BRANCH SECRETARIES TRAINING COURSE
REPRESENTING MEMBERS: RTU’S AND APPEALS
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OHP1
NFSP BRANCH SECRETARIES’ TRAINING
REPRESENTING MEMBERS
RTUs and Appeals
WELCOME
Explanation of programme
Aimed at induction of new branch secretaries
Personal Learning Objectives
Agenda for the day:
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Case Studies
Lunch ......
Session 2 .
Case Studies/Role Play Preparatio'
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Role Play ..
Quiz...
Review/Close ..
Handouts
INTRODUCTION
11.30
12.45
1.45
2.45
3.15
3.30
4.30
4.45
5.00
Q. Ask who has experience of giving advice to a member facing
an RTU/Appeal or of involvement in preparing or representing
a member at one of these interviews?
Q. Ask them to share their learning objectives — Record on flip
chart?
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State Course Objectives
OHP2
Course Objectives
At the end of this session you will be able to:
*Explain why it is important for an organisation to have a clear disciplinary
procedure that lays down standards of performance or conduct.
*Explain the two different types of action that PON will consider when dealing
with Subpostmasters who are thought to be in breach of their contract.
*Outline the Stages of the PON contract, Application procedures and the main
issues for consideration at each of those stages.
*Using the case studies provided, identify the appropriate PON action. Explain
the steps to be taken to prepare to represent the member and the arguments to
be used at interview.
*Demonstrate through role play how to represent a member's case in an RTU
interview.
Does not cover POSIS/POID interview process — Separate session
Main purposes: To understand procedure for RTUs/Appeals,
when PON is likely to take action and what type
of action will be taken
Stages of the Procedure
Action you need to take to prepare and represent
a member
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SESSION ONE
RTUs and APPEALS: PON APPROACH AND POLICY
OHP3
RTUs AND APPEALS
Poor Performance
Misconduct
Suspension
Reasons to Urge (RTU) Interviews
Appeals Procedure
Disciplinary action may take a number of forms depending on the nature
of the events that led to Post Office Network’s decision to begin the
process.
In terms of subpostmasters’ contract areas to cover are:
Poor Performance
Misconduct
Suspension
Reasons to Urge (RTU) Interviews
Appeals Procedure
DEVELOPMENT
Background
Contract Application Guidelines were agreed Autumn 1998 following
lengthy negotiations between NFSP and POCL. Early half of 1990’s
there were a number of high profile cases that gave rise to concern
about the operation of the terms of the subpostmasters contract.
Outcome of our discussions was agreement on guidelines. Unlike Post
Office employees no guidelines existed on how or when to apply the
procedures in the contract, therefore we could not satisfy ourselves that
the Post Office were applying the procedures properly.
The intention of the 1998 guidelines is to ensure Subpostmasters, NFSP
officials and Post Office Managers are all working within the same
guidelines. And that Subpostmasters should be able to feel that the
system is fair and will be implemented in a manner that gives them full
opportunity to state their case should there ever be a need.
The guidelines work alongside the contract — our purpose today is to
understand how this works.
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Disciplinary Procedures
To be able to represent members effectively you need to understand the
principles that should underlay any disciplinary procedures. Those
principles are best explained by looking at discipline in the context of a
normal employee situation.
Because Subpostmasters are self-employed, employment law is not
strictly relevant. Nevertheless the principles hold good.
What I'd like to start with is a look at the reasons why an organisation
should have a disciplinary procedure, what that procedure should cover
and the steps of that procedure. For this session, forget the fact you are
Subpostmasters and think about the principles.
Q. What do you think would be the advantages of having a set
down procedure for handling disciplinary matters?
Q. Clear rules are needed — Why are these necessary?
OHP4
DISCIPLINARY RULES
Why have them?
Clear Rules benefit both Company and Individual
Set standards of conduct and performance at work
People know what is expected of them
Provides for fairness and consistent treatment
A A procedure can help you deal fairly and consistently with
disciplinary action, including those that may involve dismissal.
Q. What could happen if an organisation does not do this?
Risk of tribunal case if an employee feels they have not been
treated fairly. In the Post Office Court Action by a subpostmaster
following contract termination.
Q. Would a subpostmaster go to an employment tribunal?
No, because for employment purposes subpostmasters are self
employed.
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Q. If you were a tribunal chairman or a PON Appeals manager,
how would you know if the company has acted fairly?
A. Not just about having rules but also the way they are applied. It is
therefore important to have procedures. These set out the means
by which:
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WHY HAVE DISCIPLINARY PROCEDURES?
Procedure is the means by which
e Rules are observed
Standards are maintained
Short comings are dealt with
Need for dismissals is reduced
People do the right thing at the right time
In a Tribunal case, the chairman will take account of whether a fair
procedure was used. In our terms, an appeal is a likely outcome of a
Retail Network Manager not using the contract and the guidelines
properly and this would be used then to demonstrate that the member
had not been dealt with fairly.
Q. How would you ensure the rules are applied correctly?
(nb Don’t switch OHP 6 on until you have given delegates an
opportunity to think about this question)
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OHP6
RULES AND PROCEDURES SHOULD BE:
Written down
Clear and unambiguous
Non discriminatory
Readily available
Explained to all new people
Reviewed periodically
Fully understood
Q. Apply this to Post Office Network and subpostmasters.
Where are the rules? How do subpostmasters know about
them?
A. I Subpostmasters Contract
Counter Operational Manual/CD-ROM
Counter News
Induction training
Q. What do these rules/procedures cover? [Ask participants to
provide examples]
A. With luck, should be able to divide examples and write up on a flip
chart into:
e Performance standards (Action likely to lead to warnings,
termination by 3 months notice)
e Misconduct/Gross misconduct (Action that will result in summary
termination of contract)
Q. In your role as Branch Secretaries can you give examples of
subpostmasters breaching those rules?
