Collaboration Literature Review White Paper

Collaboration Literature Review Whitepaper By SecondMuse October 2014

2 COLLABORATION LITERATURE REVIEW WHITEPAPER Table of Contents PURPOSE AND
AUDIENCE................................................................................................ 3 WHY RESEARCH COLLABORATION?................................................................................ 3 SecondMuse research program......................................................................................................... 4 Initial line of inquiry: Collaboration landscape analysis...................................................................... 4 WHAT IS COLLABORATION?............................................................................................ 5 Collaboration in popular discourses.................................................................................................. 5 Forays into the academic discourse on collaboration......................................................................... 7 Definitions and conceptualizations of collaboration.......................................................................... 7 Synthesis of definitions..................................................................................................................... 8 SecondMuse definition................................................................................................................... 10 HOW IS COLLABORATION BEING DISCUSSED IN THE PUBLISHED LITERATURE?........... 13 260 Abstracts................................................................................................................................ 14 98 Journals or proceedings............................................................................................................. 15 56 Years........................................................................................................................................ 16 5 research features........................................................................................................................ 17 9 collaboration types...................................................................................................................... 18 23 settings for analysis.................................................................................................................. 19 4 sectors of collaborators............................................................................................................... 19 HOW HAVE ACADEMICS ORGANIZED THE THINKING ABOUT COLLABORATION?......... 20 Citation analysis............................................................................................................................ 21 A note on words............................................................................................................................ 22 Many frameworks.......................................................................................................................... 23 Few theories and no models........................................................................................................... 26 Suggested research........................................................................................................................ 26 RETROSPECT AND PROSPECT: TOWARD A SYSTEMS FRAMEWORK FOR COLLABORATION................................................................................................... 27 APPENDIX A: TOPICS EXAMINED BY LITERATURE REVIEW PAPERS............................... 29 APPENDIX B: THEORETICAL PROPOSITIONS AND CONCLUSIONS................................. 31 APPENDIX C: CITATIONS USED FOR “THE DATABASE” OF COLLABORATION PAPERS, CHAPTERS, AND BOOKS ..................................................... 34 REFERENCES.................................................................................................................. 45

3 COLLABORATION LITERATURE REVIEW WHITEPAPER Purpose and Audience The purpose
of this document is to advance SecondMuse’s understanding of the “Art and Science of Collaboration.” It synthesizes academic and practitioner-oriented literature on collaboration and inserts insights from SecondMuse’s own experiences where relevant. This initial exercise is nec- essarily academic in nature in order to understand the language and frameworks which underpin current research and understanding of collaboration. As such, it has not been written with a general audience in mind; however we view this document as the foundation for additional publications designed to be more accessible to the general public. Why research collaboration? The world is troubled by grave and interconnect- ed social problems and environmental afflictions whose solutions call for new approaches. If our methods and approaches are based on a world- view which inaccurately reflects reality, they will fail to address, and may even exacerbate, these problems. Indeed, some of the most pressing challenges of our time are complex, involving the interaction of many systems and relationships, each studied independently by various disciplines. Although each discipline has made significant contributions to our understanding, when relied upon in a piecemeal or independent fashion, they are incomplete and inef- fectual at dealing with the challenges of this age. Repeated demonstration of this fact has motivated people and institutions around the world to engage in more effective collaboration. Effective collaboration is seen as a way to leverage multiple perspectives in order to more accurately understand complex problems. As the fruits of the collaborative process yield better understanding of the complexity of these problems, it becomes evident that their solutions require well-coordinated and collaborative responses from various sectors and institutions in society - many of which are not accustomed to such efforts. This is SecondMuse’s passion; it is committed to learning about the functioning and transitioning of systems to exhibit patterns conducive to the solution of complex social, economic and environmental problems. Its focus is on understanding a principled form of collaboration distinct from collaboration based merely on pragmatic self-interest. Guiding this work are the key principles underlying the Harmony Equity Group: coherence between the material and spiritual dimensions of reality, the organic unity and interdependence of humanity, the reciprocal relationship between unity and justice in human affairs, and the importance of cultivating the capacity for altruistic service to others. Second- Muse’s commitment to these ideas is manifested through a diversity of projects employing collaboration - whether they be among a few people or thou- sands, externally- or self-organized, momentary or sustained over time, among highly diverse or similar participants, across industries and sectors or deeply within a single industry or firm. Over the last few years, SecondMuse has generated a wide array of experience and expertise - a firm foundation upon which to engage in a learning process.

4 COLLABORATION LITERATURE REVIEW WHITEPAPER SECONDMUSE RESEARCH PROGRAM To accomplish
such learning systematically, Second- Muse has instituted a research program devoted to advancing the science and art of systems transformation. The program leverages SecondMuse’s ex- tensive consulting experience and data gathering through methods such as interviews, surveys, field observation, and document analysis. The program also gathers insights from relevant academic and industry research, using sources such as conference presentations as well as academic and practitioner oriented journal articles. External and internal insights are synthesized together ones to strengthen SecondMuse’s core consulting work which results in direct social impact in a variety of settings. This synthesis is also outwardly disseminated through academic, industry, and general audience publications and presentations, thereby stimulating the discourses of society toward more effective collaborative action. The figure below depicts the relationship between internal and external research and dissemination with the work of SecondMuse. INITIAL LINE OF INQUIRY: COLLABORATION LANDSCAPE ANALYSIS Although the research program will ultimately engage in multiple lines of inquiry, its initial and ongoing line of inquiry is to assess the academic, and, to a lesser extent, the practitioner literature on collaboration. Such a landscape analysis should explore the definition of collaboration as well as the various disciplines’ frameworks to understand its functioning. This initial line provides a firm footing for complementary lines of inquiry which aim at understanding other related concepts including the value of collaboration and the meaning of systems transformation. Figure 1. Process diagram relating knowledge generation, application and dissemination functions within and outside of SecondMuse

5 COLLABORATION LITERATURE REVIEW WHITEPAPER What is collaboration? In order
to establish a research program on systems transformation, a firm footing is needed. In particular, the very concept of collaboration must be ex- plored since it is employed in a variety of ways and contexts. The research program may be described as embarking on a voyage to gain knowledge on the topic of collaboration; we begin by knowing the ship’s place of origin. This program finds itself within an ongoing discourse in society which both shapes and is shaped by human action. After brief- ly examining the popular discourses on the word “collaboration”, a focused examination of academic discourses on the subject is provided in hope of constructing a space within which the research program can be built. COLLABORATION IN POPULAR DISCOURSES Derived from the Latin, collaborare--meaning col or together, and laborare, to work--the Oxford English Dictionary defines collaboration as “united labour, co-operation; esp. in literary, artistic, or scientific work” and provides an instance as early as 1860 of its use by Charles Reade when he wrote, “It is plain that collaboration was not less..than it now is in France1“. A second definition, with historically concordant use-examples from the 1940s, describes collaboration as “Traitorous cooperation with the enemy.” Indeed, an examination of the use of the word collaboration (see graph below2) via the Google corpus of English books (approximately 155 billion words) reveals an increase in the textual use of the word in the English language especially after after 1860 with a sudden spike in usage in the 1940s, reflecting its World War II “quisling” usage. The early 1980s witnessed an increase in the word’s relative usage and peaked in 2003. Interestingly, in recent years, between 2003 and 2008, the use of the word collaborate appears to have decreased in published-book usage. An analysis of search terms employed via the Google search engine from 2004 onward reveals a similar pattern of decline (see graph below). 1 “collaboration, n.”. OED Online. September 2013. Oxford University Press. 25 November 2013 <http://www.oed.com.ezproxy.proxy. library.oregonstate.edu/view/Entry/36197>. 2 The vertical axis indicates the percentage of the use of the word relative to all other words contained in Google’s corpus.

