Critical points

Customer Service

GENERAL LEGAL PRINCIPLES

Legal relationship between Principal and Office

Analysis of the process above

A WELL-OILED PROCEDURE

The logical flow of a procedure (licence, etc):

The Client is in direct relationship in this example with every party involved in the procedure (even if through his solicitor) in respect of area 1 and through the appropriate customer service desks of 2 and 3). Without customer service, the time and effort requirements of the non-core aspects of the procedure would be loaded onto the actual decision-making part of the organisation whilst the rest of providing the incidental requirements would remain with the Client – thus the time requirements of the whole procedure become unpredictable and the outcome cannot be guaranteed.

The procedure is more regulated if a Customer Service is inserted within the process:

Client

Core process

Decision

Customer

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	√
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- -	√

Set of information and requirements

Relevant regulations and ordering them as required with reference to the given situation

Preparation for decision-making if the conditions are met

Rubber stamp, signature

Issue of licence

Operating Customer Service by the Licence Issuer makes the process better planned, but meeting the criteria of third parties still depends on the Client’s efficiency in procuring those.

A large number of organisations issuing licences operate their own Customer Service, but maintaining those may often be uneconomical (when under-used), whilst the case itself stays within the licence-issuing organisation awaiting the start of the decision-making process:

1. Information, documents	(+additions)
	2. checking, preparation, decision-making, licence

When operating its own Customer Service is uneconomical or inefficient for a licence issuer, it may be worth considering the contracting out of customer service to an external organisation specialising on customer service. Thus the process will look like this:

the actual case only stays with the licence issuer for the time necessary for the core procedure (and the decision-making itself is bound to be more efficient that is based on a pre-checked document package);
the Client is in direct contact with an organisation that is specialised for customer service, which is, by the nature of its activity, better equipped with communication to the direction of the client and the Licence Issuer alike;
the whole process is more efficient, and its timescale can be guaranteed.

The operation of a (subcontracted) Customer Service office may only be justified if the office has the (accountable) competence to predict the outcome of the procedure to the Client if the preconditions are met, and can ensure to the Licence Issuer that only complete cases are logged with him that are ready for consideration – thus preventing the need for requesting additional information or documents.

The process flow of a (subcontracting) Customer Service Office:

1. Preparation

a. Learning the procedures and requirements of the given Licence Issuer, all the relevant laws, rules and criteria;

b. Development of a database suitable for Customer Service activity;

2. Services to be provided to Customers

a. a complete set of information to the Client on the whole given procedure, in respect of:

1. The text and interpretation of the relevant laws and regulations

2. Procedure flow diagram (time schedule)

3. List of documents, information to be furnished by the Client

4. Forms, questionnaires to be completed

5. Check-lists

b. assistance in the compilation of the document package; giving a competent (accountable) prediction on the outcome of the procedure subject to the compiled document package; handing over the application to the Licence Issuer; then, finally, handing over the official ruling to the Client.

3. Services involving Principals (Licence Issuers)

a. Typical: handing over packages ready for core procedure; receiving the official ruling

b. Ad hoc: seeking official position in un-typical, individual issues.

LEGAL STATUS OF THE CUSTOMER SERVICE ORGANISATION

The parties to the legal relationship of the Customer Service organisation in the course of fulfilling its task are the following:

1. The proceeding (e.g. Licence Issuing) organisation, as Principal

2. The individual or organisation, initiating the application (procedure) as Client

3. The Customer Service Organisation, as Office.

Information, documents

(+additions if necessary)

2. Post-checking, preparation, decision-making, licence

1.Customer Service (+pre-checking)

1. Principal undertakes that he shall furnish the Office with the form and content of all information necessary (including deadlines) for the core procedure, for the purpose of enabling the Office to communicate the so received information to the Office’s Clients (who are Principal’s potential clients).

2. Office undertakes that he will provide a civilised reception area (desk) for receiving Principal’s potential clients (Who are also clients of the Office) and will provide the widest range of information in response to clients’ inquiry, based on 1. above; and also will provide his service to the Client on the basis of a separate appointment by the Client.

