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Ea jfsa.org.uk 2nd
Welcome — Susan Crichton & Kay Linnell
Introductions
Aims and Agenda
House keeping
Background
Cond Diclcingere
Post Office
\
Initial Complaint <
Review and
Mediation Scheme
Scheme Overview
TRANSPORT
Andrew Parsons tl 007
5 September 2013 a :
= «a. -~-
REAL &
ESTATE
=
1
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Introduction
1. What is mediation?
2. Scheme process
3. Role of the advisor
4. Remedies and outcomes
5. Funding
6. Panel appointment
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1. What is mediation?
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2. Scheme process
Post Office
provides
information on the
Subpostmaster's
case
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Second Sight produces a Case
Review of its findings and a
recommendation on whether the
case is suitable for mediation
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Subpostmaster
submits Application
to Second Sight
4a 5 > 4 >
Caseicontirmedias Subpostmaster Subpostmaster
sultablefor > engages returns Funding
investigation peecond professional Agreement to Post
Sight forwards Case i a
' 5 advisor (optional) Office (optional)
Questionnaire
\ y Xx
4 . é I >
Second Sight Subpostmaster
investigates the —— submits Case
Subpostmaster's case Submission
Xx 4 . 4
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4 ‘ ‘
Case is suitable for rl cel aera
mediation 9
Agreement
\ I 4 I 4
4 f
Case is passed to
CED Ry CED ingen en cae peace
Mediation Agreement advisor (0 tional)
to the parties P
‘4 ‘
CEDR liaise with the Advisor assists Post Office discusses
parties to select i< Subpostmaster in = case with
mediator and set preparing for Subpostmaster before
mediation timetable mediation mediation
\. _4
Mediation
I
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3. Role of the advisor - investigation
Review a Subpostmaster’s case
Help present the case in logical manner
Support case with evidence
Ensure the case is accurate
Establish the Subpostmaster’s objectives
Assist with responding to queries
Role of the advisor - mediation
Advocate the Subpostmaster’s case
Contest Post Office’s position
Identify possible solutions
Advise on possible settlements
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4. Remedies and Outcomes
No guarantee of
resolution
Mediation Negotiation
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Possible remedies
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5. Funding model
Funding Agreement
Payment
Engagement terms
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Cord Didkingow
1. Post Office will not provide funding
without a signed Funding Agreement
2. Your responsibility to agree your fees
with a Subpostmaster
3. No payments on account
4. Additional funding requests
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Invoicing
¢ Complete advisor details sheet
¢ Post Office raise Purchase Order
¢ Invoices addressed to Subpostmaster
eee as “Payable by Post Office
imited”
¢ Include Purchase Order number
¢ Do not exceed funding levels
¢ Submit invoices as required
_* Payment made
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6. Panel Appointment
The Post Office
An insight
Angela Van Den Bogerd
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Key statistics
* The Post Office with a network of circa 11800 branches is
the biggest retail network in the UK with more branches
than all the banks and building societies combined.
* 97% of Post Branches are run with retail partners
on an agency or franchise basis
* 370 Crown branches are directly managed by the Post O
* 99.7% of population live within 3 miles of a post office
* 18m customers visit a Post Office branch each week
* Post Office secure cash distribution service is third largest in thé
* Post Office cash supply chain collect and deliver on average £42bn
cash, foreign exchange & secure stock each year
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Post Office is the UK’s number one travel money
provider
Post Office is number one Mails retailer in the UK
Best Online Lender, Fixed Rate Mortgage Provider,
What Mortgage 2012
Sixth largest telecoms provider of home phone and
broadband in the UK with 500,000 customers
Largest user of contactless enabled terminals in Europe
with 30,000 terminals
754 branches offer world-leading identity technology =
(AE!)
6000 outlets for National Lottery products
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Our relationship with subpostmasters
¢ Not an employee — an
agent/franchisee operating on a
contract for services
* Post Office entrusts cash and stock
to the subpostmaster for them to use
to operate the Post Office business.
* Subpostmaster is responsible for the
cash and stock transferred
« Also responsible for any losses and
gains - and is required to either put in
the shortfall or take out the gain.
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Post Office — initial training
* New Spnrrs receive a week’s classroom training and a week on-site in their post office
branch
* Training on how to transact products and services; how to reconcile the days
transactions; transfer in and transfer out cash and stock and how to despatch cheques
to processing centre.