6 COLLABORATION LITERATURE REVIEW WHITEPAPER Figure 2. Trends “collaboration”
usage in books (via Google Books Ngram) Figure 3. Web search interest in “collaboration” (via Google Trends) 1800 1810 1820 1830 1840 1850 1860 1870 1880 1890 1900 1910 1920 1930 1940 1950 1960 1970 1980 1990 2000 0 20 40 60 80 100 120 2004 2004 2004 2005 2005 2005 2006 2006 2006 2007 2007 2007 2008 2008 2008 2009 2009 2009 2010 2010 2010 2011 2011 2011 2012 2012 2012 2013 2013 2013 2014 2014

7 COLLABORATION LITERATURE REVIEW WHITEPAPER FORAYS INTO THE ACADEMIC DISCOURSE
ON COLLABORATION In 1991, during the more recent upswing in the usage of the word collaboration, the Journal of Be- havioral Science presented two special issues on collaboration and collaborative alliances. In synthe- sizing several of these papers, Wood and Gray make the observation that, while they assumed that a commonly accepted definition of collaboration ex- isted, “we found a welter of definitions, each having something to offer and none being entirely satisfac- tory by itself.”3 Only a few years later, Henneman et al. (1995) pointed out how such a “lack of clarity has resulted in the term ‘collaboration’ being used in a variety of inappropriate ways in both the research and practice settings. For example, it is often considered synonymous with other modes of interaction such as cooperation or compromise. Unfortu- nately, confusion over the meaning of collaboration has hindered its usefulness as a variable in studies which attempt to evaluate its effectiveness.” Thus the social science endeavor early on recognized the need, and indeed perhaps even the challenge, of defining what is meant by the word collaboration. Once this is done, theoretical frameworks may be developed in order to frame the understanding of its functioning and implications. DEFINITIONS AND CONCEPTUALIZATIONS OF COLLABORATION Definitions in the academic literature for collaboration abound. In 1977, Appley and Winder4 define (as stated by Hord, 19865) collaboration as “...a relational system of individuals within groups, in which: 1 individuals in a group share mutual aspirations and a common conceptual framework,2 the interactions among individuals are characterized by “justice as fairness”; 3 these aspirations and conceptualizations are characterized by each individual’s consciousness of his or her motives toward the other; by caring or concern for the other, and by commitment to work with the other over time provided that this commitment is a matter of choice.” In 1980, Kraus6 defined (as quoted by Henneman et al. 19957) collaboration to be “a cooperative venture based on shared power and authority. It is non-hierarchical in nature. It assumes power based on a knowledge or expertise as opposed to power based on role or function”. In 1989, Gray8 defined (as quoted by O’Leary and Vij, 20129) interorganizational collaboration as 3 Wood, D. J. & Gray, B. (1991). Toward a comprehensive theory of collaboration. The Journal of Applied Behavioral Science. Sage Publi- cations. 4 Appley, D. G. & Winder, A. E. (1977). An evolving definition of collaboration and some implications for the world of work. The Journal of Applied Behavioral Science. Sage Publications. 5 Hord, S. M. (1986). A synthesis of research on organizational collaboration. Educational Leadership. 6 Kraus, W. A. (1980). Collaboration in organizations: Alternatives to hierarchy. Human Sciences Press New York. 7 Henneman, E. A., Lee, J. L. & Cohen, J. I. (1995). Collaboration: a concept analysis. Journal of Advanced Nursing. Wiley Online Library. 8 Gray, B. (1989). Collaborating: Finding common ground for multiparty problems. Jossey-Bass San Francisco. 9 O’Leary, R. & Vij, N. (2012). Collaborative Public Management Where Have We Been and Where Are We Going? The American Review of Public Administration. SAGE Publications.

8 COLLABORATION LITERATURE REVIEW WHITEPAPER “an emergent process between interdepen-
dent organizational actors who negotiate the answers to shared concerns”. In 1995, Henneman et al. avoid giving a one sen- tence definition but describe collaboration as having a set of defining attributes including: joint venture, cooperative endeavour, willing participation, shared planning and decision making, team approach, contribution of expertise, shared responsibility, non-hierarchical relationships, power as shared, based on knowledge and expertise instead of role or title. In 1996, Huxham described collaboration as “working in association with others for some form of mutual benefit” 10 More recently, in 2005 we find a definition in which collaboration is “a cooperative, interorganizational relationship in which participants rely on neither market nor hierarchical mechanisms of control to gain cooperation from each other.” 11 SYNTHESIS OF DEFINITIONS Throughout the years, attempts have also been made to collect definitions of collaboration, either from practitioners via interviews or from academics via journal articles, and synthesize them into comprehensive characterizations. The earliest such attempt appears to be in 1991, by Wood & Gray12. They reviewed seven papers’ definitions of collaboration, identified explicit and implicit common elements, and created a definition which answered three questions: “who is doing what, with what means, toward which ends.” Their resultant definition was as follows: Collaboration occurs when a group of autonomous stakeholders of a problem domain engage in an interactive process, using shared rules, norms, and structures, to act or decide on issues related to that domain. In 2001, as part of the conclusion of her PhD research, Thomson13 distilled a definition after con- ducting a “systematic analysis of multiple definitions of collaboration across multiple disciplines” as well as interviewing 20 organizational directors. Her definition is as follows: Collaboration is a process in which autonomous or semi-autonomous actors interact through formal and informal negotiation, jointly creating rules and structures governing their relationships and ways to act or decide on the issues that brought them together; it is a process involving shared norms and mutually beneficial interactions. This definition later became the basis upon which to do a quantitative analysis of the definition’s dimensions in order to test its validity14. These di- 10 Huxham, C. (1996). Collaboration and Collaborative Advantage. In Huxham, Chris (Ed.), Creating Collaborative Advantage. Sage. 11 Hardy, C., Lawrence, T. B. & Grant, D. (2005). Discourse and Collaboration: The Role of Conversations and Collective Identity. Academy of Management Review. Academy of Management. 12 Wood, D. J. & Gray, B. (1991). Toward a comprehensive theory of collaboration. The Journal of Applied Behavioral Science. Sage Publi- cations. 13 Thomson, A. M. (2001). Collaboration: Meaning and measurement. Indiana University. Unpublished Ph.D. diss. 14 Thomson, A. M., Perry, J. L. & Miller, T. K. (2009). Conceptualizing and measuring collaboration. Journal of Public Administration Research and Theory. PMRA.

