Collaboration Learning Resources 3

5.0 Stage 2: Formalising your collaboration

In this section you will find information on a variety of mechanisms to formalise your collaborative relationships to deliver more effective services.

All stakeholders should be involved in identifying risks and appropriate strategies to mitigate them, and these should be documented as soon as possible. Collaborations that involve substantial financial commitment should always have a well-researched, robust and documented risk management plan appropriate to the level of potential loss or negative impact.

Partnership or inter-agency agreements document the agreed terms and conditions of collaboration between agencies. Agreements may contain the general aims, priorities and commitments of the partnership and provide clarity around roles and responsibilities.

Service protocols outline how agencies work together.

5.1 Risk management of collaborations

Risk for organisations investigating collaboration needs to be considered within the context not of the occurrence of an event, but of the impact of that event on the objectives sought from the collaborative practice. This is in line with the definition of risk as “the effect of uncertainty on objectives” noted in the risk management framework developed by the Australian Standards/New Zealand Standards International Organisation of Standardisation (AS/NZS ISO 3100:2009 Risk Management – Principles and Guidelines).

Risk isn’t the probability of a partner losing funding but the chance that this reduced financial income will disrupt your collaborations’ objectives by reducing the capacity of that partner to contribute to the collaboration.  Risks arise because organisations and collaborations need to set future objectives against a background of uncertainty.

For individual organisations and collaborations, there is a legal requirement to protect the assets and financial resources of their members by managing risk and the potential for loss. Administrators – including the management committees and boards of not for profit organisations have a legal obligation to identify risks and address them. They must follow through and check that strategies are implemented, and deal effectively with the risk.

Organisations considering any long term collaboration must thoroughly investigate the risks to their own organisation arising from this move, including the impacts on service users and staff. They must also assess the viability and sustainability of the collaboration including its capacity to meet the required objectives. Prospective collaboration partners should incorporate the potential impacts of the proposed collaboration on their own organisation into its risk management plan. Additionally there is also a need to develop with the other collaboration partners a separate risk management plan for the collaboration itself.

In the current environment of low sector wages, economic constraint and increasingly complex service user needs there may also be risk to the sustainability of an organisation if it chooses not to collaborate. This risk should be identified and captured in the organisation’s own risk management plan.

For many organisations in the sector, it will be the level of suitable collaboration that requires the most consideration. And, it is the level of collaboration that will set the level of appropriate risk management. Collaborations that involve substantial financial commitment should always have a well-researched, robust and documented risk management plan appropriate to the level of potential loss or negative impact. Seeking legal advice for complex collaborations is also a sound risk management strategy.

Risk management framework

A risk management framework involves four key steps

1. Risk identification
2. Risk assessment
3. Risk treatment/reduction/mitigation
4. Risk management plan evaluation/review

Risk identification

Communicate, consult and engage relevant stakeholders. In particular ensure that people at all levels of the organisational structure, service users and key relevant stakeholders are provided with the opportunity to input into risk management scoping and planning.  Where appropriate review organisational records and see what risks have been previously identified. Previous experience can be a reasonable guide. Tap into the experience of organisations/collaborations with similar objectives.

Risk assessment

Risks must be dealt with according to their order of priority. This is based on the risk of likelihood and the level of impact or consequence. Analysing and classifying risks helps this prioritisation.

• High risk – frequent incidents with severe consequences
• Moderate risk – infrequent incidents with major consequences
• Moderate risk – frequent accidents with minor loss
• Low risk – infrequent accidents with minor injury

Risk treatment or reduction

After the risk has been identified and assessed, it is essential to implement appropriate risk treatment/mitigation. Risk treatment can lower the frequency and severity of incidents

Risk management plan evaluation or review

Once implemented, a risk management framework still needs to be monitored and evaluated. This requires a review of records, incident reports and losses or negative consequences. It is wise to not only develop a sound framework that clearly states the policies and reporting procedures, this framework also needs to be effectively communicated to all organisational stakeholders.

