Maximizing the Value of Philanthropic Efforts Through Planned Partnerships Between the U.S
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Maximizing the Value of Philanthropic Efforts through Planned Partnerships between the U.S. Government and Private Foundations May 1, 2009 Ann E. Person Debra A. Strong Joshua Furgeson Jillian A. Berk Contract Number:233020086/ Maximizing the Value of HHSP233200700005T Philanthropic Efforts through Planned Partnerships MPR Reference Number: between the U.S. Government 6391-906 and Private Foundations Submitted to: U.S. Department of Health and Human Services Assistant Secretary for Planning and Evaluation May 1, 2009 200 Independence Avenue., SW, Room 404-E Ann E. Person Washington, DC 20201 Debra A. Strong Project Officer: Alana Landey Joshua Furgeson Submitted by: Jillian A. Berk Mathematica Policy Research, Inc. P.O. Box 2393 Princeton, NJ 08543-2393 Telephone: (609) 799-3535 Facsimile: (609) 799-0005 Project Director: Debra A. Strong ACKNOWLEDGMENTS Many individuals contributed to this study. The authors are especially grateful to the representatives of the various foundations and federal agencies who took time to speak with us about their work. Their generosity and candor greatly enhanced the quality of this report. Our ASPE project officer, Alana Landey, provided guidance and insightful feedback throughout all phases of our work. Patricia Patrizi, of Patrizi Associates, consulted on the project and provided important insights, particularly on the foundation sector. Many staff members at Mathematica Policy Research, Inc. (MPR) played significant roles in the research. Alan Hershey, Anu Rangarajan, Donna Pavetti, Beth Stevens, and Pam Winston helped to frame the study and offered expert review and guidance throughout. Michelle Derr and Nancy Murray led case studies. Norma Altshuler, Samia Amin, Subuhi Asheer, Jung Kim, Ali Protik, Samina Sattar, and Christine Yip made up the outstanding team that collected and analyzed an enormous amount of information in a short period of time. Finally, we thank Amanda Bernhardt, Molly and Jim Cameron, and Laura Bernstein for their careful editing, and Lisa Walls and Marjorie Mitchell for clerical and production support. Any errors or omissions are the responsibility of the authors. iii CONTENTS Chapter Page EXECUTIVE SUMMARY ........................................................................................... xi I INTRODUCTION ...........................................................................................................1 A. PURPOSE OF THE STUDY ....................................................................................2 B. METHODS USED AND DATA COLLECTED ......................................................3 C. BACKGROUND: KEY FINDINGS FROM THE SPENDING ANALYSIS AND LITERATURE REVIEW ................................................................................4 1. Foundation and USG Spending .......................................................................4 2. Philanthropic Approaches ................................................................................6 D. OVERVIEW OF THE REPORT ..............................................................................8 1. Organization of the Report ...............................................................................8 2. Limitations .......................................................................................................9 II PURPOSEFUL PARTNERSHIPS: OPPORTUNITIES FOR DIFFERENT TYPES OF INTERACTION .........................................................................................11 A. THE INTERACTION FRAMEWORK ..................................................................12 B. EXAMPLES OF USG-FOUNDATION INTERACTIONS ...................................14 1. Incidental Overlap ..........................................................................................14 2. Supplementary Action ...................................................................................15 3. Communication ..............................................................................................16 4. Coordination ..................................................................................................18 5. Collaboration ..................................................................................................19 C. NO “BEST” PARTNERSHIP MODEL ..................................................................20 v CONTENTS (continued) Chapter Page III CHOOSING PARTNERSHIPS: FACTORS TO CONSIDER .....................................23 A. SCOPE OF THE PROBLEM ..................................................................................24 B. WEIGHING THE COSTS AND BENEFITS OF PARTNERSHIP .......................27 C. PARTICIPATION BY KEY DECISION MAKERS ..............................................30 IV SUSTAINING PARTNERSHIPS .................................................................................33 A. IMPLEMENTATION: PUTTING PLANS INTO ACTION ..................................34 1. Sharing Resources ..........................................................................................34 2. Supporting the Interaction or Partnership ......................................................36 3. Recognizing Constraints ................................................................................37 B. EVALUATION: TRACKING PROGRESS TOWARD GOALS ..........................39 1. Conceptualizing Change at Different Levels .................................................39 2. Agreeing On and Obtaining Evidence ...........................................................40 3. Selecting Evaluation Approaches ..................................................................41 C. PLANNING FOR SUSTAINABILITY ..................................................................42 1. Fostering Sustainability through the Initiative’s Own Mechanisms ..............42 2. Government and Foundation Roles in Sustainability ....................................43 V EXAMPLES OF INNOVATIONS IN PHILANTHROPY ..........................................45 A. METRICS AND MEASUREMENT .......................................................................46 1. The Hewlett Foundation’s Expected Return Metric ......................................47 2. The Millennium Challenge Corporation’s Indicators ....................................48 3. The Institute for Health Metrics and Evaluation ............................................49 B. FUNDING MECHANISMS ...................................................................................50 1. Prize Philanthropy: The Rockefeller Foundation’s Accelerating Innovation for Development Program ...........................................................51 2. International Finance Facility for Immunization ...........................................53 vi CONTENTS (continued) Chapter Page V (continued) C. ADMINISTRATION AND GOVERNANCE ........................................................54 1. Global Coordinators (PMI and PEPFAR) ......................................................54 2. GAVI Secretariat ...........................................................................................55 VI EXPANDING THE POTENTIAL BENEFIT OF PARTNERSHIPS ..........................59 A. INCREASE AWARENESS OF USG-FOUNDATION INTERACTIONS ...........59 B. SUPPORT DIALOGUE WITH THE FOUNDATION SECTOR ..........................60 C. CONDUCT ADDITIONAL RESEARCH ..............................................................61 REFERENCES ..............................................................................................................69 APPENDIX A: CASE STUDY PROFILES ........................................................... A.1 APPENDIX B: MAXIMIZING THE VALUE OF PHILANTHROPIC EFFORTS THROUGH PLANNED PARTNERSHIPS BETWEEN THE U.S. GOVERNMENT AND PRIVATE FOUNDATIONS—LITERATURE REVIEW ............................. B.1 APPENDIX C: U.S. GOVERNMENT AND FOUNDATION HEALTH AND SOCIAL SERVICES SPENDING ...................................... C.1 vii TABLES Table Page I.1 OVERVIEW OF CASE STUDIES ....................................................................................5 II.2 U.S. GOVERNMENT-FOUNDATION INTERACTION FRAMEWORK ...................14 ix EXECUTIVE SUMMARY Americans, through private donations and public resources, lend their support to the promotion of human and social welfare on a large scale. In 2006, combined public-private philanthropic donations and spending reached $1 trillion.1 Giving USA (2007) estimates that private charitable giving in the U.S. totaled nearly $300 billion in 2006—roughly $1,000 for every American. The private sector philanthropic activities supported by these donations sometimes dovetail with US government programs and initiatives. Other times, however, public and private funds are devoted to similar tasks with little or no coordination between them. In an environment of increasingly urgent domestic and international challenges and finite public and private resources, there is a compelling policy interest in better understanding the interactions between the two sectors’ efforts and learning how to promote more effective collaborations. To improve their knowledge of the intersection between private philanthropic efforts addressing health and social services and similar public initiatives funded by the federal government across the country and around the world, the Assistant Secretary for Planning and Evaluation (ASPE) at the U.S. Department of Health and Human Services (DHHS) contracted with Mathematica Policy Research, Inc. (MPR) to study public and private philanthropic activity. The exploratory study