana Leat to undertake a study:
More than Money: The potential of cross sector relationships
This comprehensive paper explores the varied ways funders from different sectors
(government, business and philanthropy) are currently working together, how these
relationships work in practice and the opportunities for clear collaboration in the future.
The paper, while not listing a set of principles, does identify a number of “relationship
ingredients” necessary to establish successful cross sectoral relationships. These include:
-
understanding what are the key drivers for the different sectors, as well as each other’s
needs and constraints
-
respect and trust for each other’s skills and knowledge, and understanding how these
can add value to each other’s work. It is also about acknowledging that it takes time and
patience to build trust
-
shared vision and focus. This may not mean that all members to the relationship share
exactly the same goals, but that they share at least one goal on which they are jointly
focused for the purposes of the work being undertaken
-
clarity about boundaries, roles and structures, but with the acknowledgement that it is not
always possible to know how things will develop
-
time commitment, which is dependent on the type of relationship. The associated time
costs are then assessed on the benefits derived from the relationship.
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A number of Victorian resources are available to assist organisations wishing to engage in
cross sectoral partnerships. The Department of Planning and Community Development has
produced a very comprehensive document Working in Partnership: Practical advice for
running effective partnerships (Jeanette Pope 2008).
This practical “how to” guide contains a number of detailed case studies and outlines five
key factors for effective partnerships. These are:
-
a good broker/facilitator to build relationships
-
the right decision makers at the table with a commitment to contribute
-
a clear vision and objectives
-
good processes
-
ongoing motivation through evaluation and champions.
Although not specifically focused on government – philanthropy partnerships, VicHealth has
developed the Partnerships Analysis Tool, a resource for establishing, developing and
maintaining partnerships for health promotion. The aim of this tool is to help organisations
reflect on the partnerships they have established and monitor and maximise their
effectiveness. Our Community has also developed a range of resource material on
community- business partnerships. Both resources contain some good and relevant
information.
The Department of Human Services (DHS) has also had a long-standing and well developed
approach to partnership and collaboration with the community sector. A formal partnership
between the independent health, housing and community sector and the Department of
Human Services has been in place since 2002 and is reviewed and re-signed every three
years.
A practical guide, the Collaboration and Consultation Protocol, was developed in 2004 to
advance the way parties to the Partnership Agreement collaborate and consult in order to
plan and deliver high quality services to the people of Victoria. The protocol is a guide and
reference tool to promote partnerships through different stages of the process and outlines a
shared approach to policy development processes, planning and service delivery. It also
acknowledges the responsibilities and constraints faced by the Department and the sector
when engaged in collaboration.
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Building on the work of DHS, the Department of Education and Early Childhood
Development (DEECD) has also written a framework for collaboration and consultation, titled
DEECD – Victorian Community Sector Collaboration and Consultation Framework.
This comprehensive publication resulted from the development of a DEECD – Victorian
Council of Social Services Partnership Agreement 2010-2014, which itself came about in
response to the recognition of the importance of partnerships between the Department and
the diverse mix of community sector organisations with differing interests, mandates and
governance structures.
The development of the Framework also provides a platform for both the Department
and community sector to include collaboration and consultation within strategic planning and
corporate strategies, which will build on existing practice.
The publication contains information on what it is that constitutes effective collaborations and
consultations and covers the benefits, challenges and enablers. It also provides information
on some practical steps and mechanisms that could be helpful in establishing them.
What is common to all the material referred to here is the recognition that a cross sectoral
partnership can take many forms and that each relationship sits somewhere on a continuum
in terms of the level and degree of engagement. They may range from a loose networking
arrangement through to a highly structured collaboration. These are described differently,
but can be categorised broadly as follows:
Networking involves the exchange of information for mutual benefit. This requires little time
and trust between partners and will most likely involve talking, sharing knowledge and
learning.
Coordinating involves exchanging information and altering activities of each organisation
for a common purpose. This may involve developing a coordinated campaign to lobby for
better services
Cooperating involves exchanging information, altering activities for a common purpose and
sharing resources. It requires a significant amount of time, a level of trust between partners,
and an ability for agencies to share turf. This often involves independent co-funding by each
organisation, rather than contributing to a common pool.
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Collaborating includes enhancing the capacity of the other partners for mutual benefit and a
common purpose. Collaborating requires the partners to give up a part of their turf to another
agency to create a better or more seamless service system.
This will involve high levels of trust, and will include complementary resourcing, collaboration
in all aspects of planning, governance, implementation and evaluation.
In addition, from his experience of working with the Helen Macpherson Smith Trust and ANZ
Trustees, Chris Wootton, a member of the Working Group, has developed a visual
representation of the possible Models of Engagement between government, philanthropy