* Training on how to balance the branch on a weekly basis and roll over in to the next
balancing period. And on a monthly basis and how to roll over into the next trading
period.
* If discrepancies are notified by the in-branch system reports the trainer shows the
Spmr how to verify the transactions completed and the cash and stock on hand.
* The trainer also explains how to accept discrepancies; how to make good losses
and gains; how to raise issues about errors/discrepancies and settle centrally. a
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In branch reports
There are a range of reports that the Spmr is required to complete/run in branch to
ensure the branch is functioning effectively:
Daily cash declaration
Weekly Balance Period Rollovers
Monthly Trading Period Rollover
Cut off routines
Other reports ad hoc reports include — trial balance snapshot, transaction logs,
suspense reports, daily sales, reversals
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Transaction corrections
¢ Transaction Corrections (TC’s) are transaction
adjustments sent by the Finance Service Centre
to branches.
* TC’s are provided with evidence and are often
superseded by enquiries with branches.
* The branch is required to process the TC via the
Horizon system to make the necessary adjustment to
align the branch records with that at the FSC and our
client records.
* Processing TCs could result in a financial adjustment to
the branch ie a loss or a gain depending on the error
that is being corrected
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Ongoing support
¢ Following the initial 2 week training period
the Spmr gets a follow up visit at the 1
month, 3 month and 6 month stage
« Remote support is provided by the Helpline
which is the first port of call for the Spmr
with any customer and transactional
queries.
« Accounting assistance is also provided by
the Helpline; the Branch Support team and
where required the Field Support Advisor
(trainer)
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Horizon Online
What is Horizon Online?
Horizon is an On-Line Point of Sale solution
which supports...
e
e
170 products and services
Financial Services
Telephony
Bill Payment
Banking
Travel Products
DVLA Services
Passport
Retail Products
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Background
* Horizon system was originally developed in 1996
* Horizon system migrated to Horizon Online in 2010
¢ — Installed in over 11,000 branches with over 30,000 counters
* Handles 47 million transactions every week; 22 million banking
transaction every month; 2.5 billion transactions a year with a cash
value of £100 billion
* Horizon has the following industry standard accreditations:-
v Payment Card Industry Data Security Standard
v ISO 27001
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Horizon - counter
The computer equipment in each branch consists of:
* Special Horizon Point of Sale Keyboard
* Touch Screen
e Magnetic Card Reader
* Barcode Scanner
¢ Slip and Label Printer
¢ PINPad
All the counters in a branch communicate to the Post Office Datacentre via a secure
communication line with a backup communication system. Horizon needs to be
online to operate — no offline transaction capability
Horizon Online — user interface
¢ Access to Horizon via unique User Id
and Password. User attached to Stock Ur
Transactions driven by
Barcode Scan
Card Swipe
Keyboard
Touch Screen
Transaction are added to the Basket
Customer and Branch Receipts printed
Colour coded function buttons
Colour coded Balance:
¢ Red ( Total Due from Customer )
¢ Green ( Total Due to Customer )
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“SDYKY4 —sTP:11.-BP:01 SU:O0T Shared Serve Customer
amps
Fi Stamps Acceptance
Postal ist Ist ist ist Post Mail Items
‘Services Large xt2 6
\ F x 2 23) % 26;
‘Banking nd \2nd (2nd [: <9 Total Due To Customer f
lame x12 (Posie beta H
Ao) 7 £0000
Travel Quantity Prevaus
1
Fs Bureau Giros PREV)
Licences & ae Sell Buy Sell Green I Remove IScrof IScrol [ance
Gavemment Dofars Euros Euros lem Up ‘Down
FS Ey §2) 53} & 56 Fg + --) UNDO)
Te View Full IReceipt IBack [Back
cae Basket : Office ‘Space
Other Fi0)_RECPT Ey
Retail AP Manual \Chip& TranseshIRetal Calculate I La Qui
\ FT 72 3 4 15) 8 Fil Fig. FAS)
Local Fast PLU Sette
Schemes Cash
Fa Fi Ft
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Horizon Online — system overview
Client On-Line Where required Horizon Online will
Servi interact with Client Systems to
ica validate or authorise transactions
( Banking Services )
( Primary Disaster
Communications
Post Office Datacentre /
The Datacentre for Horizon Online is built with
fully resilient components which is duplicated in
a separate Disaster Recovery Datacentre.