Once you have selected an appropriate Risk Management Framework for your level of collaboration, all stakeholders need to be involved in identifying risks and suitable treatment strategies and these should be documented as soon as possible.

5.2 Developing documentation

Developing interagency protocols and service agreements

Partnership or inter-agency agreements are documents that record the agreed terms and conditions of collaboration between separate agencies and/or sectors. The term 'agreement' is sometimes used interchangeably with guidelines and Memoranda of Understanding (MOU). There can be both legally binding and non-legally binding agreements. MOUs are non-legally binding agreements. A formal contract is legally binding.

Inter-agency agreements or protocols can serve a number of purposes:

• clarifying roles and responsibilities
• maintaining consistency of inter-agency relationships and practices
• explicitly stating what agencies and/or sectors have committed to
• providing a basis for negotiation of responses to a situation or resolution of differences between agency approaches, and/or
• providing an agreed process for resolving inter-agency differences.

Definitions

Inter-agency or partnership agreement

An inter-agency or partnership agreement is a document outlining the basis of a new relationship and the agreed objectives between partners.

Agreements can be developed at a statewide, regional or local level.

An agreement may be a broad, high-level agreement that documents the relationship between groups of agencies. For example:

• state government and the non-government sector about their roles and responsibilities
• local government and the non-government sector about community development activities
• government and a consumer peak body about the interests of service users
• peak bodies representing different interest groups identifying the boundaries of their constituencies
• professional groups such as social workers, psychologists, welfare workers agreeing on inter-professional practices
• universities and the non-government sector agreeing to provide learning and development pathways for community services workers
• Aboriginal and Torres Strait Islander communities and the non-government sector or government about sustainable servicing practices to remote areas, or
• the non-government sector and business about pro bono contributions and volunteers.

An agreement may also be a simple agreement between two agencies about specific aspects of their work. For example:

• a homeless men's shelter having an agreement with the local integrated mental health team for responding to crisis situations involving their residents with mental health issues
• a disability support service having an agreement with an accommodation service to access weekend respite care services for clients, or
• a network of after-school care programs having an agreement about delivery and access of workers to a training program operated by one of the agencies.

Agreements should be contractually binding if there are consequences for partners for not complying with the agreed terms.

Protocols

A protocol is the more detailed process by which inter-agency partners will work together. Protocols document how partner agencies will interact and what each partner can reasonably expect from the other. Protocols can provide legitimacy to relationships and processes already in place but have not been formally documented.

Protocols are a practical, hands-on way to outline specific processes and procedures between service delivery agencies.

Protocols are not usually contractually binding but are used to set agreed good practice standards that parties should meet.

Agreements and protocols can occur together. A partnership agreement might contain the general aims and commitments of the partnership and the protocols outline how agencies work together.

Some examples of protocols include:

• a women's refuge having a protocol with a specialist immigrant women's support service on how referral and ongoing support procedures will include access to interpreters for women from culturally and linguistically diverse backgrounds
• an aged care provider offering community options having a protocol with local hospital social workers and community health social workers regarding the way eligibility criteria and referral processes will operate, or
• an out-of-home care network of agencies having a protocol outlining how each agency's role will operate in the continuum of care and referral processes between agencies.

Reasons for developing service protocols and agreements

The reasons for developing service agreements and protocols are many and varied. Sometimes it is in response to issues that are having adverse effects on partners. Other times it will be to embark on a new initiative or take action on a common goal.

Agreements are most typically developed to:

• outline strategic priorities and planned commitments
• provide guidance around allocation of resources
• clarify roles and responsibilities
• signify a commitment to part of a process such as an integrated service system
• respond to new legislation or other compliance requirements, or
• establish the principles and agreements for co-location.

