Informal Pro-active Approach Model
Ministry of the Interior and Kingdom Relations
Netherlands

The Problem

Before the initiative, in 2007/2008, both the private sector (citizens and businesses) and government spent millions in hours and euros every year on complaint, objection and appeal procedures against government decisions. The costs of these complaint handling and conflict resolution procedures and the dissatisfaction with them have only increased over the last couple of years. An example is the significant increase of subsidized legal aid over the last few years in the Netherlands. So much so, that it has become unaffordable and therefore subject to Dutch current retrenchment policy. Of the total amount of administrative burdens (red tape) for citizens in the Netherlands 11% was caused by complaint, objection and appeal procedures. The service provided by government in connection with the formal handling of these procedures has been rated by citizens as very poor for many years now: in 2007 the Dutch public selected appeal procedures as one of the ten worst problems in government services. A recent survey that looked at the public’s rating of government services related to 55 life events found that the formal handling of complaints and appeals procedures rated lowest, at 4.7 (on a scale of 10).

When citizens do not agree with a government decision, discover mistakes, or do not understand a decision taken, traditionally their only possibility to address this is through a formalistic, legalistic and written complaint, objection or appeal procedure. The effect of these procedures on the relationship between the public and government is that it comes across as distant, legalistic and procedural, and the actual problems are often not dealt with.
For citizens the stated formal way of conflict resolution by the government and the impersonal written communication during complaint, objection and appeal procedures can lead to feelings of helplessness, unfair dependency and possible escalation of the conflict. This results in loss of public trust in government, as well as an unnecessarily large burden on the courts.

Government organizations are responsible for decisions on whether for example an individual can be granted a building permit, is entitled to receive income support, has to pay taxes or is entitled to receive a refund or a subsidy. In many situations, the government has to decide between the interests of the general public and the interests of an individual or business. Merely stressing the legal position, and referring to the general public’s interest (which the government represents) or to the rules and regulations as a reason or motivation behind a decision, is unconvincing and unsatisfactory for citizens. Furthermore through the traditional procedures government officials are not encouraged to find solutions for the problems that citizens endure, nor are they encouraged to think about any possibilities of improving government services in relationship to the practical effect of the rules and regulations they apply.

Solution and Key Benefits

 What is the initiative about? (the solution)
The IPAM (Informal Pro-active Approach-Model) provides a fundamental and innovative change for complaint handling and conflict resolution procedures in public administration. From a traditional, formal, judicial, procedural and written approach, IPAM initiates, stimulates and supports a pro-active, personal, open and solution driven approach for all government organisations.
IPAM consists of two sets of possible interventions, depending on the phase of the decision making;
1. During the preliminary phase in decision making, (before a government decision is made) that has (negative) consequences for a certain person, the citizen concerned is contacted by the civil servant. Typically, through a phone call, the civil servant validates the information on which the decision will be based (is this correct and complete); explains why a certain decision is about to be made; and explores possible alternative solutions within the framework of the law. This in order to (a) improve the quality of decisions, (b)to stimulate procedural justice –in particular voice- for the citizen; (c) to increase understanding and acceptance of decisions, and (d) to prevent future objection or appeal procedures wherever possible.
2. Upon receiving a complaint or objection against a government decision;
- a civil servant ensures quick and direct personal contact with the citizen concerned (telephone call or informal meeting);
- the civil servant explores possible ways to solve the issue in cooperation with the citizen. To achieve this, he/she applies an open, unbiased approach, using communication skills such as listening, summarizing and questioning, and conflict resolution techniques.

Measuring impact
The IPAM approach is applied in three stages. In a first round (2008), five organizations applied the model; in a second round (2009) another 26 organizations applied the model. Currently (2010), over two hundred government organisations in the Netherlands are now experimenting with this approach. Effects were measured, in cooperation with three leading universities (Groningen, Amsterdam and Leuven), on:
(a) reduction of objection procedures;
(b) administrative burdens for citizens;
(c) government costs; (d) customer satisfaction;
(d) job satisfaction by civil servants;
(e) the processing time of objection cases.
More than 2.000 objections, handled through the IPAM approach, were monitored, analysed, and compared with ‘standard’ procedures. Results show a reduction in the number of procedures, saving the authorities time and money (20%-30% cost reduction); increasing citizen satisfaction by 40% and improving job satisfaction for government employees by 20%. In 40%-60% of the cases where the informal approach was used a solution was found and the objection procedure was cancelled. Results also show a positive effect on the processing time of objection cases (37% reduction of processing time). All in all, even in a relatively small country as the Netherlands, a national implementation of IPAM results in a calculated reduction of financial costs for the government of €55 billion annually on formal objection procedures alone. When also other procedures (such as complaints and appeal procedures) are included, the estimated cost reduction is at least doubled.