Transactions are replicated across the Datacentres
to enable a swift transfer of service.
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Horizon Online — data centre
Transactions for clients
: are fed to each of the
Branch Client cients at the end of
Transaction Transaction
Database Files
Client Systems
Overnight Batch
Financial
System
( SAP )
All transactions are stored in
the Branch Database. No
transaction data is held locally
Management I transactions are summarised
Information I and fed into Financial System
and Management Information
System
Log
' ; NS
All Transactions are
stored in the Secure
Audit Log which is
digitally signed with
the user id, branch
Horizon Online — reconciliation
( Branch
Transaction
Database
:
Client
Transaction
Files
\_ Post Office Datacentre /
The daily reconciliation process automatically matches the transactions received by the
client with the transactions stored in the Branch Transaction Database. Any weiner are
processed by the Finance Service Centre. :
Client Daily
+ ° "
*. Transactions File
Automatic
Reconciliation
Process
§
Process
Exceptions
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Horizon Online — internal reconciliation
/ Post Office Datacentre Finance System »
(SAP)
Branch
Transaction Management
Database Information
iation
“a Client
ol Systems
Client Transaction
Summary
S The daily internal reconciliation process matches the transactions posted to the
Financial System, Management Information System and Client Systems and gl
ensures that this balances to the Client Transaction Summary report. a =
<9
Ss at
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Finance Service Centre (FSC)
* The FSC is the behind the scene accounting processing centre providing daily
service to clients, branches, multiple partners and customers
¢ It is structured around core processes of:
* Settlement
« Enquiries
¢ Debt recovery, and
* Management reporting
¢ FSC is often just called Chesterfield by Subpostmasters. Until 2011 it was called
Product & Branch Accounting (aka P&BA)
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Finance Service Centre (FSC)
FSC’s prime purposes are to ensure:
Timely and accurate settlement to clients for transactions with their customers via
POL channels. Up to £250m a day. (Clients eg. Banks, DVLA, local authorities)
Prompt clearance of funds for all methods of payment in branches (cheques and
cards). Around £100m a night.
Timely identification and resolution of accounting and payments issues in branches .
Issuing around 12,000 transaction corrections a month to branches
In doing so, FSC works closely on a day to day basis with partners across POL,
including: Network Business Ser, Network Contract Managers, Trainers, Auditors,
Security, Client Managers, Legal, IT and supplier contract managers
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FSC — broad types of enquiries
Customer driven enquiries
¢ Eg. Branch mis-keyed the value or account code in the manual stage of a transaction.
¢ — Eg. Bill payments, banking, licencing.
* — Inthis situation FSC would often have had no way of knowing the branch had made an error. The
branch may not always have made a value mistake, but the customer does not get the end service
that they had expected (eg. The bill is not cleared at the utility company)
Centrally driven enquiries (open item managed enquiries)
« — Primarily detected by the FSC matching and reconciling multiple data streams from a branch (eg.
Electronic, paper inc Lottery, ATM).
* — Typically the customer is not impacted but the branch will have recorded different values in Horizon
to what the actual transactions were (eg. Daily ATM withdrawals)
Branch driven enquiries
« May be for specific customer transactions or more general uncertainty due to balancing issues at
close of business.
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Discrepancies - examples
Transactional errors
¢ Errors or omissions in data entry at branch level. Eg. Mis-keys, forgetting to enter data, failure to
close a customer basket from previous customer session
«These are typically resolvable by agreement with the customer (which may depend on client / bank
engagement for data protection reasons)
* Branches may, however, be held liable in the end due to cash loss being incurred
Method of payment issues
¢« Delays in sending cheques for processing, incomplete contents of cheque or cash pouches, unpaid
/ bounced cheques, card payment issues
Balancing issues (surpluses and deficits)
* May be traceable to a transaction, may be cash misplaced behind the drawers, errors in data entry,
errors in giving change to customers and in a minority of cash actual theft of cash by someone in
branch
« NB. Where cash leaves a branch without any corresponding transaction eg over the counter
human error or in the rare cases theft then it is not possible for FSC to define a root cause.
