October, 2011 (From September 15 List of Assignments)
“Collaboration is becoming the 21st century’s governance tool of choice and necessity.”
-UNCG Guide to Collaborative
Competencies
What is collaborative capacity?
Collaborative capacity is the ability of organizations to enter into, develop, and sustain interorganizational systems in pursuit of collective and shared outcomes and goals.1 It has been
described as a concept that describes the process of establishing, steering, facilitating,
operating, and monitoring cross-sector organizational arrangements to address public policy
problems that cannot be easily addressed by a single organization or the public sector alone.
These arrangements are often characterized by “joint efforts with reciprocal expectations and
voluntary participation among formally autonomous entities, from two or more sectors —
public, for profit, and nonprofits —in order to leverage (build on) the unique attributes and
resources of each.”2
What is the relationship between collaborative governance and collaborative capacity?
Over the last two decades, a new strategy termed ‘‘collaborative governance’’ has developed.
Collaborative governance takes as its starting point the idea that working together creates more
lasting, effective solutions. "Governance" is the process by which public ends and means are
identified, agreed upon, and pursued. This is different than "government," which relates to the
specific jurisdiction in which authority is exercised. "Governance" is a broader term and
encompasses both formal and informal systems of relationships and networks for decision-making
and problem solving.3
This mode of governance focuses on public issues and brings multiple stakeholders from different
sectors together in common forum to engage in consensus-oriented solution seeking, problem
solving and decision-making:
“Collaborative governance is therefore a type of governance in which public and private
actors work collectively in distinctive ways, using particular processes, to establish laws and
rules for the provision of public goods… It is a governing arrangement where one or more
public agencies directly engage non-state stakeholders in a collective decision-making
A capacity for collaboration enhances the probability of mission completion and goal achievement by
leveraging dispersed and diverse networked resources. (Hansen & Nohria, 2004). Collaborative capacity, as it
relates to interagency collaboration, resonates in the work of a number of academics and practitioners (e.g.,
Bardach, 1998; Huxham, 1996; Mowery, Oxley & Silverman, 1996; Seidman, 1970).
1
2
3
Daniel Mazmanian & Shui-Yan Tang, USC
process that is formal, consensus-oriented, and deliberative and that aims to make or
implement public policy or manage public programs or assets.”4
What is the relationship between collaborative competencies and collaborative capacity?
Collaborative competencies focus on the individual’s capacity for and mastery of effective
collaboration. Collaborative capacity focuses on the organization’s network for support of
collaborative efforts within and beyond the organization. The UNCG Guide to Collaborative
Competencies was focused on guiding managers interested in improving their staff’s
collaborative competence through continuing education and training. A guide focusing on
collaborative capacity would offer managers and leaders guidance on how to address and
facilitate political leadership/authority and empowerment to use collaboration where
appropriate, investments of time and resources, the development of institutional procedures
that reward use of collaborative strategies and review and changes regarding organizational
culture and collaboration.
#2 What are the benefits of developing collaborative capacities within agencies and
organizations and among agencies and organizations involved in collaboration?
The benefits of developing collaborative capabilities within agencies and organizations include: cost
savings through the transfer of smart practices, better decision making as a result of advice and
information obtained from colleagues, enhanced capacity for collective action by dispersed units,
and innovation through the cross-pollination of ideas and recombination of scarce resources.
#3 What are the benefits to UNCG members of developing tools and skills to provide
collaborative organizational and agency assessments that can measure capacity and
facilitate processes and training to help build collaborative capacity?
John Stephens First Cut
A. Follow-on to Collaborative Competencies Guide
http://www.policyconsensus.org/uncg/collaborativecompetencies.html
B. Build integrated training-consultation assistance: moving from helping individuals build
competence and organizations learn from particular processes and envision/build capacity to
make particular projects go well
C. Develop an enhanced/additional service for UNCG members (i.e., assessing and
consulting/helping develop collaborative governance capacity)
D. Gain the collective wisdom of other UNCG members (and others, possibly) to develop a
practical tool
E. Measurement tools can provide ordinal/quantitative data to address questions about “return on
investment” or other input-output questions/needs for efficiency and effectiveness of
collaborative governance capacity
4
Ansell and Gash JPART 18:543–571 2008
F. Importance of helping organizational cultures change and institutionalizing collaborative
governance. Look beyond any particular project, or training effort to the broader needs and
firmer foundations for longer-term success
G. A potential strategy to address budget cuts/constraints our clients face. Have to consider
various “non-money” ways to do the same work better (in partnership/collaboration) and/or
to re-think overall goals and design new work processes. Builds from individual ability and
motivation to change and use collaborative competencies to organizational resilience where
collaborative capacity is an essential feature.
Bob’s additions:


An opportunity to deepen Centers’ skills and collaborative capacity and provide collaborative
assessment and training services that help promote the UNCG mission and develop
organizational collaborative capacity.
Provide a venue for applied and basic research on collaborative governance.
4. What is the best way to conceptualize the organizational components of collaborative
capacity? Do we utilize the same component organization as the Guide to Collaborative
Competencies? What are other ways collaborative capacity has been conceptualized? E.g.
The SRA work with the U.S. Army Corps of Engineers recommended the following
elements: Political leadership/authority and empowerment to use collaboration where
appropriate; Knowledge, skills, and abilities; Time and resources; Institutional procedures
that reward use of these strategies; and Organizational culture.
