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Appendix A: Ten Elements of Effective Alliances

The focus of this handbook is effective alliances. An effective alliance is one in which the members work in concert so well that the potential for success is greatly enhanced. Ten elements have emerged from PATH’s experience in collaborative alliances that increase an alliance’s chance for programmatic success. They are:

1. A shared purpose and a common understanding of desired outcomes. A shared purpose or reason for the alliance’s creation is at the core of any effective alliance. The purpose captures the ethos of the alliance and its role in the environment and helps keep the alliance focused as it moves forward. It forms the basis of the core alliance decisions. Effective alliances also develop a set of specific desired outcomes that align with the group’s purpose. The outcomes express what the alliance ultimately wants to achieve. The outcomes form the basis for the evaluation of the alliance’s success.

2. Strong shared leadership. Alliances are led in a cooperative way that allows for open sharing of ideas and participatory decision making. It is critical that the alliance selects leaders who see the potential for the alliance and portray an eagerness to develop the collaborative relationships. Alliance leaders need to understand and address the different interests of all member organizations and work to facilitate the management of boundaries and resources in fair and equitable ways.

3. A structure that promotes equity and efficiency. The structure of the alliance, that is, the relationships, roles, responsibilities, and processes allow a reasonable balance of power among members, while promoting efficient day-to-day operations. Member’s roles and responsibilities are clear. Each group in the alliance needs to feel it can influence the direction and focus of the alliance’s purpose and strategy. Effective collaborations are built upon trust with a structure that encourages participation and productivity.

4. Explicit, shared decision making. Effective alliances have clear agreements on how their members will make decisions. The decision-making process defines who will be involved in key decisions and how quickly these actions are to be taken. The decision-making process allows for active participation and consensus building. Real or perceived power imbalances among members can aggravate conflict and need to be taken into account when designing decision-making structures. Members need to be able to influence decisions.

5. Transparent, balanced resource mobilization/utilization. The alliance’s resources are allocated in a transparent way, and responsibility for resource mobilization and utilization are shared. Alliance members' investment requires fulfilling their responsibilities and commitments to locate and share needed resources. Those members with greater assets must be willing and able to provide support proportionate to their resulting benefit from the alliance.

6. Mutual accountability. Given the interdependency of collaborative ventures, success depends on each contributing member fulfilling their responsibilities and commitments. Shared ownership and a personal stake in the outcome are strong motivation for holding members accountable. Other actions that can inspire commitment to accountability include establishing milestones, producing clear time frames, monitoring for results, celebrating "small wins," and providing appropriate recognition and credit to all involved.

7. Intentional, multidirectional communication and knowledge sharing. Communications systems must be in place at all levels of the alliance structure. Strong communication links should be created among the members at the senior leadership level as well as at the operational level. Alliances involving members from different locations need to place special emphasis on maintaining continuity between face-to-face meetings by regular contact using phone, fax, email, or other communication technology. Clear expectations of what is to be communicated and how to report progress are essential.

8. Trust, respect, and commitment. Alliance members develop trust, respect, and commitment by doing what they say they will do. Effective alliances have members who work toward understanding and protecting the interests of all members; listening with the intent to understand what others are saying; being honest about what the member can contribute to the effort and not hiding limitations; sharing successes with others and taking responsibility for mistakes; and taking special care that those members that are larger do not dominate in ways that violate the value of a relative balance of power.

9. Credit and recognition. Alliance members must ensure that credit and recognition are voiced and shared. Agreements must be reached near the onset of the relationship about visibility, authorship, and intellectual property rights. It is also important for the members to recognize and reward people for their successful efforts. This will help the alliance sustain motivation and achieve high-quality results.

10. Attention to process and feedback. The alliance continually monitors its agreed upon processes. The above nine elements, as well as the agreements reached in the alliance governing document, should be evaluated throughout the life of the alliance.

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