9 COLLABORATION LITERATURE REVIEW WHITEPAPER mensions include: governance, administration, mu-
tuality, norms, and organizational autonomy. The authors operationalized the five key dimensions into dozens of questions and examined how well they correlated with collaboration. After collecting and analyzing data from over 400 surveys complet- ed by AmeriCorps directors, they discovered that their original conceptualizations of the dimensions of collaboration were not concordant with the directors’. They state: For this sample of organizations, the governance dimension is manifest in terms of the more informal negotiation mechanisms of brainstorming and appreciation of each other’s opinions rather than the formal mechanisms of standard operating procedures and formal agreements. In contrast to governance, the structural elements of implementation manifest in the administration dimension are clarity of roles and responsibilities, effective collaboration meetings, goal clarity, and well-coordinated tasks. Each of these is more closely linked to the administration dimension than are formal mechanisms of re- liance on a manager, formal communication channels, and monitoring. Indicators of the mutuality dimension that did not withstand statistical scrutiny are questions that attempt to capture the extent of shared interests among partners. For this sample, collaboration seems to involve forg- ing commonalities from differences rather than finding solidarity through shared interests. Mutuality in collaboration is manifest in partner organizations that (1) combine and use each other’s resources so all benefit, (2) share information to strengthen each other’s operations and programs, (3) feel respected by each other, (4) achieve their own goals better working with each other than alone, and (5) work through differences to arrive at win–win solutions. The primary norms dimension indicators that are statistically significant and valid are the trust indicators. We found little support for the indicators of [I-will-if-you-will] reciprocity. For this sample, collaboration involves a process characterized by a belief that (1) people who represent partner organizations in collaboration are trustworthy, (2) partner organizations can count on each other to keep their obligations, and (3) it is more worthwhile to stay in the collaboration than to leave. In 2005, several researchers conducted a thorough literature review15 dealing with interprofessional collaboration in order to distill the conceptual elements underlying collaboration as well as frameworks within which to think about it. After searching the literature using related terms, they identified 588 papers, seventeen of which actually dealt with definitions or concepts associated with interprofessional collaboration. While they did not create a definition per se, they did look for those concepts which were repeatedly mentioned by others. They state: Among the most commonly referenced concepts mentioned in the literature were sharing, partnership, interdependency and power. Collaboration has also been defined as a dynamic process. We therefore regrouped definitions of collaboration under these keywords. 15 D’Amour, D., Ferrada-Videla, M., San Martin Rodriguez, L. & Beaulieu, M.-D. (2005). The conceptual basis for interprofessional collaboration: Core concepts and theoretical frameworks. Journal of interprofessional care. Informa UK Ltd UK.

10 COLLABORATION LITERATURE REVIEW WHITEPAPER More recently, in 2012, a
series of authors conducted a thorough synthesis of definitions of the word collaboration16. They spell out four criteria, while keeping in mind the principles of comprehensive- ness and parsimony, to develop a unified “construct definition of collaboration”. First, “the definition must explicitly apply to various levels of analysis” such as collaboration involving individuals, teams, organizations, etc.; second, “the definition must provide some explanation regarding the fundamental process inherent in collaboration”; third, “collaboration must be defined and described as a process rather than a structure or an outcome”; fourth, “the definition must acknowledge the influence of time.” Searches were conducted in a variety of databases capturing papers from a variety of disciplines. Interestingly, they found the following limitations of the existing definitions: “(1) are too vague or too specific”, “(2) explain context without providing an explicit definition”, “(3) operate at a restricted level of analysis”, “(4) are not conceptu- alized as a process,” “and/or (5) describe another type of interaction altogether.” After reviewing 63 definitions from papers written between 1977 and 2008, and utilizing the criteria above, they write the following definition: Collaboration is an evolving process whereby two or more social entities actively and reciprocally engage in joint activities aimed at achieving at least one shared goal. It is worth noting that the word reciprocal, as used in this study, is not identical to what was measured in the Thomson (2009) article above. Instead, Bed- well et al. (2012) clarify that collaboration being reciprocal entails “a back-and-forth reciprocal process that requires each involved party to actively contribute in some way across the lifecycle of collaborative effort”. Another worthwhile consideration when evaluating definitions is the sensible idea that “the specific outcomes of collaboration should not be incorpo- rated into the definition a priori, but left open to empirical analysis”17. SECONDMUSE DEFINITION To stimulate internal conversation on the topic and to coalesce a company-wide perspective on the subject, fifteen associates at SecondMuse engaged in an internal exercise to define collaboration. By the end of the process, three small groups had several pages of responses to exercise questions and their own definitions for the word. This data formed a rich foundation for a company-wide definition. The process was structured using several exercises to help each small group think through the concept of collaboration and lay the foundation for writing a definition. The first exercise asked the individuals in the groups independently to visualize, then share with their groups, what collaboration might look like. The second asked the groups to identify the key features of collaboration, some of which may have come from their individual visualizations. The third asked the groups to differentiate collaboration from other related concepts such as cooperation and coordination. It also asked the groups to identify antecedents (e.g. conditions or situations) and consequences of a successful collaboration. Finally, the 16 Bedwell, W. L., Wildman, J. L., DiazGranados, D., Salazar, M., Kramer, W. S. & Salas, E. (2012). Collaboration at work: An integrative multilevel conceptualization. Human Resource Management Review. Elsevier. 17 Gray, B. & Wood, D. J. (1991). Collaborative alliances: Moving from practice to theory. The Journal of Applied Behavioral Science. Sage Publications. Quoted in: Longoria, R. A. (2005). Is inter-organizational collaboration always a good thing. Journal Sociology & Social Welfare. HeinOnline.

11 COLLABORATION LITERATURE REVIEW WHITEPAPER groups collaboratively utilized what they
generated to write a relatively brief definition of collaboration. Two methods were used to synthesize all the groups’ responses into a single definition. The first was to simply append the three definitions written by each group, remove any redundant statements, and streamline sentences. The result of this method is the following, somewhat lengthy definition: Collaboration is a process of discovery and creation that is motivated by a high sense of purpose made concrete by a shared goal and framework. Parties authentically and fully engage to work toward mutual as well as external benefit thereby creating an environment of mutual respect and trust. Such an environment helps build unity of vision and purpose by embracing a deeper truth, and contributes to the betterment of the world. The collaborative process necessitates a greater awareness of the whole (e.g. group, community, systems) to solve complex challenges, bring about innovation, and increase relevance more broadly. The process itself inevitably leads to the creation of a more united, collaboratively-adept community, organization or society. The second method was more complex and relied upon a researcher’s analysis of the groups’ responses to all of the exercise sections. First, responses by all three groups for each section were collected and synthesized into 23 features associated with collaboration. Interestingly, these were found to fall into three categories: the environment of collaboration, the attitudes of collaborators, and the structure/ process of collaboration. Then, features deemed un- necessary for collaboration were removed from the list so that 13 features remained. Those 9 features pertaining to the structure/process of collaboration were then exclusively considered since they dealt in a more substantive way with the concept. Finally, keeping in mind the desire for parsimony, these 9 features were distilled into 4 necessary conditions for collaboration: • Shared Purpose. A group of people need to have a common purpose which lends direction to their efforts together, otherwise a collaboration reduces to a seemingly rich yet unproduc- tive conversation. • Idea Reformation. Participants need not only share ideas or perspectives, but the sharing process should include some form of interaction yielding alternative, interactively formed ideas or perspectives. • Creation/Discovery. A collaborative process should give rise to the discovery or creation of something new. Failing this, idea reformation will reach no conclusive end. • Shared Ownership. Throughout and by the end of the process, those engaged in a collaboration have collective ownership over what- ever was created or discovered. Failing this perspective, a collaborative process reduces to an imposed external exercise. These four conditions could then be summarized in a concise definition as follows: Participants may be said to be collaborating when they are guided by a shared purpose to engage in a reciprocal process of sharing and reforming ideas to create or discover something new which is collectively owned. Beyond parsimony, this last definition also effectively addresses the definition criteria mentioned by several authors: (a) it does not include the specific outcome of collaboration per Gray & Wood (1991); (b) it answers “who is doing what?” and “toward which ends” questions, and, to a lesser extent, the