Actors and Stakeholders

 Who proposed the solution, who implemented it and who were the stakeholders?
Confronted with the problems as described, the Ministry of the Interior and Kingdom Relations looked into the possibilities of improving complaint, objection and appeal procedures; avoiding (unnecessary) objection- and complaint procedures, reducing the administrative burdens involved, saving time and costs by more efficient complaint, objection and appeal procedures, and increasing citizen satisfaction. Inspired by three local experiments, IPAM was developed. The effects of the local experiments were analysed by the Ministry of the Interior and Kingdom Relations, resulting in a first report in March 2008. Based on these results, the Dutch Government decided to stimulate and facilitate IPAM on a national level (covering 1.500 different government bodies in total). The further national development and implementation of IPAM is coordinated by the Ministry of the Interior and Kingdom Relations.

The second phase in developing and implementing of IPAM was a large scale field experiment, with 26 different government organizations. This experiment resulted in further knowledge and refinement of IPAM, testing applications in 16 different government domains. The experiments also resulted in extended knowledge on the conditions for successful implementation. The actual development occurred in close cooperation between Ministry and stakeholders at different levels and organisations. The participants in the local experiments played an active role in the further dissemination of IPAM.

The stakeholders in IPAM typically are: (a) Citizens, both individual and organisational, and their (legal) representatives; (b) all government organizations involved in public service delivery; (c) Civil servants, working in the primary decision making phase on all domains of public service delivery (varying from tax, to social welfare, housing, permits, etc.); (d) Civil servants responsible for handling objections and complaints (usually the legal department); (e) Administrative management, responsible for quality and efficiency of public services; (f) Responsible politicians (such as mayor, minister, alderman).

(a) Strategies

 Describe how and when the initiative was implemented by answering these questions
 a.      What were the strategies used to implement the initiative? In no more than 500 words, provide a summary of the main objectives and strategies of the initiative, how they were established and by whom.
In order to ensure and support the implementation of IPAM on a national scale the Ministry of the Interior and Kingdom Relations used different strategies, aiming at the involvement of the different stakeholders.
Citizens: starting point of IPAM is the experience of citizens. Based on previous research, the perception of citizens was monitored in the experiments, Citizens are given voice, and involved in decision making. An important element of IPAM is the improvement of written and oral communication with citizens, both in primary phases, as well as in complaint procedures. The ideas behind IPAM as well as the procedures are communicated. The ministry has developed many different tools to improve this communications, such as (video)films, leaflets, brochures, webpages.
Government organizations: A series of national and regional conferences was held to inform, motivate and involve government organisations. This was supported by a website and a series of (free) publications to promote IPAM.
Civil servants: two handbooks on practical issues related to the use of IPAM; a website with practical information and tools, legal support, e-learning and e-coaching facilities; a desk stand with call script to support civil servants in preparing and executing telephone calls with citizens. Also, the ministry invested substantially in training for civil servants in using IPAM.
Administrative management: an action plan in four steps containing the essential preconditions, guidelines and basic tools for an adequate implementation of mediation techniques; management support; e-tools for monitoring the effects of projects; publications; materials for communication.
Responsible politicians: Dutch national parliament voted a resolution to install IPAM ambassadors in all relevant public bodies. These ambassadors promote conditions and actual implementation within their organizations. The public debate is stimulated through the National Ombudsman of the Netherlands, and exposure through the media on the benefits of IPAM. The project manager in the Ministry actively involves responsible politicians at conferences, in publications, and in the media, to promote IPAM. Three main arguments are used; improvement of quality of public service delivery, increasing trust between citizens and government and therefore increasing legitimacy of government, cost reduction.