What has been PON response?
What action did PON take and what was the outcome?
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Recap
Recap before going further with questions:
e Why should an organisation have a disciplinary procedure?
e Why is it important to have clear rules?
e What sort of behaviour should the procedure cover?
e Broadly, what are the two types of breach of contract?
e Broadly, what approach would you expect PON to take to
performance breaches as opposed to misconduct breaches?
Stages of the Procedure
Need to explore in more depth the stages of the procedure used by PON
and appropriate use of that procedure.
Start by looking at a typical disciplinary procedure.
Q. What stages would you expect a typical procedure to contain?
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TYPICAL DISCIPLINARY PROCEDURE
e Formal oral warning
Appeal
e Written warning
Appeal
e Final written warning
Appeal
« Dismissal
Appeal
There are several stages to the procedure. First of all, need to establish
whether you are actually in the procedure. Some organisations have a
counselling stage before oral warning — these do not exist formally for
subpostmasters, but there are likely to be many occasions when a Retail
Network Manager will speak to a subpostmaster without it becoming a
formal oral warning. Guidelines refer to Performance Discussions.
In an employer/employee context, each of the stages are used for
different levels of offence:
(CONT’)
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Oral Warnings are used in cases of minor offences, a written note is
normally kept on file and the employee is informed of the consequences
of a repeat of the conduct or performance that led to the warning. A right
of appeal should be provided.
Formal Written Warnings are used in cases of more serious offences or
in cases of repeated minor offences. The warning will be put in writing
to the employee, who will be informed of the consequences of no
improvement. A right of appeal should be provided.
Final Written Warnings are used in cases of serious misconduct, where
a written warning has already been given and it will be made clear that
the consequences of no improvement will lead to dismissal. Again, the
right of appeal
Dismissal takes two forms — with or without notice.
Dismissal with notice is only used as a final stage of the disciplinary
procedure and the employee is given notice, or pay in lieu of notice.
Written reasons for dismissal should be given to the employee and
again, the right of appeal.
Dismissal without notice is only used for gross misconduct, it is only
used after a proper investigation and no notice, or notice pay is provided.
Written reasons must be given for the dismissal. A right of appeal
should be provided. The important point to remember is that dismissal
without notice (Summary termination) is not the same as _ instant
dismissal — it should only take place after proper investigation, and a
disciplinary hearing (the outcome of which should not be prejudged).
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Turn to PON Contract Application Guidelines.
First, explain performance issues:
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PON CONTRACT APPLICATION GUIDELINES
PERFORMANCE ISSUES
Performance Discussions
e To assist subpostmaster to improve and avoid further action
Written warnings:
e Where oral warnings not effective
Failure to improve operational performance or properly maintain premises
« Right to Appeal
Contract Termination
« Repeated warnings
« No improvement
« No likelihood of reaching and sustaining standard
e 3 months notice — No Appeal
Q. __Incases you have handled on performance issues, what has
been approach/outcome — has PON approach and procedure
been consistent with these guidelines?
Q. What rights does a subpostmaster have when a written
warning regarding their performance is issued?
A. Contract Application Guidelines state that subpostmaster must be
given the opportunity to provide an explanation.
Contract: Section 18, which deals with non-compliance or non-
observance, states subpostmasters should be given the
opportunity to provide a written explanation of conduct and
allegations. The only time this might not happen is where civil or
criminal proceedings are being considered and therefore it would
not be useful (Misconduct issue — suspension more likely).
Section 18 — Subpostmaster has the right to meeting with Retail
Network Manager, which “will not normally be withheld”
Right to be accompanied by an NFSP Official
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If PON accepts the explanation, what is the outcome?
PON should inform the subpostmaster and in effect the written
warning should be disregarded. PON will keep a record of the
discussions.
If following those representations, PON decides the written
warning will stand, the warning will be recorded.
How many times would you expect PON to issue a written
warning?
This will depend on the type and nature of the problems. Any
penalty should reflect the individual circumstances. However,
given the ultimate outcome could be termination of contract, we
would expect PON to look at how it is supporting the
subpostmaster before considering written warnings or termination.
On issues of management of the office, factors that may be taken
into consideration could include length of service, previous record,
level of training received, other support provided by PON, and any
mitigating circumstances. The emphasis here should always be
on correcting any shortcomings in performance by training and
support. Only when all else fails, should termination be considered
as a measure of last resort.
Summary termination should not be used in performance cases,
only in misconduct cases. Lastly, there is no right of appeal if PON
terminates the contract. This part of the procedure is therefore
different to the normal employer/employee context. In the case of
subpostmasters, this option should not therefore be used by PON
to avoid summary termination and its associated appeals
procedure. Termination in performance cases will be by three
months notice, which gives the subpostmaster the time to sell.
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Second area is where dishonesty is suspected and investigated -
misconduct:
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PON CONTRACT APPLICATION GUIDELINES
MISCONDUCT
e Suspension
Subpostmaster advised
Remuneration withheld
PON Investigations
Temporary Subpostmaster
e 3 month review of suspension
e RTU Interview: Reinstatement/Summary Termination
e Right to Appeal
Q. Why/When would PON suspend the subpostmaster?
OHP11
SUSPENSION — WHY?
Arrest
Civil or Criminal proceedings
Dishonesty suspected
Public scandal
Bankruptcy and receivership
Q. What would you do if PON suspended a subpostmaster who
had not completed their MVL schedule properly?
A. Confirm suspension is not appropriate where performance issues
are involved.
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Q. What are the subpostmasters’ rights in the misconduct
procedure?
A. Essentially of a similar nature to those outlined for performance
issues.