12 COLLABORATION LITERATURE REVIEW WHITEPAPER “with what means” question per
Wood & Gray (1991); (c) it applies at various levels of analysis, says something about the inherent process of collaboration, is described as a process, and acknowl- edges the influence of time, per Bedwell et al. (2012). This definition is most similar to Bedwell et al.’s (2012) interdisciplinary synthesis, except that they do not mention creation and discovery. • • • The definition above is somewhat technical and not infused with the conceptual framework which un- derpins SecondMuse’s perspective. Operating under the umbrella of the Harmony Equity Group, Second- Muse strives to apply and learn about four intertwined principles: coherence between the material and spiritual dimensions of reality, the organic unity and interdependence of humanity, the reciprocal relationship between unity and justice in human affairs, and the importance of cultivating the capacity for altruistic service to others. At one level, these principles have implications for the motivation to engage in collaboration. Through a recognition of the organic unity and interdependence of humanity, for example, SecondMuse is motivated to conceive and foster relationships characterized by cooperation and reciprocity. While this does not imply all relationships must be strictly collaborative, such a posture motivates one to seek out elements of the system which would benefit from it. Collaborative environments also help foster the capacity for altruistic service among groups of people, as they develop aims beyond themselves. Also, by recognizing a reciprocal relationship between unity and justice in the world, the imperative for collaboration as a means to unitedly seek out and apply justice strengthens. At another level, the principles have implications for the form which collaboration must take. Recogniz- ing the reciprocal relationship between justice and unity in human affairs, for example, guides collaborations to have aims conducive to the general welfare of humanity and to employ approaches which are conducive to the search for truth. In addition to this, acknowledging the organic unity and interdependence of humanity suggests the importance of adopting an inclusive approach, one which is not distorted by, say, a compartmentalized view of the various sectors of the economy. Such a truthful and inclusive collaborative process must be guided by a recognition of the spiritual and material dimensions of reality with its various implications including giving due consideration to the capacities that people, communities and institutions will need to develop. Such capacities include not only, say, basic structures and technical functioning, but should include environments of camaraderie, generosity, and commitment: in short, environments which cultivate our capacity for altruistic service to others.

13 COLLABORATION LITERATURE REVIEW WHITEPAPER How is collaboration being discussed
in the published literature? The first step to examining the literature on collaboration was to create a citation database of all the papers, books, conference proceedings, PhD theses, etc. which deal with collaboration or related subjects. This database was put together in two phases. The first phase involved putting together references which SecondMuse associates had already found on the topic. This list was augmented with additional references found online via Google Scholar using especially the terms “collaboration” and “colla- bor*”. The second phase involved selecting those papers among the two hundred which specifically and often comprehensively dealt with the subject of collaboration. This search yielded 29 journal articles. The reference list for each of these papers was then examined to find additional material relevant to the topic at hand. The second phase generated over three hundred citations, increasing the size of the database to 581 citations. Not all of these papers deal specifically with the topic of collaboration, yet they contain relevant material to the topic (e.g. human motivation, social organization, etc.). However, of these citations 260 have the word collaboration in their abstracts, or in the first three paragraphs of text if not in the abstract, or in the title if neither abstract or initial paragraphs are readily accessible. These 260 sources are the subject of the following landscape analysis and are hereafter referred to as the “database.” (See the appendix at the end of the document to review the complete list of sources.)

14 COLLABORATION LITERATURE REVIEW WHITEPAPER 260 ABSTRACTS The abstracts of
the sources of interest give a sense of the kind of notions which are often associated with the concept of collaboration. As can be seen in the word cloud below, words such as “research”, “public”, “management”, and “process” are very frequently used. This is representative of the fact that much of the discourse which often refers to collaboration as a process typically discusses it in the context of involving the public, and is inquiring into management-oriented questions. Indeed, the phrases “public management” and “decision making” are used 26 times, and “public administration” 20 times. The repeated use of the word “research” is likely due to the fact that abstracts often are explaining the research. Figure 4. Word cloud indicating word frequency within collaboration database abstracts

15 COLLABORATION LITERATURE REVIEW WHITEPAPER Figure 5. Journal references
within collaboration database 0 2 4 6 8 10 12 14 16 18 Public Administra6on Review The Journal of Applied Behavioral Science Journal of Public Administra6on Research and Theory Academy of Management Journal Administra6on & Society The American Review of Public Administra6on Research Policy Academy of Management Review Human Rela6ons Organiza6onal Dynamics Administra6ve Science Quarterly Environmental Management Interna6onal Journal of Public Administra6on Organiza6on Science Public Administra6on Public Management Review Strategic Management Journal European Journal of Innova6on Management Interna6onal Journal of Physical Distribu6on & Logis6cs Management Journal of management Policy Studies Journal Public Management an Interna6onal Journal of Research and Theory Society & Natural Resources Supply Chain Management: An Interna6onal Journal 98 JOURNALS OR PROCEEDINGS Of the sources in the database, nearly 200 were published in journals or proceedings. As the graph below shows, most of the papers were published in the journal Public Administration Review and The Journal of Applied Behavioral Science, followed by Journal of Public Administration Research and Theory, Academy of Management Journal, and Ad- ministration & Society. Such journals suggest that papers target a more applied research audience with an inclination toward administration and management. Journals mentioned two or more times are included in the figure below.

16 COLLABORATION LITERATURE REVIEW WHITEPAPER 56 YEARS The set of
sources spans 56 years with an early paper published in the American Journal of Sociol- ogy in 1958, dealing with an experimental study on intergroup relations and conflict all the way to several papers published in 2013, dealing with collaboration among researchers, collaboration among public agencies, as well as the systems and tools of collaboration. The graph below shows the count of sources across their publication dates. Figure 6. Citation frequency across years within collaboration database 0 5 10 15 20 25 30 1950 1953 1956 1959 1962 1965 1968 1971 1974 1977 1980 1983 1986 1989 1992 1995 1998 2001 2004 2007 2010 2013

17 COLLABORATION LITERATURE REVIEW WHITEPAPER 5 RESEARCH FEATURES Nearly half
of the papers elucidated some form of framework, usually a way to think about the topic of collaboration, such as Gray’s 1989 antecedents, process, outcome framework. Over a third included some kind of case study, a more or less in-depth examination of a particular setting in which collaboration occurred. Nearly 40 papers included a literature review, whether it formed a substantial portion or the vast majority of a paper. Interestingly, nearly the same number were found in which a hypothesis was actually tested using, in many cases, strictly quantitative methods. A few more than 20 articles contained predominantly an overview and/ or perspective on the topic of collaboration. Figure 7. Research features within collaboration database framework building case study hypothesis tes7ng literature review overview 0 20 40 60 80 100 120 140 160

18 COLLABORATION LITERATURE REVIEW WHITEPAPER 9 COLLABORATION TYPES Although the
database is focused on collaboration, papers are often written within one or another context which determines the type of collaboration being described. These types are in no way mutually exclusive or exhaustive; instead they give a sense of the ways in which collaboration is being written about. Most papers describe collaboration in its broadest, inter-organizational form, i.e. collaboration taking place among various types of organizations. Then there are papers which describe collaboration between firms (inter-firm), or between individuals (interpersonal), whether co-workers or not. Several papers were focused more on the related, yet not equivalent, concepts of coalitions, partnerships and/or alliances. And a growing literature discusses collaboration between or with researchers (“inter-researcher”) as well as collaboration for participatory governance. An emerging literature discusses crowdsourcing, which describes a distributed method of acquiring resources from large numbers of individuals. Finally, the database contains a few papers dealing with collaboration among government agencies specifically. Figure 8. Collaboration types discussed within collaboration database 0 20 40 60 80 100 120 140 160 180 inter-‐organiza2onal collabora2on inter-‐ﬁrm collabora2on inter-‐personal collabora2on coali2ons/partnerships/aliances inter-‐researcher collabora2on par2cipatory governance inter-‐governmental collabora2on crowdsourcing intra-‐ﬁrm collabora2on