3. Principal authorises the Office to express a competent (accountable) prediction on the likely outcome of the Principal’s ruling subject to the compliance of the requirements at a checklist level – however, Office shall explicitly have no decision-making power in the case itself.

4. Office undertakes that he shall collect and compile the document package necessary for the core process based on the criteria referred to in 1. above; and shall forward it to Principal exclusively in the case if Office has been able to make the completeness statement referred to in 3. above.

5. Principal undertakes that, subsequent to the completion of the core procedure – the consideration of document package submitted according to 4. above, shall return its official ruling to Office within the deadlines referred to 1. above.

6. Principal undertakes that in the case of any change arising with reference to the criteria referred to in 1. above, shall notify the Office of such changes immediately, and also that he will not refuse retrospectively the core proceeding of cases in progress at the time of such notification – thus the consideration of cases shall be based on the earlier criteria.

7. Principal also undertakes that, if the compilation of the document package referred to 1. above is hindered by the difficulty of interpreting such individual circumstances that are not unambiguously covered by the information referred to 1. above, Principal shall, in response to Office’s request, provide his written, unambiguous position statement to the office, within an agreed deadline.

8. Office undertakes that he shall constantly review and improve the quality of his Customer Service, and also, if he finds it justified, shall suggest to Principal such changes to the procedure itself, that in his views could result in a more efficient process.

9. Principal undertakes that, in exchange for relieving him from the task of Customer Service activity performed by the Office, he shall pay fees to the Office according to a system mutually agreed by the parties; that fees are payable if Office has submitted the document package referred to 1 together with his competent opinion referred to in 4 above for the core process – regardless of the outcome of the Principal’s ruling.

Legal relationship between Client and Office

0) (Preliminaries)

a) Client approaches the Office for information on a particular application or procedure (hereinafter: case). If the Office is not the exclusive appointed customer service provider in respect of the given case, he informs the Client on what other organisations can also be directly approached in respect of dealing with the case.

b) Office declares to Client that

I) Office has been appointed by the relevant organisation competent in the given case (hereinafter: his Principal) to provide all the information, criteria and requirements received from his Principal in respect of the given case, to third parties

II) Office has been appointed by his Principal to provide Client Service, to form a competent (accountable) prediction of the Principal’s ruling in consideration of the criteria laid down by his Principal and of the package to be jointly submitted – but without having been empowered with the decision-making authority.

1) Client appoints Office to perform every necessary action to prepare the procedure ready for decision-making by his Principal. Based on this appointment, Office acts as Client’s representative.

2) Office undertakes that he will make available to Client the widest range of information regarding the case as received from his Principal; and he will hand over and explain to Client the regulations, questionnaires, forms, schedules, drawings, flow diagrams necessary for the procedure, together with the checklists of the document package to be submitted and a full and detailed time schedule with milestones based on deadlines guaranteed by his Principal.

3) Client undertakes that he will complete the questionnaires listed in the checklist referred to in 2; he will provide the complete set of documents and hands those over to Office.

4) Client shall be responsible for the accuracy of the document package described in 3.

5) Office undertakes that he will state his competent (accountable) opinion on the document package described in 3. taking the criteria laid down by his Principal pursuant to 0. b. II. and if he judges the package to be fully compliant, he will undertake to return his Principal’s official approval not later than the deadline guaranteed by his Principal.

6) If Client is unable to compile the document package due to ambiguities arising from the interpretation of certain individual circumstances not covered by the information described in 2, then Office undertakes to seek the unambiguous position statement of his Principal within the shortest possible time.

7) Office shall, unless otherwise instructed by Client, treat all the information in strict confidence and will observe the relevant provisions of the Data Protection Act and undertakes not to disclose any information to third parties other than his Principal.

8) By virtue of signing the contract of appointment, Client undertakes to pay Office’s fees, according to the methods of payment provisions laid down in the contract of appointment - if the payment of fees is applicable.