Contract: Section 18 states subpostmasters should be given the
opportunity to provide a written explanation of conduct and
allegations. The only time this might not happen is where civil or
criminal proceedings are being considered and therefore it would
not be useful. In misconduct cases suspension is likely, PON may
be considering legal proceedings and therefore this may not
happen.
Contract Application Guidelines state that the subpostmaster must
be told in writing the specific charge and that summary termination
might be the outcome.
Guidelines also state that the subpostmaster should have the right
to attend a face to face interview with the RNM to answer the
charge — this is the Reasons to Urge interview.
Section 18 of the Contract - Subpostmaster has the right to be
accompanied at the RTU interview by an NFSP Official, who must
not be involved in the case.
Q. In the cases you have handled, what has’ been
approach/outcome — has PON action been consistent within
these guidelines?
Appeals
This will be looked at in more detail during afternoon session on
representing members.
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CASE STUDIES
ACTIVITY ONE
We've put together some case studies, designed to indicate the sort of
action which might reasonably be taken. They are fictitious but typical
cases to stimulate debate and understanding of how to deal with
different situations where expected standards must be applied.
Explain case studies, then ask them to spend 10-15 (?) minutes to
decide the appropriate approach:
¢ How you would expect PON to approach the office?
¢ What action would be appropriate?
e Should this involve application of the disciplinary procedures?
¢ What would be appropriate outcome?
Explain that one or both of the pair are to present back findings — using
flipchart (if they wish to do so)
In all the case studies the Retail Network Manager should have
identified the following: -
The context in which the office operates e.g. is it a large,
profitable town office or a community office, has the subpostmaster
been warned about standards previously, have they been recently
appointed etc? (Whilst this context does not alter the standards
expected, it should inform the approach that is taken e.g. does the
subpostmaster have staff who need to be won over.)
The current performance of the office and the likely
receptiveness of the subpostmaster.
Identify what needs to be achieved from the office in terms of
meeting standards.
As a branch secretary called into represent the member you need to
consider the same issues, a realistic process to follow in that case and
an appropriate outcome in the members best interests. Ask the same
questions:
What is the context?
What is current performance?
What is PON likely to look to achieve?
What is an appropriate outcome?
(Leave OHP on) [nb: Need to hand out leaflet on standards to Case
Studies One and Two]
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Case Study 1
Miss A is a long established subpostmistress who took over the post
office in a small village in 1961. She is 72 years of age, she lives alone
above the post office and is considering retirement. The post office has
been for sale for 2 years.
The office opens 22 hours per week and is the smaller of two shops in
the village — the bigger one being an 8 til late supermarket and off-
licence. The retail side is only a couple of racks of cards and a few
children’s’ toys — all of which are available at the general store — so she
gets few sales.
Miss A always makes an effort to look smart for work though she wears
several pullovers against the cold in winter. She is not against wearing
her name badge, but often loses it. She doesn’t, however see this as a
major issue as her customers are long standing and everyone in the
village knows her by name. Her name is also discernible on the fading
facia.
Customer service is not a problem. The subpostmistress has time for all
her customers and the interest she shows in her customers and their
families is appreciated.
The presentation of Miss A’s office is poor. The screen is cracked and
plastered in old stickers. The area behind the counter is untidy, the
merchandise is dusty and the old floor is in need of a through clean.
These issues along with the dirty facia and a window covered in
advertisements for local fetes and events, past and present have been
raised with Miss A on a number of occasions. However, because of her
age, frailty and her intention to sell little improvement has been made.
How would you expect PON to approach this office?
What action would be appropriate and should it involve application
of the disciplinary procedures?
What would be an appropriate outcome?
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CASE STUDIES ONE AND TWO: STANDARDS AT POST OFFICES
Explanation
PON expects that the vast majority of subpostmasters and their staff will
do their best to meet expected standards. The over-riding aim should be
to pro-actively support and encourage this. A major part of this has been
through recognising good performance, for example by awarding
lozenges. Only where this approach fails and there remains a significant
gap in performance and/or a will to apply the standards, should
corrective action be considered by Retail Network Managers.
Case Study 1
Suggested Response
Context
The office is a small community office and the subpostmistress is well
liked by the customers. There is a danger the post office could close if
she leaves. The subpostmistress has limited financial and physical
resources.
Performance
Miss A is trying hard to give a good service e.g. politeness/ friendliness
(with the exception of name badge) but does not have the ability.
The office is not good and is well short of the standards.
What should PON look to achieve?
Cleanliness to be improved
Take out many of the notices that have grown up over time
Improve decoration and screen
Name badge and appearance
PON>
Q. Should PON give 3 months notice and risk closing the office?
NO
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Case Study 2
The sub-post office is a three-position office in an out of town housing
estate where the majority of customers are on benefits and green giros.
The owner Mr B. has recently “traded up” from another office and has
bought the office as an investment (he rents out the accommodation
above the office). He was particularly keen on the office because post
office traffic would clearly continue to grow and the retail side is
profitable because of the long bus journey into town and the inclusion of
videos, off licence and other convenience goods.
Mr B. sees the post office as an important service which requires respect
from his customers. He therefore serves them courteously, though
abruptly. This has resulted in 3 complaints from customers during the
time he has been in the office. The post office is his property and his
view is that it is for him to decide how it looks — he refuses to wear a
name badge, nor be dictated to by the Retail Network Manager about
how he should display posters. The staff normally wear jeans and t-
shirts and refuse to wear their name badges because two of them have
been threatened by customers.
The sub-post office is clean inside but the frontage is in need of a
redecoration or at least a thorough clean.
How would you expect PON to approach this office?
What action would be appropriate and should it involve application
of the disciplinary procedures?
What would be an appropriate outcome?