19 COLLABORATION LITERATURE REVIEW WHITEPAPER 23 SETTINGS FOR ANALYSIS Of
the nearly 140 papers describing a case study and/or hypothesis testing component, nearly 130 had one or more settings which were readily identi- fiable. Twenty-five or more papers drew from experiences of collaboration in the social services, natural resources, healthcare, and/or research settings. About 20 papers dealt with cases in technology (not including biotech) and/or education settings. The figure below includes the count of papers by settings, as long as two or more papers drew from experiences in each setting. Figure 9. Settings for analysis within collaboration database 0 5 10 15 20 25 30 social services healthcare natural resources research technology educa7on environment manufacturing construc7on biotech chemicals military disaster management supply chain transporta7on 4 SECTORS OF COLLABORATORS Papers describing some form of organizational collaboration dealt with institutions in either governmental, private, nonprofit/non-governmental, or university/school sectors. For those papers with a case study or hypothesis testing component, about 70 papers included governmental and/or private sectors, and about 57 included the nonprofit/ non-governmental sector. Nearly 40 mentioned university or school collaborators. At least 30 sources dealt with collaboration between organizations within three or more sectors.

20 COLLABORATION LITERATURE REVIEW WHITEPAPER How have academics organized the
thinking about collaboration? Since a comprehensive analysis of nearly 300 papers would be prohibitive, this analysis will concen- trate on those papers which were categorized as containing a literature review. Among those categorized as such, the vast majority were published in journals, and about 2/3 also included development of some kind of overarching framework within which to organize the research and/or think about collaboration. After a careful review of sources in this category, 11 were selected (see table below) for a more thorough analysis below, since they either contained a more exhaustive literature review or conducted an interesting overview analysis of the field of collaboration and/or collaborative governance. AUTHOR TOPIC FRAME- WORK INCLUDES THEORY PROPOSITIONS OR CONCLUSIONS? PRIMARY BASIS FOR FRAMEWORK OR ARGUMENT REFERENCES TO THE PAPER REFERENCES FROM THE PAPER Bedwell et al., 2012 Collaboration Explicit No conceptual, some empirics 20 106 Ansell & Alison, 2008 Collaborative governance Explicit Yes empirical 641 148 McGuire et al., 2010 Collaborative public management None No empirical 3 115 Zakocs & Edwards, 2006 Community coalitions None No empirical 145 108 Mattessich et al., 2001 Collaboration Implicit No empirical 648 82 Foster- Fishman et al., 2001 Collaborative capacity in community coalitions Explicit No empirical 372 85 Emerson et al., 2012 Collaborative governance Explicit Yes mixed 77 138 O’Leary, & Vij, 2012 Collaborative public management None No mixed 10 76 Hudson, et al., 1999 Inter-agency collaboration in public sector Explicit No mixed 192 70 Longoria, 2005 Inter-organizational collaboration None No mixed 49 62 Bryson et al., 2006 Cross-sector collaboration Explicit Yes conceptual, some empirics 485 70 * The “references to the paper” refer to the number of papers which cite the paper indicated by each row. These figures are estimated using Google Scholar. “References from the paper” indicates the number of references included in the paper and provides a close approximation of the number of papers included in a given paper’s literature review.

21 COLLABORATION LITERATURE REVIEW WHITEPAPER CITATION ANALYSIS Between the eleven
papers listed above, 927 unique written sources were cited, 106 of which were cited by two or more of the eleven papers. Figure 10 below gives a graphical depiction of the degree of crossover of citations in the eleven papers. An alternative depiction of the degree of crossover can be made where each node represents the journal or book cited. In Figure 11, we see a representation of such information. Here one notices the degree to which each paper draws from similar (central circle) or unique sources (circles around satellites surrounding the central circle). Figure 10. Paper citation crossover Figure 11. Journal/Book citation crossover

22 COLLABORATION LITERATURE REVIEW WHITEPAPER A NOTE ON WORDS The
words frameworks, theories and models are often used interchangeably in the social sciences. This comes as no surprise, especially in the field of collaboration and collaborative governance, since it draws upon the knowledge from so many disciplines, each with its own nomenclature. For our purposes, however, we draw upon Elinor Ostrom’s (2005) distinction of the three concepts since they provide a very helpful way to frame the multi-disciplinary discourse. In her work “Understanding Institutional Diversity” (2005), Ostrom refers to frameworks, theories and models as concepts “which range from the most general to the most detailed types of assumptions made by the analyst.” Frameworks organize inquiry, outline relevant variables, provide “a meta-theoretic language that is necessary to talk about theories and that can be used to compare theories.” Theories actually specify “which components of a framework are relevant for certain kinds of questions and to make broad working assumptions about these elements.” Many theories may coincide with a single framework yet may each make distinct predictions. Models “make precise assumptions about a limited set of parameters and variables.” These allow analysts to precisely identify the consequences of changes in assumptions and/or parameters. A great number of papers in the database elaborate some kind of framework to organize the thinking on collaboration. The subset of 11 we focus on sim- ilarly includes many frameworks, except these are based upon the analysis of many, in some cases hundreds, of other papers. As can be seen in the table above, five papers explicitly define a framework (Ansell & Alison, 2008; Emerson et al., 2012; Bryson et al., 2006; Bedwell et al., 2012; Hudson, et al., 1999), one implicitly does so by categorizing relevant factors (Mattessich et al., 2001), and another defines a framework limited to the topic of collaborative capacity (Foster-Fishman et al., 2001). The remaining four papers (McGuire et al., 2010; O’Leary, & Vij, 2012; Zakocs & Edwards, 2006; Lon- goria, 2005) raise a series of interesting concepts without elaboration of a specific framework. Of those that include a framework, only three explicitly make theoretical statements either in the forms of testable conclusions or propositions.