and the not-for-profit sector. This is outlined in Appendix 1.
Links to the international and local material referred to in this section can be found at
Appendix 2.
4.
General comments and learnings from the Collaboration Project
4.1
The nature of collaborations
As identified in the scan of international and local material, cross sectoral partnerships
between government, philanthropic and not for profit organisations can take many forms,
and each sits somewhere on a continuum in terms of the level and degree of engagement.
At one end there can be a loose networking arrangement, at the other a fully developed
collaboration, which is a far more formalised and structured arrangement.
During the research phase of this project it became clear that the four case studies sit along
this continuum, and are not all collaborations.
Following discussion of the issues raised by the analysis of the case studies, the
Working Group agreed on the following definition of a collaboration:
A cross sector collaboration is a deliberate, structured arrangement which brings
together each sector’s intellectual, organisational and financial capital to meet agreed
goals. It involves joint planning, resourcing, governing and monitoring.
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Based on this definition, the Children’s Protection Society (CPS) and Whitelion projects do
not fit into the category of collaboration. While both projects do involve government,
philanthropy and the NFP organisation, there is no structured arrangement between
government and philanthropy, rather the government and philanthropic partners have their
own discrete relationships with the NFP organisation. Both projects were initiated by their
organisations in response to a need they had identified in the areas in which they operate
and the potential funding partners were then sought.
In the case of CPS, following several years of in depth research, the organisation developed
a project to provide early learning interventions for at risk children and their families. With a
clear project plan in place and with clarity about the mission, vision, roles and priorities of the
project, CPS engaged their funding partners. While all funders have worked closely with
CPS and have developed trust, the relationship has been one that has involved independent
co-funding rather than a collaboration which, from the inception of an idea, brought CPS,
philanthropic funders and government together to jointly address an identified issue.
Similarly, in the case of Whitelion, the Mentoring Program already existed prior to the
involvement of all the funding partners. The program has functioned through different
funding stakeholders providing support to specific elements of a broader Mentoring
Program, all of which have a preventive focus in common.
The Portland House Foundation and the Medibank Community Foundation provided
support for mentoring of young people currently living in custody at one of Melbourne's
youth justice facilities. The Department of Human Services supports the mentoring
program which works with young people preparing to leave out of home care.
While the relationship between Portland House and Whitelion has been an excellent
co-operative arrangement, with high levels of trust and regular contact, along with a
commitment to long term funding, the overall Mentoring Program has no t been a
structured collaboration with all parties coming together at the outset for a mutually
agreed purpose. Rather relationships have been independently built between Whitelion
and their various funders.
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The other two initiatives, the Loddon Mallee partnership and the City of Hume Supporting
Parents Developing Children initiative sit clearly in the collaboration category. In both
these cases, the projects were initiated by a group of people from the philanthropic ,
government and community sectors coming together with the shared purpose of
addressing an identified community issue. A great deal of time was taken in both cases
with all parties working together with the community to build trusting relationships, agree
purposes and desired outcomes, as well as identify and scope the specific projects that
were eventually agreed upon and supported by a number of philanthropic and
government funders.
The feedback provided in the rest of this section by the four groups of case study
participants on the draft guiding principles, relates to the principles’ relevance and
usefulness to the establishment and operation of collaborations, based on the more
formal definition agreed to by the Working Group.
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4.2
Memorandum of Understanding
All four case studies agreed that a Memorandum of Understanding was not an appropriate
term to be used in the guiding principles, as it had a specific legal meaning, particularly for
the Federal government.
All felt however, that it was important that there is a clear and agreed understanding of the
mission and purposes, as well as the roles and responsibilities of all partners, at an early
stage of a collaboration, even though it was recognised that there was a need to have the
flexibility to accommodate change as the collaboration evolved. ‘Statement of Intent’ was the
preferred term for the document in which this would be spelt out.
4.3
Dedicated staff member
It was generally agreed that a complex collaboration across philanthropy, government and
the community sectors needed a person with the dedicated responsibility to co-ordinate
governance arrangements, manage communication between partners, oversight project
development and implementation and complete reporting and accountability requirements.
In some cases a collaboration manager would be appointed specifically to work for the
collaboration, in others an existing staff person from one of the partner organisations would
take on this role as a key part of their work.
4.4
Reporting requirements
In three of the case studies the issue of the administrative burden imposed by the number
and range of reporting requirements for the funding partners in a collaboration, particularly
those required by federal government departments was raised. The streamlining of
accountability requirements was seen to be an important issue for the smooth running of
collaborations. As discussed in 4.3, it was agreed that it was important to have a dedicated
staff person in order to successfully manage these demands and the myriad governance,
operational and co-ordination aspects of a complex collaboration.