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Case Study 2
Suggested Response
Context
Just in or just outside largest 6000?
Important post office with good growth potential
Potentially attractive to new buyer
Negative view of standards
Performance
Poor in terms of politeness — issues of style and personality
Name badge not worn
Frontage dirty
What should PON look to achieve?
1. Politeness is an issue and needs resolving
2. Frontage
3. Name badge
How would they do this? What action is PON likely to take?
Explain clearly that below standard and can't be rude to customers.
Name badge? Continued complaints?
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Case Study 3
Mr C has been a subpostmaster for the last fifteen years. He took over
the Post Office on a family transfer when his father, who had run the
office for about thirty years, retired. His parents have both died and he
lives alone, over the Post Office, having been divorced for a number of
years. He is 48 years old and has one daughter who is married with a
young family.
The Post Office is located in a small village and has a retail shop
attached which generates an income of approximately £5000 per
annum. The only other outlet in the village is a pub.
The Post Office opened standard hours until August 2000 when by
mutual agreement the office reverted to community status and now
opens 33 hours a week at a salary of £5351.21.
Prior to Christmas 2000 Mr C was invited to an Horizon training session.
He could not pass the competency test at this time and the Retail
Network Manager arranged for him to have two further sessions of
training. To date he has still not been able to obtain a certificate of
competency.
Shortly after this Mr C was taken into hospital. The Retail Network
Manager arranged for the office to be kept open with a relief
Subpostmaster. When this Subpostmaster went into the office he found
that Mr C had not completed a Cash Account for the previous 5 weeks.
The Retail Network Manager at this stage contacted Mr C’s daughter
and was informed that Mr C was suffering from dementia. The daughter
was asked if she could run the office but as she has a small family this
was not possible. The Retail Network Manager suggested that the best
course of action to take would be for Mr C to tender his resignation then
the office could be advertised and sold on at the current premises.
No resignation was forthcoming and as the Retail Network Manager had
no one at that time to relieve she sent in the Auditors, temporarily closing
the office and transferred the work to a nearby office, informing Mr C of
her decision.
Although the Auditors had removed the cash and stock from the office
they overlooked the Zip-Zap machine and on coming out of hospital Mr
C proceeded to take in transactions using this machine. It was a number
of weeks before the Retail Network Manager was make aware of this
and it caused a number of problems that needed to be sorted out.
Following this incident the Retail Network Manager spoke once again to
Mr C daughter regarding the resignation and sale of the business but
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was told that her father wanted to carry on running the shop and would
not offer the premises for sale.
How would you expect PON to approach this office?
What action would be appropriate and should it involve application
of the disciplinary procedures?
What would be an appropriate outcome?
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Case Study 3
Suggested Response
Context
The office is in a small rural community
There is a danger that no Post Office services would be available to the
community when the Office closes
The postmasters health is a vital factor in this case
Performance
Up until recently over all quite good
Well liked and respected by customers
What should the Retail Network Manager look to achieve?
Whether the Subpostmaster could successfully run the office given his
health problems.
Where to site office if present one closes.
In this case, in view of the fact that Mr C’s condition would appear
to make it difficult for him to continue to run the office, that he has
still not passed his aptitude test with the Horizon system and he
does not appear to want to tender his resignation voluntarily what
action would you take if the Retail Network Manager feels she has
no option but to terminate his contract?
Do you think that the Retail Network Manager has done enough to help
the Subpostmaster? What further action could the Retail Network
Manager take? What would be the outcome of the action taken by the
Retail Network Manager?
How would they do this/What action is PON likely to take?
Should take advice regarding illness and possible prognosis. May
consider approaching local pub to see if any interest in moving Office to
that location.
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Case Study 4
Mr D and his wife run a very small Sub Post Office with an associated
retail shop selling groceries, newspapers, sweets, etc. It is the only shop
in a very small village and the nearest shop to it is located about six
miles away.
The Post Office opens 15 hours a week at a salary of £4380. The shop
which is open from 7am to 9pm made only £4000 last year.
The office was automated about 18 months ago. Both the
subpostmaster and his wife passed the certificate of competency and
seemed quite comfortable with the system on a day to day basis.
A problem arose in the office when a shortage that had legitimately been
carried in the suspense account was inadvertently doubled up when the
Postmaster attempted to remove it on receipt of an error notice. The
Retail Network Manager was informed and after a considerable delay
visited the office to put matters right. It then came to his notice that the
office had been having a number of problems and that the Balance in the
office had been fluctuating wildly, both over and short. The overall
outcome being that a shortage of £1293.30 was showing against the
office. The Retail Network Manager gave permission for the shortage to
be carried whilst checks were carried out. The resulting checks showed
that the subpostmaster had been making mistakes with the Horizon
system e.g. he had not been recording personal finance on the Horizon
system at all. It also showed that the postmaster had overstated
Pension and Allowance dockets in the sum of £1866.78 [these going
back to 1997]. The Retail Network Manager has now requested the
Subpostmaster to make good the shortage of £3160.08.
From discussion with the Subpostmaster it would appear that he has a
problem with the Horizon system in that he cannot see a correlation
between the day to day operation of the system and the end result of
what he is inputting into the system e.g. he does not pull off a balance
snapshot to assess the performance of the office not does he have any
idea how to go into the log to check for discrepancies. It has been
suggested that both he and his wife undergo further training but he is
reluctant to do this as he does not this it is necessary.
How would you expect PON to approach this office?
What action would be appropriate and should it involve application
of the disciplinary procedures?
What would be an appropriate outcome?
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Case Study 4
Suggested Response
Context
The office is in a small rural community.
There is a danger that no Post Office service would be available to the
community if the Post Office closed.