Protocols are most typically developed to:

• better co-ordinate local service delivery
• share information about service users across organisational and professional boundaries
• obtain priority access to services for clients in crisis or where high-risk circumstances exist
• outline specific management and service arrangements for co-location, or
• manage case management and coordination responsibilities for clients with multiple and complex needs where several agencies are involved. (Case management protocols cover the roles and responsibilities of the various agencies in client eligibility, access and referral processes, preliminary and ongoing assessment, delivery of care and support, ongoing care and support and exit planning.)

Formats for interagency agreements and protocols

If your agency is drafting an agreement or protocol, these documents usually cover a standard format. The following formats are provided as a guide to assist in the development process.

An agreement format covers principles for the agreement.

The types of principles that might be found in an agreement include a commitment to:

• equity
• diversity
• interconnectedness
• democratic decision making processes
• open communication
• co-operation
• consistency of process
• efficiency of processes
• focus on client outcomes and quality of life outcomes
• transparency and accountability, and
• keeping stakeholders informed
• parties involved and their roles
• desired outcomes
• achievement of desired outcomes or how the partnership agreement will be enacted (such as activities to be undertaken or procedures to be followed)
• review processes and time frames
• life of partnership agreement
• status of the agreement (whether it is legally binding or not)
• any terms the parties agree to abide by and any consequences for breaching the agreement
• signatories and date.

An inter-agency protocol format covers:

• background/ introduction
• purpose of the protocol, including aims and objectives
• parties to the protocol
• the protocol's perceived benefits
• principles that inform the protocol, such as committing to working together and open communication
• the legal background or other important contextual information about compliance requirements
• a conceptual framework or map which provides a whole of system diagram outlining the agencies involved in the protocol
• participating agencies' roles and responsibilities
• any structures or existing networks that have a role and what that role is
• a set of procedures that provide practical guidance on how the protocol will be implemented
• arrangements for monitoring and reviewing the use of the protocol and responding to any breaches or grievances
• complaints procedures
• attachments, including forms, legislation, check lists, flow charts and a glossary of terms.

Steps for developing protocols

There are some generic steps which can assist in developing inter-agency service agreements and protocols.

1. Identify the need for and purpose for establishing a protocol.
2. Check if there are existing protocols that are relevant or could be adapted and used.
3. Identify who should be involved (government, non-government, and community players).
4. Contact potential inter-agency participants and gain preliminary support for the proposal.
5. Organise an initial inter-agency meeting to discuss:
• why a protocol is needed
• issues the protocol is trying to address
• purpose of the protocol
• who is involved
• issues or barriers to protocol development.
6. Establish a shared commitment to working together to develop the protocol.
7. Develop a process such a working group with cross-agency representation to develop the protocol.
8. Develop the draft protocol document for circulation and feedback.
9. Finalise the protocol and distribute.
10. Develop a working/steering group to oversee and support the process of implementation of the protocol including briefings and training to staff, staged implementation processes, mechanism for early detection of any problems, any addi-tional resources/other supports required.
11. Implement the protocol.
12. Establish a mechanism for regular monitoring and review the protocol.
13. Revise the protocol accordingly.

Managing inter-agency differences

When implementing agreements and protocols it is inevitable that tensions will occasionally arise. This can be due to:

• a lack of clarity about roles
• professional and organisational philosophies
• different expectations about priorities and ways of working
• perceived power differences between partners
• communication failures, and
• varying degrees of commitment to the agreement or protocol.

The early recognition of problems and a shared commitment across agencies to deal with the problem are keys to resolving differences. Solving issues within the inter-agency group is the preferred approach. Only in extreme circumstances would the assistance of external mediators be sought.

5.3 Memorandum of Understanding

What is an MOU?

A memorandum of understanding or MOU is a documented agreement that sets out how a partnership arrangement  will operate. It enables all parties to the collaborative activity see that they are agreeing to the same thing, and provides a solid reference to go back to should disagreements arise. It must be remembered that MOUs are non-legally binding documents however they provide necessary structure to the collaborative process and help ensure no unreal expectations arise.

A simple MOU may be used where there is a low level of complexity associated with the collaborative arrangement. For example: where two organisations decide to work collaboratively, adhering to an agreed set of principles, to achieve a common objective such as improved, culturally appropriate service delivery.