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The data journey
Reference Data
(Prices, Mappings
ate.)
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Post Office Limited &
Mediation Case Study
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Objectives of this Session
* To help you make an informed decision as to your involvement
* To help you understand the Key Issues covered in the Interim Report
* To cover some of the terminology that you'll encounter
* To show you what an incoming Mediation Application will look like
* To give you an idea of the challenges that you'll face
* To ensure that you'll be able to help your new clients from Day 1
* To help you help each SPMR prepare a good Case Questionnaire/Case Submission
¢ To help you understand what is and is not relevant and compelling
* To help you understand what 2"4 Sight will be looking for in each Case Submission
* To answer any remaining Questions
* To hear your thoughts on whether any more help will be needed to ensure your
success as an Advisor
2ndSight
40
Key Issues from Interim Report
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Wide definition of “Horizon” which includes:
the surrounding Operational Processes, both at branch level and in POL's central
processing centres;
the interfaces between the Horizon system and other systems that are the
responsibility of organisations other than POL such as Camelot, the Bank of Ireland, the
Co-Op, various Energy Companies and the 'LINK' system for processing Credit and
Debit Card payments and withdrawals;
the power supply and telecommunications equipment that connects every Horizon
terminal to POL's centralised data centres;
the training available to Sub-Postmasters (‘SPMRs’) and their staff and whether it was
commensurate with the demands of the day-to-day job at the counter;
the actions need to ‘balance’ at the end of each Trading Period (‘TP’) and the
investigation work needed in dealing with errors and Transaction Corrections ('TCs');
the level of support available to SPMRs and their staff from POL's Helpdesk;
the effectiveness of POL's audit and investigative processes, both in assisting
SPMRs who called for help in determining the underlying root cause of shortfalls and in
providing evidence for other action by POL such as in Civil and Criminal Proceedings.
QndSight
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Issues frequently reported by SPMRs
¢ A multi-product system that is far more complex and demanding than, for example,
that found in a typical high street bank;
¢ Multiple transactional interfaces (‘hand-offs') to systems outside of Horizon such as
Lottery Scratch Card and Bank of Ireland ATMs that cause repeated and possibly large
shortfalls that take undue amounts of time to investigate and resolve;
¢ Unreliable hardware leading to printer failures, screen misalignment (pressing one icon
sometimes results in the system selecting an incorrect icon) and failed communications
links;
* The complexity of end of Trading Period ("TP") processes and the lack of a ‘suspense
account’ option which would allow disputed transactions to be dealt with in a neutral
manner;
¢ Inexperienced trainers and gaps in training coverage;
¢ The lack of some form of on-site Supervision and Quality Control similar to that
made available to staff employed in POL’s Crown Offices;
5
QndSight
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Continued...
* The receipt of centrally input, overnight ‘corrections’ and other changes allegedly not
input by SPMRs or their staff;
« Inadequate Helpdesk support, with responses that are ‘script-based’ and sometimes
cause further or greater problems;
* POL investigation and audit teams that have an asset-recovery or prosecution bias and
fail to seek the root cause of reported problems;
¢ Acontract between SPMRs and POL that transfers almost all of the commercial risk to
the SPMRs, but with decreasing support being provided. In its risk reward decision
making, POL benefits from any savings, while SPMRs may suffer increased risk.