9/26/11 John’s starting point:
It is desirable to “fit capacities” with some or all of the ten collaborative competencies of the Guide
to Collaborative Competencies.
COLLABORATIVE LEADERSHIP AND MANAGEMENT COMPETENCY.
1. Strengthening Collaborative Leadership
2. Planning, Organizing & Managing for Collaboration
PROCESSCOMPETENCY
3. Communicating Effectively.
4. Working in Teams and Facilitating Groups.
5. Negotiating Agreement and Managing Conflict
ANALYTICAL COMPETENCY
6. Applying Analytic Skills and Strategic Thinking.
7. Evaluating and Adapting Processes
KNOWLEDGE MANAGEMENTCOMPETENCY
8. Integrating Technical & Scientific Information.
9. Using Information and Communication Technology
PROFESSIONAL ACCOUNTABILITY COMPETENCY
10. Maintaining Personal Integrity and Professional Ethics.
John Stephen’s thoughts on the ten competencies and the “fit capacities” ideal
1. How well any of these individual competencies are developed can be influenced by on at least two
factors, per the SRA list below:
a) Institutional procedures that reward use of these strategies
b) Organizational culture.
Individuals can work on these competencies prior to employment with a particular agency, and
through professional development opportunities at their own initiative (i.e., without agency support
or knowledge).
2. Agency capacity can thus be a support mechanism for enhancing individual competencies. But it
seems our main interest is how to develop and assess agency collaborative capacity for other
purposes. I think those purposes are:
a) Institutionalizing collaborative governance
b) Identifying best practices and encouraging dissemination
c) For some UNCG members, linking their present or future research on organizational
changes and collaborative governance to practical advising of/consulting with agencies
3. PROFESSIONAL ACCOUNTABILITY COMPETENCY: Maintaining Personal Integrity
and Professional Ethics may be the item most distinct from our goals for and analysis of agency
collaborative capacity. It seems the most individualized, and internalized, (RE: ethics) of the ten
competencies. However, I think there is still some link to Organizational culture. Moreover, the
accountability and integrity factor can be challenged by the “Political leadership/authority and
empowerment to use collaboration where appropriate.” In short, leadership that is not skilled at
assessing appropriate uses of collaboration, or may direct or imply to staff the effort is more of
perceptions, public relations and collabor-suasion (Stephens registered TM on that neologism – smile)
could create a dilemma in an individual practicing the competency of PROFESSIONAL
ACCOUNTABILITY.
SRA work with the U.S. Army Corps of Engineers
a) Political leadership/authority and empowerment to use collaboration where appropriate
b) Knowledge, skills, and abilities
c) Time and resources;
d) Institutional procedures that reward use of these strategies
e) Organizational culture.
Proposed Categories: Guide to Agency Collaborative Capacity
1. Agency leadership
a) Analysis of Collaborative Capacity and relation to agency mission
b) Expectations/standards for working with key partners
c) Responding to constrained resources (money, same/fewer staff, cuts from other NGOs
and government entities affecting programs)
2. Training and development of personnel (RE: Knowledge, skills, and abilities, from SRA list)
a) Clearly stated job competency or performance standards (Draw on Collaborative
Competencies Guide)
b) Formal training opportunities/professional development path
c) Mentoring
d) Observation
3. Statutory support for collaborative governance (e.g., administrative procedures act,
partnering, inter-agency MOUs, advisory group formation and management
4. Institutional procedures that reward use of these strategies
5. Organizational culture (I am least certain about listing this separately, compared to some
items which may be more measurable in #1-3)
a) Experience/history of inter-agency and inter-sector collaboration
b) Innovation and risk-taking
c) Other?
#5 What are the range of collaborative capacity building strategies we should consider that
target the organizational components of collaborative capacity?
John’s first cut – 11/21/11
Target is the organizational components
a)
b)
c)
d)
e)
f)
g)
h)
Job descriptions
Project descriptions
Evaluation of job performance and project management/implementation
Incentives, awards and promotions
Systems for mentoring new/more junior employees
Stated and reinforced organizational culture
Resource allocation – tied to (d) – more money/support if done in collaborative manner
Systematic learning – Juliana Birkhoff and Resolve has good experience on in-house training
and professional development.
i) Other
#6 What do we know about and what guidance can we offer about which work best under
various circumstances?
What range of circumstances?
Possible circumstances
1.
2.
3.
4.
5.
6.
7.
Organizational merger
Downsizing
New rules for programs
Mandated coordination/collaboration (intra-organization and inter-organization)
Loss of senior staff (retirement)
Science/data-heavy need for program/policy action
Prominent cultural/cross-cultural communication, coordination and/or shared
responsibility
8. Change of leadership
9. Other
Another approach could be move to more generalized/=abstract “circumstances” from a
particular case of Collaborative capacity building?
1.
USACE study – context, need, audience, content, reaction/result – any spin-offs to
particular units of USACE, or to other parts of DOD?
2.
In process - Case: MassDOT Public Engagement Capacity Building Project
Project Description:
The Massachusetts Office of Public Collaboration (MOPC) of the University of Massachusetts Boston
has been engaged to assist the Massachusetts Department of Transportation (MassDOT) and its
Highway Division and Accelerated Bridge Program to launch an agency-wide policy development and
capacity building initiative to implement effective public engagement and collaboratively re-design
the stakeholder engagement process for MassDOT and its Divisions across all of their programs and
projects.