However complex and or long term collaborations require substantial documented corroboration to clearly outline roles and responsibilities and offset risks to partnering organisations. In these circumstances it is best to support the MOU with a briefing note that outlines the history of and reasons for the collaboration and a documented partnership agreement including a risk management plan. This is of particular importance where the services agreeing to the collaboration are not the legal entities of their organisations: for example, when local services agreed to partner but must have final sign off from their parent organisation.

Use the Potential Collaboration Check List to assess the level of risk to your organisation arising from the proposed collaboration. The more categories and potential risks that apply in your circumstances the more substantial your documentation needs to be.

Elements of an MOU

Even a simple MOU should contain several basic elements. These include:

• The names of the collaborating partners.
• The objective of the collaboration
• The principles that will establish the practice framework.
• The things that the parties have reached agreement on. This can be a few dot points in the MOU itself, or a reference to a Partnership Agreement that outlines:
• The role of each party
• Responsibilities of each party
• Tasks to be undertaken by each party
• Quality and performance monitoring or performance management
• Agreed protocols or policies and procedures
• Risk management
• Rights and safeguards (such as intellectual property, confidentiality, privacy)
• Resource use arrangements
• Reporting and accountability
• The duration of the MOU.
• A dispute resolution process.
• The role of the MOU – noting that the document is non-legally binding but provides the principles that underpin the collaboration and outlines the timeframe and the areas of commitment.
• Signatures of Collaboration partners and signatures of witnesses.

6.0 Stage 3: Managing change arising from collaborative practices

The decision by any organisation to undertake a new collaborative activity is a signal of the start of change. The complexity and the timeframe of the collaborative activity itself, will indicate the extent of the change management process required to effectively support the new way of working. All organisational stakeholders of the collaboration need to feel a strong sense of ownership and as valued and supported by the new collaboration as they were by the single entity.

Processes for managing change

Understanding and promoting the reasons for and benefits of the change

It is natural for people to resist change, yet the capacity to change and evolve is an essential element of any successful organisation, service or collaboration. It is therefore extremely important to get the process right and to clearly communication the reasons for, and the benefits of the collaboration, to all the collaborations stakeholders and the broader community. It is not the biggest organisations that survive it is the most adaptable.

Establishing culture and values at the beginning of the process

All partners need to agree and adhere to, a set of values that set the standard for how partners will work together. These values need to be practiced within individual organisational partners, within the collaboration and whenever staff interact with service users and the broader community.

Within individual organisational partners the most effective way of supporting and encouraging the new way of work is to be a “learning organisation”. This approach promotes a culture of continuous improvement that is comfortable with both radical and gradual change, so long as that change is in the best interest of the organisation and its stakeholders. Reviewing and improving becomes standard practice.

Develop a change process

Individual partner organisations need to work through the change process within their own entities as well as when they are developing and implementing new collaborative approaches.

Begin with the end in mind

If the drivers of the collaboration do not know where they started or where they are going, it is hard to decide on the right track. Benchmark where your organisation is now – from various perspectives. Ask where do we want to be – begin with the end in mind. Know the gap between the present and what you hope the collaboration will achieve. Identify the changes needed to close the gap. Be clear in what the collaboration is trying to achieve – where practical use objective measures. Be able to explain those goals to others clearly and succinctly. Remember staff and stakeholders must be comfortable with the change if it is to work. Keep goals few in number and unambiguous.

Be realistic

To plan and manage change well, you need to be realistic and understand the difficulty of the change and who it will affect. Then identify, quantify and organise the various stages of the change. Ask how will this affect those involved? Everything that may change needs to be documented. Changes in individual responsibility must be clear. Effective communication with everyone in the organisation is essential. Where practical break the change down into small steps. Undertake a critical path analysis and know in what order changes need to occur and the time required to implement each stage. Continually restate the benefits of the change.