° 2ndSight
43
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Findings from the Interim Report
¢ We have so far found no evidence of system wide (systemic) problems with the Horizon
software;
« We are aware of 2 incidents where defects or ‘bugs’ in the Horizon software gave rise
to 76 branches being affected by incorrect balances or transactions, which took some
time to identify and correct;
* Occasionally an unusual combination of events, such as a power or communications
failure during the processing of a transaction, can give rise a situation where timely,
accurate and complete information about the status of a transaction is not immediately
available to a SPMR;
¢ When individual SPMRs experience or report problems, POL’s response can appear to
be unhelpful, unsympathetic or simply fail to solve the underlying problem. The lack of
a ‘user forum’ or similar facility, means that SPMRs have little opportunity to raise
issues of concern at an appropriate level within POL;
* The lack of an effective ‘outreach’ investigations function within POL, results in POL
failing to identify the root cause of problems and missing opportunities for process
improvements;
* The end of Trading Period processes can be problematic for individual SPMRs,
particularly if they are dealing with unresolved Transaction Corrections (‘TCs’). The lack
of a ‘suspense account’ option means that it is difficult for disputed TCs to be dealt I >
with in a neutral manner. 2ndSight
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Concept of ‘Spot Reviews’
¢ A Spot Review is a discrete issue, event or ‘Incident’ reported by a Subpostmaster
¢ We reported on 4 Spot Reviews in our Interim Report
« Acase may have multiple Spot Reviews
* However, the concept of Spot Reviews is less relevant now as the Mediation process
will look at the TOTALITY of the Subpostmaster’s contact with Post Office Itd and the
Horizon system as broadly defined
2ndSight
45
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Other work performed
¢ 2nd Sight has already initially ‘Fast-track’ reviewed 43 cases reported to MPs or JFSA
« We have so far identified 14 thematic issues that are common to many of the cases
seen so far... others may yet emerge
« We expect the same pattern to apply to cases submitted for Mediation
« We categorise these as:
— Type 1 (Transaction-related) or...
— Type 2 (Process-related) issues...
2ndSight
46
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Type 1 Issues (Transaction-related)*
* Transactions or Transaction Corrections not entered by the Sub-postmaster or staff
* Transaction anomalies following telecommunication or power failures
* Transaction anomalies associated with ATMs
* Transaction anomalies associated with Scratch Cards
* Transaction anomalies associated with Motor Vehicle Licensing (‘MVL’)
* Transaction anomalies associated with Bank / GIRO / Cheques
* Transaction anomalies associated with Stamps or Postage Labels or Phone Cards
¢ Hardware issues e.g. printer problems, PIN pads and touch screens
¢ Failure to follow correct procedures
* These are ‘themes’ that have emerged from our initial ‘Fast-track” Review of the
43 MP/JFSA Cases but are subject to further investigation and are consequently
not proven
2ndSight
47
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Type 2 Issues (Process-related)*
* Training and Support issues including HelpLine and Audit
« Limitations in the Transaction Audit Trail available to Subpostmasters
* Process issues at the end of each Trading Period
* The contract between the Post Office and Subpostmasters
* The lack of an outreach investigations function
* These are ‘themes’ that have emerged from our initial ‘Fast-track” Review of the
43 MP/JFSA Cases but are subject to further investigation and are consequently
not proven
2ndSight
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-
hematic Issues Grid
8] §) 5) &) &) &) 8) 2/5) 8] 5) SI 5) a] =) os] 5] I
‘ Qnd'
49
The Mediation Process
Post Office provides
information on the
Subposimaster’s
case
Subpostmaster
submits Application to
Second Sight
Case confirmed as
suitable for
investigation
Second Sight
investigates the
Subpostmaster’s
case
Second Sight produces a Case
Review of its findings and a
recommendation on whether the
case is Suitable for mediation
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Subpostmaster
engages
professional advisor
(optional)
Subpostmaster
submits Case
Questionnaire
2nd.
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Initial Application
¢ Provides basic Contact Information, Branch Location, Post Office ‘FAD’ Code, etc.
* Includes the ‘Initial Case Overview’ (based on 10 Key Questions)
¢ See examples...
* Take a quick look at each example and decide:
— What ‘Thematic Issues’ does it raise?
— Is it crystal clear?
— If not, why not?
— Does it include irrelevant material?
Is it full of POL acronyms and jargon?
— Does it generate more questions than it answers?
— Does it refer to the existence of evidential material?
— In answering the question about the monetary value, has the Applicant referred to
the amount of the shortfall as of the date of his/her suspension... or to an estimate
of his/her consequential loss... or to both?
>
d
N
LV
2 2ndSight
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, Thematic Issues Grid (for
participants’ use)...
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, Thematic Issues Grid (for
participants’ use)...
i 2ndSight
53
The Mediation Process
Post Office provides
information on the
Subposimaster’s
case
Subpostmaster
submits Application to
Second Sight
Case confirmed as
suitable for
investigation
Second Sight
investigates the
Subpostmaster’s
case
Second Sight produces a Case
Review of its findings and a
recommendation on whether the
case is Suitable for mediation
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Subpostmaster
engages
professional advisor
(optional)
Subpostmaster :
submits Case ]
Questionnaire
2nd.