There is the ongoing problem of the Postmasters ability to successfully
cope with the wider issues of the Horizon system and also the
implications of the repayment of losses.
Performance
Poor in terms of overall handling of the Horizon system.
Poor in the overall running of the office from a balancing point of view.
What should the Retail Network Manager look to achieve?
Retraining needs to be considered.
Repayment of losses.
How would the Retail Network Manager do this? What action is
PON likely to take?
The Retail Network Manager is not pressing the point about retraining
too hard at the moment, but is more concerned about the repayment of
the outstanding loss. The Retail Network Manager will be looking to
recover the losses over the shortest time scale possible.
The Retail Network Manager is conscious of the fact that if he presses
too hard that the Subpostmaster will resign and as there appears to be
nowhere else in the village to resite the Post Office that no service would
be available to customers who would face a long journey to the next
village.
Do you think that the Retail Network Manager has done enough to
help the Subpostmaster?
What further action could the Retail Network Manager take?
What would be the outcome of the action taken by the Retail
Network Manager?
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CASE STUDY 5
MRS E is the Subpostmaster at a busy rural office, which is about 3
miles from the nearest small town. She took on the appointment in
March 1995. The property is leasehold and Mrs E took it on although
she knew that the local Housing Association would be demolishing the
building within the next couple of years.
A year after taking on the appointment, the building was demolished and
the local Housing Association provided a temporary portacabin whilst the
new premises was being prepared. In November 1996, Mrs E moved to
the new Post Office. A new Post Office counter was installed, which
cost £3,200. Mrs E also invested in new retail equipment for the retail
business, which cost £8,700. The new Post Office has 2 counter
positions, the remuneration for the office is £21,400. The retail turnover
is approximately £2500 per week and is open during the evening to
catch passing trade.
In 1999, Mrs E took maternity leave and during her absence her father
agreed to work full time in the office. Mrs E completely trusted her father
and he had in fact been working in the office on a part time basis for 18
months before she went on maternity leave. To cover her absence, Mrs
E trained one of the staff that normally worked in the shop to work
behind the counter. She decided not to train her up to do the balance
but to use her during busy periods and as cover for her father in an
emergency.
Initially, Mrs E still completed the Balance, but after the baby was born
she spent less time in the office. She therefore agreed with her father
that he would complete the Cash Account each week.
A few months later, an audit was carried out at the post office and a
shortage of £4601.20 was found. Her father then told her that he was
having financial problems and he had put a cheque in for £2700 for bills
he had paid at the post office, but which he knew he could not cover.
How would you expect PON to approach this office?
What action would be appropriate and should it involve application
of the disciplinary procedures?
What would be an appropriate outcome?
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Case Study 5
Suggested Response
Context
Busy rural office, open full time.
Retail business open for longer.
Subpostmaster appears to be financially secure
Current performance
The Post Office is run properly and there have been no reported
problems during her appointment so far.
What is PON likely to look to achieve?
POID Interview for both Mrs E and the father.
Possible summary termination of contract following investigation and
RTU interview.
What is an appropriate outcome?
Should the subpostmaster’s contract be terminated?
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Case Study 6
Mr F runs a three counter position office in a small town. The
remuneration at the office is £47,500. He was appointed in October
1993. His wife runs the retail side of the business, which is reasonably
profitable, having been newly refurbished in 1998. The couple have
taken out an additional loan for £15,000 to pay for the refurbishment,
which they will have to pay back over 10 years. Their existing mortgage
on the property is £125,000. They are hoping to pay back the additional
loan within 5 years because the retail side is growing all the time. Infact,
the loan may well be paid back by the end of the year.
The subpostmaster is very popular with the customers as he is is always
friendly and helpful and the business is run well. The QPA record is
excellent. The couple employ one full time member of staff to serve
behind the counter, who is the Clerk in Charge in the subpostmaster’s
absence. Four part time staff are also employed in the office.
In August 2000, the office was audited as a result of a number of
discrepancies that had been noticed in the Pension and Allowance
addlists that were sent from the office. After the audit, Mr F was
interviewed by the Investigation Team and asked about the
discrepancies. Mr F was shocked by the discovery but did his best to
answer all the questions that had been asked by the Investigation
Officers.
The investigation revealed that all the discrepancies occurred on a
Tuesday, which was one of the days that Mr F took a half day. It was
also noticed that the alterations were not done in his handwriting. The
totals in the daily cash book (table 066 Pensions and Allowances Paid)
showed no sign of being altered in any way. The discrepancies
amounted to £6695.50.
During the audit, the audit team also found that some of the £10 bundles
that were kept in the safe had some of the notes missing, as did some of
the £20 notes. This amounted to a further shortage of £4,650.
How would you expect PON to approach this office?
What action would be appropriate and should it involve application
of the disciplinary procedures?
What would be an appropriate outcome?
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Case Study 6
Suggested Response
Context
Busy urban office
Popular subpostmaster
Thriving retail business
Current performance?
QPA excellent
Growing Post Office income
What is PON likely to look to achieve?
Suspension and investigation
Possible charge - should this be false accounting, misappropriation of
Post Office monies or theft?
What if PON only makes a charge of discrepancies in the Pensions and
Allowances and further discrepancies found during the audit in August
2000? Is this sufficient?
What is an appropriate outcome?
Should PON reinstate, subject to proper management controls?
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CASE STUDIES
ACTIVITY 2
After first activity is completed, ask each of groups to consider what they
would look for/action they would take to represent the member used in
the case study effectively?
Give 5 - 10 minutes for each of same pairs to do follow on activity. Then
to be asked to share their thoughts with the rest of the group.
Q.1 What should Branch Secretary look to do to represent
member effectively and obtain outcome in their best interests?
Q.2 What steps would you take in preparing to defend the member
and what arguments would you put forward to represent the
member in an interview?