4.5
Ensuring an easy transition for new partners in the collaboration
As most collaborations span a number of years there will be inevitably be staff changes in
the partner organisations. The importance of documenting the process and the history and
culture of the collaboration was stressed. This, together with having a dedicated staff person
responsible for the management of the project, was seen as important factors in ensuring a
smooth transition and comprehensive induction for new staff and/or funders joining the
collaboration.
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4.6
Engaging all levels of staff from the organisations involved with the
collaboration.
For three of the case studies the importance of engaging and involving relevant personnel at
all levels of the partner organisations including organisational heads, senior decision
makers, program and operational staff. Maintaining their involvement meant that they
remained abreast of any changes that may occur in the projects over time, were more likely
to contribute their expertise and were able to be champions for the projects.
4.7
The importance of clear and regular communication
All of the case studies stressed the importance of regular and clear communication,
particularly when and if problems arose. It was agreed that this involved establishing clear
communication protocols early in the project and ensuring that these included both senior,
as well as operational, staff.
4.8
Support for the principles
There was overall support for the development of a set of principles to guide collaborative
arrangements. Most of those who participated in the group discussions indicated that there
were guiding principles that underpinned their work together. However, for many these had
never been explicitly stated.
Feedback suggested that the draft guiding principles were too succinct and needed to be
expanded to provide more context and meaning. It was felt that each principle needed to
make sense as a standalone statement and that the addition of a preamble would assist in
providing further context.
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Guiding Principles for Successful Collaboration – Recommended
changes
5.
Preamble:
This would cover the following points:
- The relationship between funders and NFP organisations can take many forms and sit
on a continuum – from juggling a range of funders to a completely cohesive, well
harmonised collaboration. A cross sector collaboration is one in which there is a
deliberate, structured arrangement which brings together each sector’s intellectual,
organisational and financial capital to meet agreed goals. It involves joint planning,
resourcing, governing and monitoring.
-
The fundamental basis for any collaboration is clarity regarding the assumptions of each
partner about where they’re coming from, so that any differences are resolved at the
outset.
-
Collaborations are only useful if they produce better outcomes for the community.
1.
Creating the Environment
1.1
Engage each other early when the potential idea/interest/need for a collaborative
approach is being considered
1.2
Ensure that expectations about goals and how partners are going to work
together are clarified early on in the collaboration’s development
1.3
Recognise that collaboration works most effectively when the partners have
shared values and principles, and when it meets each organisation’s guidelines
and agendas.
1.4
Government/philanthropic collaborations work better when each sector
understands the others directions and priorities and philanthropy understands
government’s policy environment.
2.
Shaping Partnerships and Building Relationships
2.1
Understand each other’s roles, policies, priorities and limitations
2.2
Ensure sufficient time to develop trust, mutual respect and agreed approaches
2.3
Ensure the right people are at the table(s), with commitment and involvement
from senior and operational representatives of each partner organisation, as
appropriate. Seek consistency of personnel representing the partners over the
length of the collaboration, as far as possible.
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2.4
Develop a formalised ‘Statement of intent’, once principles, goals, outcomes,
expectations, roles and responsibilities are agreed.
2.5
Build in a flexible approach to roles and responsibilities and collaboration
activities in order to accommodate changing circumstances and opportunities as
they arise.
2.6
Appoint a member of the collaboration to drive and co-ordinate governance,
operational and communication activities and build this role into their job
description for the duration of the collaboration (this role would generally be taken
by the lead agency).
3.
Decision Making and Management Practices
3.1
Agree to processes for selecting organisations to be funded and the nature of
projects to be jointly supported
3.2
Communicate frankly throughout the collaboration time frame
3.3
Document the history, context and development of the collaboration. Where there
is a change of personnel, ensure that a formal handover process is put in place to
ensure adequate information about the history and culture of the collaboration is
passed on.
4.
Evaluation and Sustainability
4.1
Ensure there is an evaluation framework and the resources available to
undertake the level of evaluation agreed upon.
4.2
Address sustainability issues early, including development of a funding plan,
where appropriate. As part of this, plan and develop an exit strategy if the
collaboration, or partners’ involvement in it, is time limited.
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6.
Case Studies
The following case studies have been developed using the information provided in the
questionnaires and from the discussion at the group sessions. There are 3 sections to each
case study:
 Identifying information
 Background and impetus for the establishment of the collaboration/project
 Assessment of the collaboration/project against each draft guiding principle
Summarised below are key features of each of the case studies, reflecting the nature and
strength of the partnerships.
In writing up the individual case studies, the term ‘collaboration’ has been widely used, as
this was the term originally used in the questionnaire and group discussions and is the
context in which the responses and feedback were provided.
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6.1
Summary of the key features of each case study
Supporting Parents Developing Children - Hume Project