23 COLLABORATION LITERATURE REVIEW WHITEPAPER MANY FRAMEWORKS The following diagrams
depict (sometimes) sim- plified versions of the frameworks provided by the papers mentioned above (except the one on collaborative capacity). Two papers (Hudson, et al., 1999; Mattessich et al., 2001) omitted visual representation of their framework and are represented as lists. Figure 12. Collaborative governance, based on empirical literature, Ansell et al., 2008 Figure 13. Collaboration, primarily conceptual exploration, Bedwell et al., 2012

24 COLLABORATION LITERATURE REVIEW WHITEPAPER Figure 14. Cross-sector collaboration,
based on conceptual exploration, Bryson et al., 2006 Figure 15. Collaborative Governance, based on empirical & framework literature, Emerson et al., 2012

25 COLLABORATION LITERATURE REVIEW WHITEPAPER Figure 16. Inter-agency collaboration
in public sector. Based primaril on conceptual exploration. Hudson et al., 1999 Figure 17. Collaboration. Based on empirical literature. Mattessich et al., 2001 A cursory examination of Hudson et al.’s (1999) framework reveals how the conception of collaboration is blurred with that of coordination. Indeed, a “collaborative” relationship could only take place within a market or hierarchy if its conception was reduced simply to one of coordination. A reading of the paper confirms this conception. In 2001, Matte- sich et al., developed a more refined understanding of collaboration as distinct yet related to concepts such as coordination and synthesized the research on factors producing effective collaboration accord- ing to six categories: environment, membership characteristics, process and structure, communication, purpose, and resources. In the frameworks of three of the more recent papers, we can see from the above depictions a general pattern emerges of various inputs facilitating, by way of some collaborative process, structure, and/or performance a series of outcomes--a kind ENVIRONMENT Contextual factors: expectations and constraints Recognition of the need to collaborate Identification of a legitimate basis for collaboration Assessment of collaborative capacity Articulation of a clear sense of collaborative purpose Nurturing fragile relationships Building up trust from principled conduct Selection of an appropriate collaborative relationship Ensuring wide organizational ownership Selection of a pathway (market, hierarchy, network) COMMUNICATION MEMBERSHIP PURPOSE PROCESS AND STRUCTURE RESOURCES

26 COLLABORATION LITERATURE REVIEW WHITEPAPER of input-output conception of the
process. Of the three papers, only Bedwell et al. (2012) explicitly state this fact when it states that its depiction of this framework is based on the input–mediator– output–input framework (IMOI) discussed by Ilgen et al. (2005). Finally, in Emerson et al., (2012) the framework is similar, but is discussed in the context of embedded systems with adaptive processes. FEW THEORIES AND NO MODELS Of all the papers which elucidate a framework, only three (Bryson et al., 2006; Ansell & Alison, 2008; Emerson et al., 2012) explicitly provide testable propositions or conclusions, thereby approaching the existence of a theory, as discussed by Ostrom (2005). These propositions or conclusions essen- tially come from or form the bases for the framework as elucidated in the paper. In this sense, then, the frameworks may be more accurately described as theories, or at least, theoretical frameworks. (See the Appendix for a list of each paper’s propositions or conclusions.) None of the papers reviewed includes a concrete model whereby the effects of changes in assumptions or parameters can be elucidated. SUGGESTED RESEARCH All of the papers included in this analysis make explicit and specific recommendations for future research, except for the paper dealing with collaborative capacity (i.e. Foster-Fishman et al., 2001). As would be expected, those papers which develop a framework, theoretical or otherwise, for thinking about collaboration in various contexts, recommend further testing and refinement of that same framework. For example, in Emerson et al.’s (2012) paper, this could include testing whether shared motivation enhances and sustains principled engagement and vice versa in a “virtuous cycle”, as mentioned in the paper. Along these lines, nearly all of these same papers, as well as a couple others, recommend that variables thought to be conducive to collaboration be operationalized into quantitative measures to enable more empirical analysis and cross-study comparisons. Beyond these issues, authors emphasize the pressing need for research to be of better use to practitioners (Bryson et al., 2006; McGuire et al., 2010; O’Leary, & Vij, 2012), greater dialogue and agreement on the definition of key concepts such as collaboration as well as better elaborations of collaboration theory (Longoria, 2005; O’Leary, & Vij, 2012). Also emphasized is the need to strengthen interdisciplinary collaboration (Zakocs & Edwards, 2006; Bryson et al., 2006) and to include an exploration of the costs vis a vis benefits of collaboration (Mattessich et al., 2001; Longoria, 2005). Several other research concerns are noted including the need for better examination of how stakeholders in collaborative processes are actually affected (Longoria, 2005) or drawing on the team literature (Bedwell et al., 2012). Mattessich et al. (2001) issue several recommendations. These include identifying factors which compel people to collaborate in the first place, examining if history influences how collaboration unfolds, and understanding the long- term outcomes of collaboration.

27 COLLABORATION LITERATURE REVIEW WHITEPAPER Retrospect and prospect: Toward a
systems framework for collaboration The study of many subjects arguably traces their initial development to the use of images and met- aphors drawn from nature. These help us understand phenomena and stimulate the generation of knowledge. For example, atomic models resemble patterns of the solar system, gravitational models derive inspiration from the palpable force of mag- netism, and economic market models aspire toward notions of equilibrium in simple physical systems. For SecondMuse, the human body is a helpful guide as a metaphor for the healthy operation of a society. The interactions at the cellular or whole-body level indicate the necessity of structure and the concordant necessity for permeability and reciprocity. The evolution of the body yields insight into the concept of phases, added structure, and the mutually reinforcing functions of specialization and integration. Additionally, unhealthy conditions within the body yield metaphorical insights into the root causes of society’s maladies. In this light, it is surprising to reflect upon the above literature review and see the inordinate focus placed on the collaborative process irrespective of the larg- er system in which collaboration is embedded . The concept of a system, with its associated elements and relationships, in combination with the concept of a process, supports the formalization of the body metaphor as context for collaboration. Here, collaboration can be described as one among many types of relationship within the system. Collaborative processes, then, may be seen within the context of the system itself, in time altering the direction of its evolution. To the extent that collaborative processes are conscious, the participants, each performing particular functions, heighten their own awareness of the surrounding system and contribute to its healthier reshaping. • • • The last century-and-a-half has positioned humanity to be increasingly conscious of the systemic nature of the world and the importance of conceptions and values. The number of relationships in society have increased exponentially. Individuals, institutions, and natural resources have evolved to interact with each other through a multifaceted web of cause and effect. Unharmonious relations in one part of the system more readily conduce to disharmony elsewhere through ripples in the system. Concurrent with this process of increasing structural interdependence is the increasing capacity of humanity to perceive interactions and more effectively change them. Communication technologies and a gradually manifesting, yet unmistak- able, selfless-orientation poise humanity to rethink the nature of relationships within this system and strive for its ultimate transformation to a sustainable whole which welcomes the contribution of all individuals and ensures justice for all. Generating knowledge on the process through which individuals and/or institutions engage in a collaborative interaction to describe reality, develop a shared vision for transformation, and continuously engage in action and reflection is a formidable task. How does one describe a process through which society redefines itself? The generation of knowledge in this respect may more effectively proceed through an ongoing, dialogical process of learning. In particular, it must be guided by the explicit elaboration of a conceptual framework comprised of fun-

28 COLLABORATION LITERATURE REVIEW WHITEPAPER damental beliefs, immutable principles, and
associated concepts which guide thinking and maintain consistency, features of any scientific endeavor. This is not to deny that, along the way, certain methods or techniques may prove helpful to improve collaborative relationships and processes. Indeed, the exercise of visually mapping a system with its own stakeholders is one such example. Yet, given that collaboration is fundamentally tied to the human experience, refining our understanding of collaboration will require a reconsideration of fundamental beliefs, motivations, and attitudes. Such a reconsideration is guided by principles of the Harmony Equity Group, under which SecondMuse operates. Its four intertwined principles include: coherence between the material and spiritual dimensions of reality, the organic unity and interdependence of humanity, the reciprocal relationship between unity and justice in human affairs, and the importance of cultivating the capacity for altruistic service to others. These principles not only motivate SecondMuse to engage in collaboration, but also inform its approach. The body metaphor and associated concept of the system tie into these principles, contributing to the development of a world-view which more accurately reflects reality. Altogether, these guide SecondMuse’s efforts to learn about and foster a new vision for the world.