Engage others

Effective change strategies must allow for the variety of attitudes and needs of those engaged in the change process. Identify those most important to implementing the change and ensure that they are included in the process. Consult as much as practical however be very clear where there is a capacity for people to influence the change and where things will be mandated (legislation; protocols agreed at board level; changes in service agreements.) Make getting your people policies/protocols right a top priority. Use training as a way to engage people in the change process. Hold frequent informal and formal meetings to communicate the change. Manage people’s expectations carefully. Include everybody in planning at least one phase of the change and give people some autonomy and flexibility. Encourage and support stakeholders as the changes progress.

Manage the timeframe

Drivers of the collaboration process must have long term goals while simultaneously planning small operational changes that may only take days or weeks to eventuate.  To make change more palatable introduce it in phases where practical. Continuous lasting change is an accumulation of all the smaller changes that occur. Look for short term solutions that solve problems quickly. Establish a timeframe for changes and stick to it. Stay future focused, and always keep the desired end goals in mind.

Have a documented action plan

Develop an Action Plan in a variety of forms to allow for people’s learning styles. For example: an action plan document; a PowerPoint presentation; a flow chart; a gantt chart. Keep involving all those directly impacted by the change around the practicality of the proposed changes and their time frames. If circumstances change, be willing to change the plan.

Manage risks

Formal risk management plans are essential for any complex collaboration however it also helps to consider the “smaller” problems that may arise.

6.1 Contingency planning

What may go wrong and prevention strategies

Communication: key staff are unable or unwilling to communicate effectively with other employees.

• Develop and implement an organisational communication plan, using emails, team/staff meetings and workshops.
• Mentor people to improve communication skills.

Finance: predicted cost savings from the collaboration are smaller than expected.

• Have a contingency plan to further reduce costs in other ways if necessary.
• Identify the reasons that the expect savings did not occur and see if these can be remedied.

Implementation: People pay lip service to the collaboration but continue to do what they have always done.

• Ensure that there are very clear documented protocols and schedules of delegation to support the new collaborative approaches.

Commitment: feedback and people’s behavior indicate that interest in the collaboration is waning.

• Bring people together to talk about the reasons for their lack of enthusiasm, revisit the benefits of the collaboration and revise plans and strategies if necessary.

Delays: The collaboration process falls behind its scheduled timeframe.

• Manage all the things within your control: identify reasons for the delays and problem solve ways around them.Where the delay is outside your control, (for example: funding is delayed or necessary premises aren’t ready on time) ensure that everyone is aware of the reasons for the delay and reminded of the organisational commitment to the process.

Training: available training for required new skill sets is not available locally.

• Mentor with your own organisation.
• Second people to different organisations to build skills.
• Send key people away for training and have them instruct other staff on their return.
• Look for technologies that can support skills development: online learning; video conferencing.

Timescale: Boards and funding bodies are impatient for results Look for “low hanging fruit”: simple projects that will demonstrate the capacity of collaboration partners to work together.

• Start with coordinated and simple collaborative activities (events, training days and resource sharing) to develop trust and momentum and then move to more complex collaborations and case management.

Troubleshooting: complex and unexpected problems arise that may disrupt the whole collaborative and change processes.

• Build on the organisational learning culture that identifies problems as another challenge to be solved.
• Set up special working groups to focus on these issues if necessary.

Active internal organisational resistance: when experiencing change people go through a range of emotional reactions from passivity and denial, to anger and depression and finally to acceptance.

• Be on the watch for hidden resistance: when it is in the open you can deal with it.
• Always be open about potential negative effects of the collaboration.
• Recognise that emotion is not answered by reason but depends upon appropriate emotional reassurance.
• Do not confuse criticism with resistance, as the criticism may be valid.
• Identify collaboration champions that will help you “sell” the benefits of the collaboration and respond to the critics and traditionalists.

Things don’t go according to plan: life is full of surprises.

• Test your plans where practical.
• Start collaborative activities on a small scale to build trust.
• Have regular meetings with relevant people to ensure that things are on track.
• Analyse problems and look for ways around tem.
• Revisit contingency plans.