Initiation by a philanthropic organisation, based on research and commitment/leverage
to bring other partners on board. A key goal was to build a collaborative approach,
bringing philanthropy, government and the NFP sector together for a shared outcome.

Recognition of the need for coordination of the collaboration and the opportunity to
build upon already established community relationships. Creation of a dedicated staff
position to make this happen.

Resourcing of collaboration evaluation which can identify and address problems, as
well as provide learnings for the future.
Loddon Mallee government and philanthropic partnership

Foundation led coming together of government and philanthropic partners around a
difficult, intractable problem and commitment to work with the community and
community organisations over the long-term.

Recognition of the fundamental need to build trust in a wary and conflicted community.

Strength of, and commitment to, the funding partnership which facilitated the allocation
of government funding for work in communities that fell outside of the guidelines for
established program funding pots.
Children’s' Protection Society – Early Years Education Research Program

Clarity of vision and evidence base built by lead agency, enhancing capacity to bring
others on board.

Identification of partners’ roles in addition to funding, as fundamental to project
success (leverage with others, advocacy, influence etc).
White Lion - Youth Mentoring Program

Strong individual partnerships with funding bodies.

Recognition of the potential for building a more formalised and structured joint
collaboration, which could strengthen relationships and ensure greater use of partners’
skills and expertise for benefit of the Program.
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Appendix 1
Four M
Models of Government/Philanthropy/NFP Engagement
The following is a visual representation of possible models of engagement between
government, philanthropy and not-for-profit organisations. It was prepared by Chris Wootton,
based on his experience working for the Helen McPherson Smith Trust and ANZ Trustees.
It demonstrates that cross sectoral relationships can take many forms.
•
Model 1
Government is the lead and engages with the NFP sector – who then may or may not
seek philanthropic support eg State Government Community Building Initiative 20052010 (which then brought in Helen Macpherson Smith Trust).
•
Model 2
The NFP sector is the lead (and may or may not engage with philanthropy) and then
seeks government involvement eg CPS and Whitelion Case Studies
•
Model 3
Government and Philanthropy engage (with Government or Philanthropy taking the lead
role in the relationship) and then secure involvement of NFP sector eg Hume case study,
Aust Community Foundation’s MacroMelbourne Initiative, Government/Helen
Macpherson Smith Trust Youth Mentoring 2007-2011
•
Model 4
All parties work together to explore solution(s) to a complex issue and/or where
Philanthropy can play a facilitation or independent broker role eg Loddon Mallee Case
Study
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Appendix 2
List of International and Local References
 Public – Philanthropic Partnership Initiative: Council on Foundations.
Can be found at: http://ppp.cof.org
 The Intelligent Funding Forum, More than Money: The potential of cross sector
relationships by Dr Diana Leat. Can be found at: www.acf.org.uk/iff/
 Macdonald and Szanto: Private Government Philanthropy: Friend or Foes?
Article in Mapping the New World of American Philanthropy by Raymond and Martin.
Published by John Wiley & Sons 2007
 Working in Partnership: Practical advice for running effective partnerships
by Jeanette Pope, 2008. The Department of Planning and Community Development:
Can be found at: www.dpcd.vic.gov.au
 Partnership in Practice: Collaboration and Consultation protocol
The Department of Human Services. Can be found at: www.dhs.vic.gov.au
 DEECD – Victorian Community Sector Collaboration and Consultation Framework.
The Department of Education and Early Childhood Development(DEECD).
Can be found at: www.education.vic.gov.au
 The Partnerships Analysis Tool: A resource for establishing, developing and
maintaining partnerships for health promotion.
VicHealth. Can be found at: www.vichealth.vic.gov.au
 Our Community has developed a range of resource material on community- business
partnerships. Can be found at: www.ourcommunity.com.au
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