Case Study 1
Issues to Consider
Do you need to identify the longer term plans for the sub-post office? Is
a sale imminent and should you try to help her with this? If not, how
much improvement would be acceptable? What would be best for
member?
Case Study 2
Issues to Consider
How much improvement is PON likely to insist on? What does member
wish to achieve, given likely outcome if continues to disregard standards
and object to PON asking him to do so?
Case Study 3
Issues to Consider
Speak directly with daughter. Explain the possible implications of
termination of contract i.e. no financial benefit to father if office can not
be sold on.
Possible loss of Post office service to community.
Difficulty in view of fathers health in keeping even the shop open.
Ask daughter to persuade father to voluntarily resign.
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Provided a voluntary resignation is forthcoming, persuade Retail
Network Manager to withdraw termination letter and advertise at present
location.
Case Study 4
Issues to Consider
Do you need to ask Retail Network Manager for sight of all appropriate
paper work relating to losses to ascertain whether losses are in fact
genuine?
Need to ascertain whether Subpostmasters record on dockets has
caused concern in the past.
Find out if any disciplinary action is to be taken over losses.
Speak to Retail Network Manager regarding repayment terms for losses.
What would be best for Member.
Suggest that retraining be given. Need to persuade Member that this
would be in his best interest.
Case Study 5
Issues to Consider
Should the subpostmaster pay back the loss and be reinstated on
condition that office is properly managed and her father dismissed from
employment?
Assuming she is innocent, should she have her contract terminated
because of the dishonesty of a member of her staff?
Should the Retail Network Manager accept the explanation that she
knew nothing of her father’s financial problems?
Case Study 6
Issues to Consider
Assuming the subpostmaster’s contract is summarily terminated, has
PON investigated thoroughly or are they just looking for a scapegoat?
There is no evidence to suggest that Mr F is responsible for the
discrepancies.
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CONSOLIDATION (End of Session 1)
Summarise main points that have been covered and ask questions
to check understanding and reinforce learning points.
Summary Why an organisation has disciplinary rules and procedures
Stages of a typical procedure and when each type of warning
is used.
PON Procedure, the difference between performance
cases and misconduct cases
Subpostmasters’ rights at each stage
Appropriate use of the procedure in the light of your
experience.
Ask if there are any questions?
Questions to check learning points
Q. Penalties - when would a performance discussion/oral
warning be used by PON? And why?
How would this be used?
A. _ Incases of minor offences
Aid to improve performance
Avoid need for further action
Q. Name some examples of the action you’d expect PON to take
and whether this would involve the use of the disciplinary
procedure.
Q. Penalties — In what circumstances would you expect a written
warning to be issued? Examples?
A. — Not complying with or not observing rules
Failure to improve operational performance
Failure to properly maintain premises
Aim to improve performance
Q.
A.
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What rights does a subpostmaster have when a written
warning is issued?
Guidelines: Opportunity to provide explanation
Contract: Section 18, which deals with non-compliance or non-
observance, states subpostmasters should be given opportunity to
provide a written explanation of conduct and allegations. The only
time this might not happen is where civil or criminal proceedings
are being considered and therefore would not be useful.
Section 18 — right to meeting with Retail Network Manager, which “
will not normally be withheld”
What factors would cause PON to consider termination of
contract by 3 months notice?
Repeated Warnings
Subpostmaster not likely to reach or sustain expected standard
Is there a right of appeal?
No — therefore last resort.
If it is appropriate, put OHPs back on to reinforce learning of main
procedure.
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SESSION 2
REPRESENTING A MEMBER AT AN RTU INTERVIEW
INTRODUCTION
Purpose of this session is to explore the steps to be taken to prepare to
represent a member in an interview. Primarily, focus of the session will
be on the RTU interview. We will go back to the case studies and
develop them further by considering the process of putting together the
member’s case and the arguments to be used at interview. Then to
practice those arguments in a role play where we will ask each of you to
take on a role as the member, branch secretary or retail network
manager.
Emphasis on a practical session to consider the process of preparing
and then representing the member — designed to improve confidence in
practical skills required as Branch Secretary in representing members
effectively.
DEVELOPMENT
One of issues looked at earlier in session was the subpostmasters rights
under the terms of the contract when PON initiates action.
Q. Can you recall what they were?
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OHP 13
WHAT ARE SUBPOSTMASTERS’ RIGHTS?
Performance
Subpostmaster should be given an opportunity to provide a written
explanation of their conduct and PON allegations made against them
Contract provides for subpostmaster to meet Retail Network Manager at
their discretion, which “will not normally be withheld’
Subpostmaster has the right to be accompanied at the interview by an
NFSP Official, who must not be involved in the case.
OHP14
WHAT ARE SUBPOSTMASTERS’ RIGHTS?
Misconduct
Subpostmaster must be told in writing the specific charge and that summary
termination might be the outcome.
Subpostmaster should have the right to attend a face to face interview with
the RNM to answer the charge — the Reasons to Urge interview.
Subpostmaster has the right to be accompanied at the RTU interview by an
NFSP Official, who must not be involved in the case.
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Reasons to Urge interviews normally involve alleged dishonesty and
potentially may lead to summary termination of the contract. We
therefore now need to look next at what PON is required to do when an
RTU is to be held.
Q. How would you expect them to inform the member that the
interview is to take place and what should the member be
told?
OHP15
WHAT SHOULD PON SAY?