(b) Implementation

 b.      What were the key development and implementation steps and the chronology? No more than 500 words
Nov 2007 Start-up research on the first five experiments with IPAM

March 2008 First national publication on the possibilities and effects of IPAM
Spring 2008 Participating in National conferences promoting IPAM
All 2008 Recruiting and selecting 26 government ‘pioneers’ on IPAM
Development of support tools
Dec 2008 Development research project, design and measures for effectiveness IPAM

Jan 2009 official start pioneer program with 26 organizations, including baseline
measurement, workshops for project managers and civil servants
Feb 2009 Parliamentary resolution on the instalment of ambassadors to promote IPAM
Sept 2009 mid-term report on results for each project leader and team coaching
2009 continued support for project leaders and teams
Dec 2009 official closure and final results of 26 pioneer projects
All 2009 road shows, conferences and information meetings to promote IPAM

Jan 2010 100 government organisations experimenting with IPAM
March 2010 final reports for each project
April 2010 publication of first ‘handbook IPAM’ (8.000 copies distributed)
April 2010 national conference ‘effectiveness of IPAM’
All 2010 Promoting IPAM by participating in 10 different regional and national
conferences for civil servants, and political and administrative leaders.
All 2010 development of e-game and e-learning tools and support on legal issues
April 2010 national report on effectiveness of IPAM presented in national Parliament
Sept 2010 Publication of national results of project
Fall 2010 online tools for project development, management and evaluation
Dec 2010 200 government organizations experimenting with IPAM

(c) Overcoming Obstacles

 c.      What were the main obstacles encountered? How were they overcome? No more than 500 words
Required cultural change and scale of the initiative
IPAM provides a fundamental and innovative nationwide change for complaint handling and conflict resolution in public administration. A shift is made from a formal, judicial, procedural and written approach, towards a personal solution driven and open approach. Complaint handling and conflict resolution is therefore not handled by endless formal paperwork or bureaucracy but is addressed by a civil servant through direct personal communication (a telephone call or in an informal meeting) in order to be able to have a mutual solution driven discussion with citizens, within the boundaries of public administration law. This approach is so fundamentally different from the traditional procedures that it involves a nationwide change management process. The number of government organizations (1500) and the number of annual procedures (for example 2,6 billion objection procedures per year) is extensive too.

Development of new skills and improvement of internal cooperation
Handling citizens’ requests/applications through a pro-active solution driven approach instead of a reactive formal procedural approach requires the development of new skills for public officials. Civil servants need additional training to develop advanced communication skills in order to be able to deal with direct communication with citizens on potential conflicts occurring between the citizens wishes and the administrative policies. This also implies that more and better cooperation within and between government organisations is necessary. IPAM implies that the traditional division between the department handling requests/applications and the department handling judicial complaint and objection procedures is reconciled. A pro-active solution driven approach requires and ensures the involvement and cooperation of both departments.

(d) Use of Resources

 d.      What resources were used for the initiative and what were its key benefits? In no more than 500 words, specify what were the financial, technical and human resources’ costs associated with this initiative. Describe how resources were mobilized
Resources used for the first research (2007-2008): 50.000 euro

From 2008 the resources allocated to the initiative consist out of:
1. An investment in personnel;
1 full time project leader (1Fte ->36 hours/per week)
The project leader has been tasked with;
- developing and monitoring an action plan
- facilitating and contributing to the implementation of IPAM
- coordinating the pioneer project with 26 government organizations
- coordinating cooperation with all relevant government organizations
- supporting innovative showcase projects
- supporting enrolment of best practices
- monitoring and evaluating the effect on improvement of government services and reduction of administrative burdens.
and finally the project leader has been tasked with identifying similarities between the different bottlenecks for citizens such as the connection between IPAM and user-friendly forms, in order to promote and integrate solutions.

