BEIS0001188 - Post Office Limited - Horizon Shortfall Scheme Approach To Review And Approval Of Claims V9.0

Evidence on official site

BEIS0001188
BEISO001188

V9.0 — 22/1/2024
POST OFFICE LIMITED - HORIZON SHORTFALL SCHEME

APPROACH TO REVIEW AND APPROVAL OF CLAIMS

The HMC Sub-Group — the HSS Panel Recommendations Review Committee - will review all claims
pre-Panel and all Panel recommendations prior to the issue of the Offer (both pre- and post-Offer), approving
(or otherwise) those which are exceptions and noting (or otherwise) those which are not exceptions. POL will
keep a separate log of the sub-group’s approvals of exceptions and noting of non-exceptions.

HMC will pass the same claims to UKGI/DBT within 24 hours of the sub-group meeting, requesting approval
of exceptions.

The HMC sub-group and UKGI/DBT will escalate (for approval) exception cases to RC/DBT Steerco which
are precedent setting, impact the financial envelope or otherwise at HMC/UKGI/DBT's discretion.

Exceptions requiring approval pre-Panel comprise:

44 Value of claim — High-value claims - the recommendation from HSF in relation to the claim as a
whole is for £200k or more.

4.2 Difference from shortfall amount claimed — Where HSF's total recommended amount/range for
shortfalls is more than £20k above the total claimed value

4.3 Business-related heads of loss — For Loss of Profit, Loss of Property and Loss of Opportunity type
claims, where claim value under any of these HOLs is over £100k.

44 Termination head of loss - Where HSF's termination settlement recommendation is under 26 months
remuneration (but not zero) or over 26 months (although cases with notice periods included in the
recommendation won't count as ‘over 26 months’). Cases where suspension is the only termination-
type Offer won't count as exception cases.

45 Termination losses where separate recommendation(s) have been made over and above the 26
months, under business-related HOLs (although cases with notice periods included in the
recommendation won't count as ‘over 26 months’).

46 Cases where claimant has been terminated, but the NCA has been considered inappropriate

47 Claims in which the Panel have been asked to consider whether or not: (1) the subpostmaster
experienced Horizon Shortfalls and (2) those shortfalls or a breach of duty by POL in relation to the
same caused or significantly contributed to injury resulting in the postmaster's death ("Fatality
Claims").

Exceptions requiring approval post-Panel, prior to offer letter - HMC/UKGI/DBT wish to see the cases
they saw in 4.1 and 4.2 above if the Panel recommendation is £20k more than the total claim put forward by
HSF, and for 4.3 above if the recommendation is £20k more than any one HOL put forward by HSF, in
additional to the following;

5.1 No offer — cases where HSF's only recommendation is no offer and Panel have recommended no
offer in respect of a claim taken as a whole (i.e. no offer for Shortfall Loss plus any consequential
losses).

5.2 Business-related heads of loss - Any Panel recommendation for lost earnings based on less than 26
months (but not zero offers) or over 26 months remuneration (although cases with notice periods
included in the recommendation won't count as ‘over 26 months’). However, where the Offer is for
suspension only, these don’t need to be considered exception cases. Cases where suspension is the
only termination-type Offer won't count as exception cases.

5.3 Personal Injury — Any Personal Injury awards over £30k
5.4 All Fatality Claims
5.5 All PNC/caution and insolvency/bankruptcy cases.

5.6 HSF's discretion — any other case which HSF in its sole discretion decides to escalate.
BEIS0001188
BEISO001188

V9.0 — 22/1/2024
Timin:

6.1 HMC/UKGI/DBT will endeavour to comment on any case escalated to it for approval within 1 working
day.

6.2 For cases HMC/UKGI/DBT wish to escalate to RC/DBT Steerco, it will do this also within 1 working
day of reviewing the case

Prosecuted (but not convicted) and caution cases: the HMC sub-group will also review and decide on all
‘concession’ cases, passing any it declines to RC for RC’s approval of HMC’s decision. a ‘concession’ case is
one where HMC is asked to decide whether or not to concede that Horizon data was essential to (1) the
prosecution of the postmaster which did not lead to conviction, or (2) the issuance of a caution to the
postmaster.

Review — This process will be kept under regular review to ensure that it keeps HMC sufficiently informed,
without causing undue delay