Adapted from Table: “Preparing Contingency Plans” p729 Essential Manager’s Manual. Robert Heller & Tim Hindle: Dorling Kindersley Limited, London

6.2 Implementing change

Communicating change

To get the collaboration off to a good start effective communication is essential. Always be open and honest: do not hide the negatives. Use workshops and meetings to inform and involve people in the change implementation. Select methods of communication appropriate to the audience. Combine written messages with verbal explanations. Encourage ideas and problem solving approaches. Restate goals and benefits. Manage expectations and be realistic in the messages delivered.

Assigning responsibilities

Change requires both leadership and committed and dedicated followers. Identify people able to help you drive the change implementation. Change agents must be: good communicators; willing to collaborate; looking for ways to improvement things; realistic; ideas people; thoughtful listeners. Analyse the changes you want to achieve; decide who should lead this action; draws up a list of the tasks required; discuss the plans with each person; get feedback and check commitment. Encourage relationship building and monitor organisational wellbeing.

Developing commitment

Stakeholder support is essential for collaboration. “Walk the walk” and lead by example: demonstrate your own commitment to the change. Remind stakeholders that changes will have a beneficial impact for everyone. Use staff and team meetings to highlight successes. Work with a system of advice and consent as much as practical. The talking and listening has to reach right to the bottom of the organisation.

Changing culture

The culture of a collaboration is shaped by the culture of its partner organisations and their staff.

Ways to influence organisational culture1

Goal setting

Support people to take a continuous improvement approach to their responsibilities and set realistic, achievable goals. Reaching goals will reinforce the continuous improvement attitude.

Acclamation

Give verbal praise in public. Written acknowledgement of commitment and effort as well as success, helps keep people engaged and enthusiastic.

Pleasure

Make work as enjoyable as possible and celebrate success.

Responsibilities

Build leadership and facilitation capacity and encourage people to take a strategic perspective and develop their skills.

Incentives

In the Not For Profit Sector increasing wages is frequently not an option but look for other ways to reward people who make a major effort to proactively adapt to change.

Ownership

Develop a sense of pride in the collaboration. Display the logo on partner premises. Build a strong sense of awareness of the benefits of the collaboration.

Procedures/protocols

Ensure that the collaboration’s procedures/protocols and mission, vision and values statements enshrine respectful collaborative approaches in all documentation and activities.

Change the way you do things to demonstrate the shifts in organisational culture.

Managing resistance

Whilst planning can help circumvent some resistance, you will still need to watch for and address this issue if it arises.  There may be both passive and active resistance that must be taken seriously and addressed. Treat people carefully when their spirits and self esteem are low. Resistance is best dealt with by understanding, without buying into emotional argument. People need to be allowed to voice concerns, as these concerns may be valid. Warm and fuzzy encouragement will not offset genuine personal fears. Support people to look for solutions for their concerns. Remind everyone that change always means opportunity. Ensure that people believe their own role is significant to the collaboration.

Dealing with resistance2

Rational: lack of belief in the collaboration’s capacity for effectiveness,  misconstruing the intent  or the detail of the  collaboration, belief that change is unnecessary and/or an expectation of negative consequences arising from the collaboration.

• Explain more clearly the purpose behind the collaboration.
• Clarify the details of the plan.
• Discuss what would happen if the collaboration did not occur.
• Involve everyone in the continuous improvement culture to support managing the change successfully.
• Work with everyone to ensure effective reorganization of or the development of new, systems and processes to support the collaboration.

Personal: worried about the future, afraid of losing their job, concerned about interference in job role from people who don’t understand the ‘real’ situation.

• Note that it is most likely service agreements will be renewed where service delivery demonstrates continuous improvement, and that government is encouraging collaborative approaches.
• Focus on areas that people will find positive and exciting – greater opportunity for peer support, increased opportunity to learn from others.
• Provide ample opportunity for people to have input into or at least review, policy, procedure, protocols and schedules of delegation being developed.