State the specfic charge
Adequate notice of the RTU interview
Outcome could be Summary Termination
Subpostmaster can receive all relevant information
¢ Contract Application Guidelines say PON letter should state “clearly in
writing the specific charge (for example, misappropriation of Post
Office monies) made against him’. It is not sufficient to call an RTU
based on a loose definition like loss of confidence.
e Subpostmaster should be given adequate notice of the meeting
(Guidelines state 7 days notice) and know it is a disciplinary hearing
« In cases where PON is considering summary termination, the RTU
letter “must make clear that as a consequence of a decision by PON
the outcome in relation to this charge could be summary termination
of contract.”
e Guidelines state the “subpostmaster can request and receive all
information relevant to the charge”.
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If there has been a POID interview beforehand, what additional
evidence will be available?
1998 agreement with the NFSP that following interviews by POSIS
the investigation report, plus a transcript of the POID interview
tape will be provided to line managers dealing with the disciplinary
issue arising from the investigation/interview for onward
transmission to the subpostmaster and their trade union
representative
What is your role as the member’s representative?
Main aims To ensure the member has had a fair hearing — it is
Branch Secretaries role to make sure this happens.
To obtain best outcome for member, given
circumstances of the case — that does not always
mean reinstatement, but it might mean time to sell.
Would you follow a set procedure in preparing a case?
Would a checklist be helpful?
What do you need to consider when preparing to represent a
member?
(Use Flipchart to record suggestions?)
OHP 16
PREPARING FOR AN RTU
Need adequate time to prepare
Has PON investigated promptly and established all the facts?
Ensure you see any evidence PON is using in supporting its allegations
before the interview.
Make notes on the facts and statements made by any of parties involved
Keep the case confidential
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Q. What if member only asks for assistance the day before the
interview?
A. _ Ask for the interview to be put back for you to prepare — if possible.
Notes should consist of Dates, times, places, amounts, procedures
Meet the member and/or ask them to put their version of events in
writing to you.
In terms of POID investigations, use the transcripts and the reports
provided by the Investigation Manager. It can be time consuming to
wade through these but worth it because it enables you to prepare better
Q. Having done the preparation you should have the facts -
according to PON, according to the member and also from
your own research (POID Tapes etc). What do you do next?
Need to identify the issues
OHP 17
THE RTU INTERVIEW
Identify the Issues
e Assess strengths and weaknesses
e Answer the RTU charge
e ls the charge appropriate?
e What is the best possible outcome for the member?
Assess the strengths and weaknesses of the PON case and the
member's case.
Go back and read the Reasons To Urge letter carefully — you need to
answer the charge, not prove the member innocent or guilty.
Burden of proof is not down to you. However if you believe you have
proof of innocence, bring it in.
Ask yourself the question — in the light of the evidence put forward, is
this charge appropriate? [e.g. would not expect a PON to call someone
in for a performance discussion and then terminate their contract]
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What if you believe the Post Office case is proven beyond
reasonable doubt in your mind?
Be honest and inform the member, especially if reinstatement will
be impossible.
What should you then aim to do if you are trying to represent
the members in their best interests?
Ask yourself the question what is the best possible outcome for
this person?
Ask the member the same question.
What should you do if you don’t believe that summary
termination is appropriate given the circumstances of the
case? Should you go for time to sell? Or reinstatement?
Be realistic. Identify issues and likely outcome. This can only be
decided on a case by case basis.
Once you have identified the issues, need to gather the
information together to present the case. How would you do
this?
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OHP 18
PRESENTING THE CASE
Diary of events
Arguments to be used in defence
Record all relevant facts
Challenge charge where evidence supports defence
What is best practice?
Was the member following correct procedure?
Ask yourself:
Have I considered all the options?
What are likely outcomes?
What is the outcome that the member would prefer? Or at least be
prepared to settle for?
Is there common ground for the most likely option?
What if? — Ask yourself ‘What if?’ because it gives you the chance to
think something through from a different perspective, i.e. What if PON
is wrong? What if more evidence emerges?
What should you aim to do in your arguments?
Establish doubt
Develop alternative scenarios
Try to obtain a fair agreement
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Finally, once you are face to face with the Retail Network Manager,
what are the do’s and don’ts of an RTU interview?
Q. Need to remember that the Retail Network Manager you will be
making representations to is the same person that you will be
negotiating with on behalf of others. How should you deal
with the Retail Network Manager?
A. Need to build a relationship that is based on respecting the other
persons view point and establishing with the Retail Network
Manager that your Federation input or view is valid.
Need to maintain credibility — therefore have to accept that a fair
outcome may mean that you will not be able to achieve
reinstatement. However, you may be able to secure time to sell.
Always need to remember a fair outcome has to be consistent with
maintaining the NFSP’s profile in the community, integrity, etc.
Q. In terms of personal approach to interview, what skills will be
brought into play on your part?
OHP 19
THE DO’S AND DON'TS
e Need to retain NFSP credibility
e Be Firm and assertive, but not aggressive
e Be Factual
e Stay calm — do not allow yourself to lose control of the
situation through anger or frustration
e Follow your prepared notes.
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Finally, What would be your response if you were in the
middle of the RTU and PON suddenly introduces fresh
evidence OR, having written one charge into the RTU letter,
then start to discuss other issues that are not relevant to the
charge?
Stop the interview.
State reason
Ask for RTU to be reconvened.
Ask for a fresh charge and supporting evidence to be supplied
Tell them you need adequate time to prepare.
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FINALLY, THE APPEALS PROCEDURE
OHP 20
THE APPEALS PROCEDURE
Appeal may be in writing or through face to face interview
10 days to appeal
Appeals Manager from National Appeals Panel
Appeal Hearing within six weeks
Subpostmasters who wish to appeal against a decision to summarily
terminate their contract can do so in writing or through a personal
interview.
Subpostmasters have 10 days in which to request the appeal from the
date of the termination letter.
If the subpostmaster decides to appeal against termination, the case will
be referred to an Appeals Manager who is on the National Appeals
Panel and who will be from a different part of PON.