2. An annual project budget of +/- € 500.000,-
The project budget of € 500.000 is assigned to:
- research for the monitoring and evaluation of 26 pioneer projects
- the development of informative brochures on the use and effect of IPAM
- the creation and maintenance of a website and newsletter
- the development of guidelines and basic tools for an adequate implementation of IPAM
- the organisation of conferences and facilitation of collegial consultation to support the exchange of best practices en experiences and in order to support the development of new communication skills for civil servants
- the facilitation of custom made or management support for each of the pioneers
the development of e-learning and e-coaching facilities.

Sustainability and Transferability

  Is the initiative sustainable and transferable?
IPAM is evidence based. The project has invested a lot in measuring outcomes and processes and has involved scientific experts from different disciplines (organisational change, conflict management, psychology, administrative law, public administration). The results have been have been made visible on different levels (gains on quality and efficiency can both be achieved) and are acknowledged by the Dutch government and parliament. They have required a national implementation of IPAM. IPAM has proven to be very popular amongst government organisations whereas a return on investment is generally realised within 6 months. IPAM aims at different targets and has lead to success on different performance indicators: quality improvement of public services, efficiency improvement, an increased satisfaction of citizens, improved quality of labor (for civil servants). This multi-purpose approach makes it easier for different stakeholders to embrace this approach. The implementation of IPAM is not a directive approach to change. It is facilitative and leaves a lot of room for local adaptation. All initial pioneer projects will be continued and have been expanded. At the same time several showcases of improvement of complaint and objection procedures have been made available that can easily be duplicated by other government organisations. The number of government organisations setting up their own individual IPAM projects within the Netherlands is rapidly growing.

IPAM is strongly connected with current themes and defined challenges in public administration and political goals such as the reduction of red tape and a more efficient en effective public service delivery. Currently both federal and state governmental agencies are experiencing resource challenges that approach crisis dimensions. Confronted with questions on how to provide the same or if possible an improved level of public service delivery while at the same time coping with extensive cutbacks and with a greatly-reduced staff, IPAM has proven to be a far more efficient and effective resolution of most complaint and objection procedures. Furthermore governments need to provide expanded services as more citizens apply to governmental agencies for assistance in dealing with the myriad problems that confront them in a time of financial stress and need to reduce the over-all workload.

At a European and international level IPAM has also shown to be an area of opportunity for further reform of public services. Several European countries, the European Commission and the United States have expressed interest in IPAM. The Ministry of Finance of Denmark will be the first within another European country starting up five IPAM projects in 2011. Other interested European countries are Norway, Portugal and Greece. Reasons for their interest in IPAM have varied from their need to reduce the length of procedures, realise a more efficient public service delivery, up to being able to provide public service delivery with a greatly-reduced staff.

Lessons Learned

 What are the impact of your initiative and the lessons learned?
The values driving IPAM fit with actual needs of citizens as well as civil servants, and match with political urgency. IPAM is based in thorough knowledge on public administration and the psychology of procedural justice. IPAM provides government organisations with continuous support: free access to information, tools, and knowledge sharing in a network environment. Initially this new approach requires an investment, but within a short period of time, financial benefits outweigh the costs, both in the process itself, as well as in the implementation (such as team development, education, and communication).

IPAM places citizens at the heart of public services, and gives citizens a voice both during the preliminary phase of decision making by administrations, as well as during the handling of complaint and objection procedures. Through IPAM citizens are given a voice not only to share their opinions and concerns, but are also actively encouraged to submit their own creative suggestions and solutions how to combine their needs with public interests. It strengthens the connection with and communication between government and its citizens.

IPAM creates the opportunity for government officials to gain insight in what the public needs are, what services cause complaints, what possible solutions could be relevant and therefore what would provide a genuine improvement of government services. The direct communication between government organisations and citizens provides a constant incentive for quality improvement and creates a learning organisation. In particular when communication with citizens already takes place during the preliminary phase in decision making by administrations.

Contact Information

Institution Name:   Ministry of the Interior and Kingdom Relations
Institution Type:   Government Department  
Contact Person:   Lynn van der Velden
Title:   Senior policy advisor and projectleader  
Telephone/ Fax:   +31704266865
Institution's / Project's Website:  
E-mail:   lynn.velden@minbzk.nl  
Address:   Schedeldoekshaven 200
Postal Code:   2511 EZ
City:   The Hague
State/Province:  
Country:   Netherlands

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