Emotional: apathy, shock distrust and or passive or active resistance.

• Restate the reasons for and benefits of the collaboration.
• Constantly communication about the collaboration and change process being undertaken. Be honest in all communication and answer all questions.
• Demonstrate by examples how the new way is expected to provide better outcomes.
• Show by commitment and example that the collaborative approach is here to stay, and is not just a passing fancy.

1 Adapted from Table: “Ways to Influence Behaviour” p743  Essential Manager’s Manual. Robert Heller & Tim Hindle: Dorling Kindersley Limited, London

2 Adapted from Table: “Dealing with Negative Reactions to Change” p747. Essential Manager’s Manual. Robert Heller & Tim Hindle: Dorling Kindersley Limited, London

 

6.3 Consolidating the Change

Monitoring progress

Identify key performance indicators for the effectiveness of your new collaborative approaches.

Does service user feedback indicate satisfaction with work undertaken collaboratively.

Are staff happy?

Have the new collaborative approaches improved the way the service is delivered?

How does the funding body view the implementation of the collaboration?

Continually check where the collaboration is going, its target group and what it hopes to achieve in a changing environment.

Review the goals of the collaboration: are they being achieved?

Does everyone still support this approach?

What else needs to be achieved?

Ensure that revised objectives are communicated to everyone.

Maintaining momentum

Continue to acknowledge and support people who are proactively drive the change.

Encourage training and mentoring that builds skills and increases capacity to effectively support the new way of doing things.

Keep on developing your own skill sets and capacity and ability to connect and communicate with others.

Continue to clearly articulate the culture of continuous improvement and the benefits of collaboration. If people really support the change they will become its champions.

Celebrate success.

For further reading on general organisational change management see:

“Managing Change”: Essential Manager’s Manual ; Dorling Kindersley Limited, London. Pp 694 -761.

6.4 Negotiation in collaboration

The success of long term complex collaborative projects, partnerships or mergers is dependant of the capacity of the partnering organisations to negotiate outcomes that meet their needs and those of their clients and to successfully manage any conflict that arises through sound dispute resolutions processes.

Organisations may negotiate regularly on simple issues, without paying much attention to the process.

When undertaking serious negotiation however it is wise to contribute thought, time and effort into the methodology we will use.  In a survey of  American executives all considered  prior  preparation and planning, as most important single element effecting the outcome of major negotiation.

The negotiation planning guide will help you clarify your thinking and your issues. For negotiations associated with complex collaborations, mergers or partnerships, formal meetings should be conducted. Do your planning before the meeting and if you are calling the meeting, before setting the agenda.

Negotiation planning guide

• Be able to clearly articulate outcome you hope to reach through the negotiation
• Clearly identify areas of common ground: i.e. shared principles, philosophy
• Identify areas of mutual benefit: improved client outcomes, shared costs for infrastructure
• List the key areas you need to negotiate on and prioritise them.
• Review the list and decide if all these issues really relevant.
• Will you deal with the most important point first, or last?
• Are you clear “why” you want something, rather than just “what” you want? Sometimes the outcome you want may be available by a number of pathways.
• How will you evaluate your progress as you proceed?
• Are you and the other partners agreed on the key issues for negotiation?
• Are there any questions you must ask to clarify the perspective of other partners? Write them down.
• Are there some points on which you are not prepared to negotiate? If so, declare these matters openly at the start of the meeting.
• Are there things you are prepared to trade off?
• How do you think the other party will proceed?
• What are the other party’s priorities likely to be?
• Recognise that if you take a very strong position, other parties are likely to respond equally as strongly. Keep things calm.
• Know when to walk away. Where there are major differences in values, principles and philosophy, or where an agreement cant be reached, end the negotiation with those parties and seek other ways to reach your required outcome.

6.5 Managing Conflicts

How successfully we manage conflict issues, will have a direct impact on the sustainability of the collaboration.