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, C
ase Questionnaire/Case Submission
¢ This is at the centre of the Mediation Procedure and forms the basis of the matters that
may go forward to Mediation
¢ Itis important that the issues raised by Subpostmasters are supported by evidence.
A key role of the Advisor is to ensure this occurs
* The greater detail that should be provided at this point will be of assistance when the
case is considered, both by 2"4 Sight and when it is later looked at by Post Office Ltd
and by the Mediator
« What Questions does the Case Submission need to answer?... This is all about clearly
summarising the “Who, What, When, Where, Why and How” of the SPMR’s Case
° 2ndSight
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Case Questionnaire/Case Submission
* The 10 Key Questions answered by each Applicant in the Application Form should
again be addressed... but this time with the Professional Advisor’s help to ensure that:
— the Case Questionnaire, which is at the core of the Case Submission to 2" Sight,
describes only those complaints and ‘Incidents’ (where the SPMR asserts that Post
Office Ltd was in some way deficient) that are relevant to the Mediation process
— each of those relevant complaints or incidents is described in the form of a clear,
easy-to-understand and compelling ‘story’... and that each story is jargon-free and
flows without ‘leaps of unexplained logic’... such that it will later be easily
understood by a person not having a detailed technical knowledge of Horizon or of
Post Office/counter practices
— it contains answers to the Additional Questions posed by 2™ Sight after its
review of the Initial Application
QndSight
56
Case Questionnaire/Case Submission
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What is the main issue or issues you wish us to consider that relate to Horizon or its
associated processes?
When did the incidents relating to the main issue or issues occur?
What prior contact have you had with the Post Office in regard to the incidents/issues
that you are now reporting?
How was the issue or issues resolved at the time they occurred?
What is the monetary value of the issue or issues you are now reporting?
Were you the subject of either civil recovery action or criminal prosecution regarding the
main issue or issues you are now reporting?
How were these actions against you (if any) resolved?
What is your explanation for the events forming the main issue or issues you are now
reporting?
Did you request assistance from the Post Office regarding the issue or issues you are
now reporting?
What assistance if any was provided?
So... what will a good Case Submission look like?... (>
2ndSight
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What will a good Case Submission
look like?...
* A good Case Submission will go a long way towards ensuring that the SPMR’s story is
understandable and compelling. In terms of presentation, it will be:
— complete (in having answers to the ‘Ten Key Questions’ and any further questions
posed by 2" Sight after its review of the Initial Case Overview
— clearly articulated (don’t sacrifice clarity for brevity)
— flowing and devoid of disconnected leaps from one statement to another
— understandable (by people who don’t understand POL ‘jargon’)
— one where the SPMR’s ‘story’ includes properly described ‘Incidents’ (see ‘Spot
Reviews’ in 24 Sight’s Interim Report as examples) that are each convincingly
described and backed up by the best evidence available
— one that provokes relatively few further/follow-up questions from 2" Sight
— one where assertions that cannot be proved by supporting evidence may be
included... but must be disclosed as such and distinguished from those that do
have evidential support
2ndSight
58
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Continued...
* A good Case Submission will go a long way towards ensuring that the SPMR’s story is
understandable and compelling. In terms of content, it will be:
— heavy on relevant Incidents (where POL is alleged to have failed) and light on
emotional ‘chatter’
— factually correct and... HONEST (deception will not be rewarded)
¢ 2d Sight will also expect each Case Submission to include:
— a Timeline that shows when important Events/Incidents occurred
— 3 party Evidence that ties in with the reported Events/Incidents
— aclear statement showing what the Applicant is looking for by way of Remedies
2ndSight
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os Objectives of this Session — did we
achieve them all?
* To help you make an informed decision as to your involvement
* To help you understand the Key Issues covered in the Interim Report
* To cover some of the terminology that you'll encounter
* To show you what an incoming Mediation Application will look like
* To give you an idea of the challenges that you'll face
* To ensure that you'll be able to help your new clients from Day 1
* To help you help each SPMR prepare a good Case Questionnaire/Case Submission
¢ To help you understand what is and is not relevant and compelling
* To help you understand what 2"4 Sight will be looking for in each Case Submission
* To answer any remaining Questions
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