Appeal should be heard within six weeks.
Subpostmaster should be informed of outcome within two weeks of
hearing unless additional enquries are required, in which case an interim
reply will be sent. If new information is produced that is relevant to the
charge, the subpostmaster will be informed.
Q. Have any of you had any experience of conducting an
appeal?
Q Contract Application Guidelines state that the appeal is
a complete rehearing of the case and looks at the charge
that has been made. When should an appeal be
considered?
(Record answers on a flipchart?)
Q. What issues should be considered if an appeal is being
considered?
A. _ Very similar to the issues considered for the RTU interview.
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If we go back to Case Study 6 that was investigated earlier,
(remind them of the case?) lets assume that the charge made
by PON was Pension and Allowance discrepancies and futher
discrepancies discovered in a later audit.
Q. Would you consider an appeal against summary termination
of the contract? What would be the basis of the appeal?
A. No substantive evidence to prove the subpostmaster was involved
in the Pension and Allowance discrepancies.
Add Listings manually altered by another member of staff. Daily
Cash Book totals not altered.
Charge not specific - should have been phrase differently, eg
appropriation of Post Office monies, false accounting, theft?
Should subpostmaster be reinstated, subject to proper management
controls at the office?
Should PON offer advice or assistance to determine who took the
money? Should the subpostmaster terminate the contracts of all the
staff?
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ROLE PLAYS
Using the case studies that were considered earlier, the next session is
to practice those arguments in a role play where we will ask each of you
to take on a role as the member, branch secretary or retail network
manager.
This is a practical session to provide practice in the process of preparing
and then representing the member — designed to improve confidence in
practical skills required as Branch Secretary in representing members
effectively.
Ask groups to divide up into two groups of four or three groups of three
and for each to take a part. Give 30 minutes, then for each group to
report back on the main points of the preparation and presentation and
to feed back what went well, what did not go so well. Or, 15 minutes
preparation plus 10 minutes presentation in front of rest of group.
Suggest that one of the groups takes Case Study 6 and conducts it as
an appeal.
nb: If one of the case studies has not been used, use it for role play if
there are delegates present who have more experience and want an
alternative case.
Feedback after role play is essential and may take longer than role play
itself — this is most important aspect of checking learning process so
allow 20-30 minutes.
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CONSOLIDATION (End of Session 2)
Summarise main points that have been covered and ask questions
to check understanding and reinforce learning points.
Summary Representing Members
Subpostmasters’ Contractual rights when PON initiates
action
What should PON tell the subpostmaster?
Branch Secretaries role in representing members
Aiming for the best possible outcome for the member
Preparing for the RTU interview
Identifying issues for the defence
Presenting the Case
Do’s and Don'ts of the Interview
Appeals Procedure — When and Why
Ask are there any Questions?
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FINAL SESSION
Ask questions to check learning using a quiz to test understanding and
recall of main learning points for whole course.
Reinforce any issues that arise.
END OF SESSION
Put back on OHP on Course Objectives to restate what has been
covered during the course.
POST COURSE MONITORING
Explain post course approach to support for new Branch Secretaries in
preparing and representing members.
Explain intention to set up learning logs for each Branch Secretary to
ensure 2-way communications on identifying their training needs,
recording course attendance and evaluation of achievements/progress.
REVIEW
Ask participants to complete evaluation questionnaire and for their
reaction to the session.
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FINAL QUIZ (Brigend: 20 April 2001)
1. What would PON use a performance discussion for?
2. {Name 2 circumstances in which PON would issue a written warning?
{
3. {
4. Name one of a Subpostmaster’s contractual rights when a written
warning is issued?
5. {Name 2 types of breach of contract that would ultimately lead to
{termination by 3 months’ notice?
{
6. {
7. Name one of the factors that would cause PON to consider
termination by 3 months’ notice?
8. Is there a right of appeal following termination by 3 months’ notice?
9. {There are 4 rights that a Subpostmaster has when called to an RTU
{for a misconduct offence — name 2 of them?
{
10{
11 How much notice is PON required to give a Subpostmaster of an RTU
interview? (Adequate, eg, 7 days)
12If there has been a POID interview beforehand, what is the
Subpostmaster entitled to receive?
13 Branch Secretary has 2 main aims in representing a member at an
RTU. Name one?
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FINAL SESSION
QUIZ
Performance Cases
1. {In performance cases name the 2 examples of the type of breach
{of contract that could ultimately lead to contract termination by 3
{months’ notice?
{
2. {
3. I What would PON use a performance discussion for?
4. In what circumstances would you expect PON to issue a written
warning?
5. State one of Subpostmaster’s rights when a written warning is
issued?
6. Is there a right of appeal following termination by 3 months’ notice?
Misconduct Cases
7. {There are 4 rights that a Subpostmaster has when called to an
{RTU for a misconduct offence — name 2 of them?
{
8
9. If there has been a POID interview beforehand, what is the
Subpostmaster also entitled to receive?
10. Branch Secretary has 2 main aims in representing a member at an
RTU. Name one?
Appeals
11. How long does a Subpostmaster have to lodge an appeal following
summary termination of the contract?
12. How long would you expect it to take from the date of Summary
Termination for an Appeal Hearing to be conducted?
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AAA
10.
11.
12.
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POST COURSE ADMINISTRATION AND MONITORING
1. Return to Kate copy of:
completed course attendance record,
completed learning objective form, and
evaluation questionnaires
2. Post Course Monitoring
Coaching New Branch Secretaries:
Ask new Branch Secretaries to prepare cases in writing
Review these with Branch Secretaries before interview
Attend interview alongside Branch Secretary
Review and feedback after interview
Please keep copies of paperwork and your coaching notes for
subsequent evaluation with Kate.