29 COLLABORATION LITERATURE REVIEW WHITEPAPER Appendix A: Topics examined by
literature review papers The following table summarizes the literature review papers which are described above in the report: AUTHOR TOPIC DEFINITION WHAT IS DONE Bedwell et al., 2012 Collaboration “… an evolving process whereby two or more social entities actively and reciprocally engage in joint activities aimed at achieving at least one shared goal.” Review multi-disciplinary literature to synthesize a concept of... and develop a theoretical framework of … Ansell & Alison, 2008 Collaborative governance “A governing arrangement where one or more public agencies directly engage non-state stakeholders in a collective decision-making process that is formal, consensus-oriented, and deliberative and that aims to make or implement public policy or manage public programs or assets.” Conduct meta-analysis of literature and create contingency model of… McGuire et al., 2010 Collaborative public management “… describes the process of facilitating and operating in multiorganizational arrangements for solving problems that cannot be achieved, or achieved, or achieved easily, by single organizations.” Review and synthesize recent and more distant literature on… Zakocs & Edwards, 2006 Community coalitions “...inter-organizational, cooperative, and synergistic working alliances…” Review empirical literature and identify factors related to indicators of effectiveness of… in the health context Mattessich et al., 2001 Collaboration “... a mutually beneficial and well-defined relationship entered into by two or more organizations to achieve common goals. The relationships includes a commitment to mutual relationships and goals; a jointly developed structure and shared responsibility; mutual authority and accountability for success; and sharing of resources and rewards.” Review and synthesize literature on factors contributing to successful collaborations Foster- Fishman et al., 2001 Collaborative capacity in community coalitions “Collaborative capacity refers to the conditions needed for coalitions to promote effective collaboration and build sustainable community change (Goodman et al., 1998).” No definition is provided for coalitions per se. Develop an “integrative framework” which addresses the “core competencies” and “processses” needed for collaborative entities Emerson et al., 2012 Collaborative governance “The processes and structures of public policy decision making and management that engage people constructively across the boundaries of public agencies, levels of government, and/or the public, private and civic spheres in order to carry out a public purpose that could not otherwise be accomplished.” Synthesize literature into an “integrative framework” for…

30 COLLABORATION LITERATURE REVIEW WHITEPAPER AUTHOR TOPIC DEFINITION WHAT IS
DONE O’Leary, & Vij, 2012 Collaborative public management “... a concept that describes the process of facilitating and operating in multi-organizational arrangements to solve problems that cannot be solved or easily solved by single organizations. Collaborative means to co-labor, to achieve common goals, often working across boundaries and in multi-sector and multi-actor relationships. Collaboration is based on the value of reciprocity and can include the public.” Analyze pressing issues and concepts in the research and practice of…. Hudson, et al., 1999 Inter-agency collaboration in public sector n/a Review literature to create a framework--informed by research and theory--within which to pursue... Longoria, 2005 Inter- organizational collaboration They choose Wood and Gray’s (1991) definition: “Collaboration occurs when a group of autonomous stakeholders of a problem domain engage in an interactive process, using shared rules, norms, and structures to act or decide on issues related to that domain” Explore interest in... as based on evidence or on symbolic content Bryson et al., 2006 Cross-sector collaboration “The linking or sharing of information, resources, activities, and capabilities by organizations in two or more sectors to achieve jointly an outcome that could not be achieved by organizations in one sector separately.” Review literature, examine conditions prompting... and offer propositions to guide design and implementation of…

31 COLLABORATION LITERATURE REVIEW WHITEPAPER Appendix B: Theoretical propositions and
conclusions The following are the propositions and conclusions which are explicitly stated by papers which attempt to elucidate a framework. These sets of propositions and conclusions may be said to begin to constitute a theory of collaboration in the context each paper examines. Emerson et al.’s (2012) propositions 1. One or more of the drivers of leadership, conse- quential incentives, interdependence, or uncertainty are necessary for a CGR to begin. The more drivers present and recognized by participants, the more likely a CGR will be initiated. 2. Principled engagement is generated and sustained by the interactive processes of discovery, definition, deliberation, and determination. The effectiveness of principled engagement is determined, in part, by the quality of these interactive processes. 3. Repeated, quality interactions through principled engagement will help foster trust, mutual understanding, internal legitimacy, and shared commitment, thereby generating and sustaining shared motivation. 4. Once generated, shared motivation will enhance and help sustain principled engagement and vice versa in a “virtuous cycle.” 5. Principled engagement and shared motivation will stimulate the development of institutional arrangements, leadership, knowledge, and resources, thereby generating and sustaining capacity for joint action. 6. The necessary levels for the four elements of capacity for joint action are determined by the CGR’s purpose, shared theory of action, and targeted outcomes. 7. The quality and extent of collaborative dynamics depend on the productive and self-reinforcing interactions among principled engagement, shared motivation and the capacity for joint action. 8. Collaborative actions are more likely to be imple- mented if 1) a shared theory of action is identified explicitly among the collaboration partners and 2) the collaborative dynamics function to generate the needed capacity for joint action. 9. The impacts resulting from collaborative action are likely to be closer to the targeted outcomes with fewer unintended negative consequences when they are specified and derived from a shared theory of action during collaborative dynamics. 10. CGRs will be more sustainable over time when they adapt to the nature and level of impacts resulting from their joint actions. Ansell & Alison’s (2008) conclusions 1. If there are significant power/resource imbalances between stakeholders, such that important stakeholders cannot participate in a meaningful way, then effective collaborative governance requires a commitment to a positive strategy of empowerment and representation of weaker or disadvantaged stakeholders 2. If alternative venues exist where stakeholders can pursue their goals unilaterally, then collaborative governance will only work if stakeholders perceive themselves to be highly interdependent. 3. If interdependence is conditional upon the collaborative forum being an exclusive venue, then sponsors must be willing to do the advance work of getting alternative forums (courts, legislators, and executives) to respect and honor the outcomes of collaborative processes. 4. If there is a prehistory of antagonism among stakeholders, then collaborative governance is unlikely to succeed unless (a) there is a high degree of interdependence among the stakeholders or (b) positive steps are taken to remediate the low levels of trust and social capital among the stakeholders. 5. Where conflict is high and trust is low, but power distribution is relatively equal and stakeholders have an incentive to participate, then collaborative governance can successfully proceed by relying on the services of an honest broker that the respective stakeholders accept and trust. This honest broker might be a professional mediator. 6. Where power distribution is more asymmetric or incentives to participate are weak or asymmetric, then collaborative governance is more likely to succeed if there is a strong ‘‘organic’’ leader who commands the respect and trust of the various stakeholders