A conflict occurs when the actions of some-one trying to reach their goal, blocks or interferes with the actions of another person focused on reaching his or her goal.

Conflict can produce beneficial outcomes if :

a) effective approaches are used to handle conflict constructively

b) people become aware of and practice the skills of managing conflict

c) people are supported and encouraged to do so, by the values of their organisation and the culture of the collaboration.

Reasons for conflict

There are a number of reasons why conflict may arise during collaborative activities. Understanding the drivers of the conflict may help you better manage the situation.

Biosocial sources1

Frustrations can arise where expectations aren’t meet by the reality. Improvements may take longer than expected or power imbalances may arise. This is known as “relative deprivation” and the conflict may intensify when concessions are made.

Personality and interactional sources

Everybody is different. Abrasive personalities; psychological disturbances;  poor interpersonal skills; irritation between people; rivalry; differences in interactional styles; inequities (inequalities) in relationships can all contribute to interpersonal conflict.

Structural sources

Power, status and perceived inequities are the underlying forces in many forms of conflict. Ensure that the structure of the collaboration ensures that people are treated respectfully and fairly.

Cultural and ideological sources of conflict

Conflict will arise where organisations have differing value systems. Partner with like minded services. Conflict can also arise where there is difference in ethnic culture, and all partners in the collaboration need to be committed to working to build a common understanding.

Convergence

During the collaborative activities the numerous sources of conflict may converge. They interact to produce a complex dispute. There may be many reasosn, for example, why two workers from different agencies are in conflict. There may be structural reasons such as the difference in power: or different personalities and interactional style, or the beliefs, cultural and ideological, may differ between the two workers and these may also be contributing to the complexity of the dispute.

For successful results all those involved in a conflict need to agree on, and utilise, the same process to solve it. The methods for resolving conflict are the same regardless of the scale of the issue.

• Treat people with respect at all times.
• Think before acting and be sure you have accurate information to support your perspective.
• Listen, before wanting to be heard.
• Check to ensure that you have understood what is being said.
• Separate the people from the problem. Do not attack or blame. Use “I” language …. “I feel”, …. “I think”. “I feel upset when” … not “You make me upset”.
• Calmly explain your own perspective and encourage questions.
• To deal with conflict constructively use persuasion rather than coercion. Understanding how to resolve conflict with grace and tact will increase the likelihood of successful collaboration and build trusting relationships.
• Focus on “interest”, not “position”. “Why you want” not, “what you want”.
• Look for options that can bring at least some benefit to both parties.
• Refocus personal attacks, by agreeing with the small part of a statement that may be true, and then moving on. “Yes, perhaps you are right, we are not hearing you view, would you like to restate it clearly now”.
• Ask appropriate questions to draw out the real issues.

A constructive agreement is reached where:

• the agreement is win/ win, optimising benefit and leaving both parties satisfied
• the disputants can work together cooperatively
• any further conflicts can be dealt with constructively

Where all else fails, don’t be reluctant to bring in a mediator or facilitator. Sometimes, just the presence of an outside neutral person can change the group dynamic and tip the balance. However, even with a skilled mediator, both parties must really want a successful outcome for the negotiation to succeed.

1 Adapted from Bisno, H.  (1988)  Managing Conflict. London: SAGE Publications.  pp27-30

6.6 Dispute Resolution Process

All collaborations that are supported by documentation should include a section on the dispute resolution process to be used by the group. The process agreed to must be approved by all parties involved.

Collaboration partners will resolve disputes according to an agreed process.

• First, parties will use their best endeavors and act in good faith to resolve the dispute through discussion at Collaboration meetings, or in private between parties – if this is the preferred option.
• Second, parties will use a mutually agreeable mediator.
• Third, If the parties cannot resolve the dispute within 30 days of the commencement of the negotiation, then there role in the MOU/Partnership/Collaboration shall lapse.

If there are legal entities involved, other than the partner services then:

• If the issue is not easily resolved by discussion, then all partners will notify their parent bodies immediately.

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