32 COLLABORATION LITERATURE REVIEW WHITEPAPER at the outset of the
process. ‘‘Organic’’ leaders are leaders who emerge from within the community of stakeholders. The availability of such leaders is likely to be highly contingent upon local circumstances. 7. Even when collaborative governance is mandated, achieving ‘‘buy in’’ is still an essential aspect of the collaborative process. 8. Collaborative governance strategies are particularly suited for situations that require ongoing cooperation. 9. If prior antagonism is high and a long-term commitment to trust building is necessary, then inter- mediate outcomes that produce small wins are particularly crucial. If, under these circumstances, stakeholders or policy makers cannot anticipate these small wins, then they probably should not embark on a collaborative path. Bryson et al.’s (2006) propositions 1. Like all interorganizational relationships, cross-sector collaborations are more likely to form in tur- bulent environments. In particular, the formation and sustainability of cross-sector collaborations are affected by driving and constraining forces in the competitive and institutional environments. 2. Public policy makers are most likely to try cross-sector collaboration when they believe the separate efforts of different sectors to address a public problem have failed or are likely to fail, and the actual or potential failures cannot be fixed by the sectors acting alone 3. Cross-sector collaborations are more likely to succeed when one or more linking mechanisms, such as powerful sponsors, general agreement on the problem, or existing networks, are in place at the time of their initial formation 4. The form and content of a collaboration’s initial agreements, as well as the processes used to for- mulate them, affect the outcomes of the collaboration’s work 5. Cross-sector collaborations are more likely to succeed when they have committed sponsors and effective champions at many levels who provide formal and informal leadership. 6. Cross-sector collaborations are more likely to succeed when they establish-with both internal and external stakeholders-the legitimacy of collaboration as a form of organizing, as a separate en- tity, and as a source of trusted interaction among members. 7. Cross-sector collaborations are more likely to succeed when trust-building activities (such as nurturing cross-sectoral and cross-cultural understanding) are continuous. 8. Because conflict is common in partnerships, cross-sector collaborations are more likely to succeed when partners use resources and tactics to equalize power and manage conflict effectively. 9. Cross-sector collaborations are more likely to succeed when they combine deliberate and emergent planning; deliberate planning is emphasized more in mandated collaborations and emergent planning is emphasized more in non-mandated collaborations. 10. Cross-sector collaborations are more likely to succeed when their planning makes use of stakeholder analyses, emphasizes responsiveness to key stakeholders, uses the process to build trust and the capacity to manage conflict, and builds on distinctive competencies of the collaborators. 11. Collaborative structure is influenced by environmental factors such as system stability and the collaboration’s strategic purpose. 12. Collaborative structure is likely to change over time because of ambiguity of membership and complexity in local environments. 13. Collaboration structure and the nature of the tasks performed at the client level are likely to influence a collaboration’s overall effectiveness. 14. Formal and informal governing mechanisms are likely to influence collaboration effectiveness. 15. Collaboration structure and the nature of the tasks performed at the client level are likely to influence a collaboration’s overall effectiveness. 16. Collaborations involving system- level planning activities are likely to involve the most negotiation, followed by collaborations focused on administrative-level partnerships and service delivery partnerships. 17. Cross-sector collaborations are more likely to succeed when they build in resources and tactics for dealing with power imbalances and shocks 18. Competing institutional logics are likely within cross-sector collaborations and may significantly influence the extent to which collaborations can agree on essential elements of process, structure, governance, and desired outcomes.

33 COLLABORATION LITERATURE REVIEW WHITEPAPER 19. Cross-sector collaborations are most
likely to create public value when they build on individuals’ and organizations’ self-interests and each sector’s characteristic strengths while finding ways to minimize, overcome, or compensate for each sector’s characteristic weaknesses. 20. Cross-sector collaborations are most likely to create public value when they produce positive first-, second-, and third-order effects. 21. Cross-sector collaborations are most likely to create public value when they are resilient and engage in regular reassessments. 22. Cross-sector collaborations are more likely to be successful when they have an accountability system that tracks inputs, processes, and outcomes; use a variety of methods for gathering, interpret- ing, and using data; and use a results management system that is built on strong relationships with key political and professional constituencies. 23. The normal expectation ought to be that success will be very difficult to achieve in cross-sector collaborations.

34 COLLABORATION LITERATURE REVIEW WHITEPAPER Appendix C: Citations used for
“the database” of collaboration papers, chapters, and books. Abers, Rebecca Neaera (2007). Organizing for governance: building collaboration in Brazilian river ba- sins. World Development. 35(8) 1450-1463 Agranoff, R. (2004). Leveraging networks: A guide for public managers working across organizations. Col- laboration: Using Networks and Partnerships, 62- 102. Agranoff, Robert (2006). Inside collaborative networks: Ten lessons for public managers. Public Administra- tion Review. 66 56-65 Agranoff, Robert and McGuire, Michael (2001). Big questions in public network management research. Journal of Public Administration Research and The- ory. 11(3) 295-326 Agranoff, Robert and McGuire, Michael. (2004). Collab- orative public management: New strategies for local governments. Georgetown University Press Ahuja, Gautam (2000). Collaboration networks, structural holes, and innovation: A longitudinal study. Administrative Science Quarterly. 45(3) 425-455 Albors, Jordi and Ramos, Juan C and Hervas, Jose L. (2008). New learning network paradigms: Commu- nities of objectives, crowdsourcing, wikis and open source. International Journal of Information Man- agement. 28(3) 194-202 Alexander, Jeffrey A and Comfort, Maureen E and Wein- er, Bryan J and Bogue, Richard (2001). Leadership in collaborative community health partnerships. Non- profit management and leadership. 12(2) 159-175 Alter, Catherine and Hage, Jerald. (1993). Organizations working together. Sage Publications Newbury Park, CA Amabile, Teresa M and Patterson, Chelley and Mueller, Jennifer and Wojcik, Tom and Odomirok, Paul W and Marsh, Mel and Kramer, Steven J (2001). Ac- ademic-practitioner Collaboration in management research: A case of cross-profession collaboration. Academy of Management Journal. 44(2) 418-431 Amirkhanyan, Anna A (2009). Collaborative performance measurement: Examining and explaining the prevalence of collaboration in state and local government contracts. Journal of Public Administration Research and Theory. 19(3) 523-554 Amirkhanyan, Anna A and Kim, Hyun Joon and Lam- bright, Kristina T (2012). Closer Than “Arms Length” Understanding the Factors Associated With Collab- orative Contracting. The American Review of Public Administration. 42(3) 341-366 Ansell, Chris and Gash, Alison (2008). Collaborative governance in theory and practice. Journal of Public Administration Research and Theory. 18(4) 543-571 Antikainen, Maria and MÃ¤kipÃ¤Ã¤, Marko and Ahonen, Mikko (2010). Motivating and supporting collaboration in open innovation. European Journal of Innovation Management. 13(1) 100-119 Appley, Dee G and Winder, Alvin E (1977). An evolving definition of collaboration and some implications for the world of work. The Journal of Applied Be- havioral Science. 13(3) 279-291 Arino, Africa and De La Torre, Jose (1998). Learning from failure: Towards an evolutionary model of collaborative ventures. Organization Science. 9(3) 306-325 Arya, Bindu and Lin, Zhiang (2007). Understanding Collaboration Outcomes From an Extended Re- source-Based View Perspective: The Roles of Orga- nizational Characteristics, Partner Attributes, and Network Structures. Journal of Management. 33(5) 697-723 Bahinipati, Bikram K and Kanda, Arun and Deshmukh, SG (2009). Horizontal collaboration in semiconduc- tor manufacturing industry supply chain: an evaluation of collaboration intensity index. Computers & Industrial Engineering. 57(3) 880-895 Bardach, Eugene. (1998). Getting agencies to work together: The practice and theory of managerial craftsmanship. Brookings Institution Press Barratt, Mark (2004). Understanding the meaning of collaboration in the supply chain. Supply Chain Management: An International Journal. 9(1) 30-42 Barratt, Mark and Oliveira, Alexander (2001). Exploring the experiences of collaborative planning initiatives. International Journal of Physical Distribution & Lo-

35 COLLABORATION LITERATURE REVIEW WHITEPAPER gistics Management. 31(4) 266-289 Bartunek,
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36 COLLABORATION LITERATURE REVIEW WHITEPAPER Byles, John A (1985). Problems
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