POLICY DOCUMENT Contract Breach
Reference information
Policy type Contract Breach
Ref. Work Package #2
Date 7 April 2014.
Status Final version
Author Sarah Ryan
Owner Paul Inwood
Version 7 April 2014.
authorisation
date
Review Date One month and six months after release.
Expiry Date N/A.
Key John Breeden / Lin Norbury (Contract\Deploymeént Team), Paul Inwood (Agent
stakeholders I Contracts and Policy Manager) Jessica Madron /Rodric Williams (Legal Services)
Craig Tuthill (Head of Network Services), Angela Van Den Bogerd (Network
Change Operations Manager), Natioftal Federation of Subpostmasters.
Approval ‘ ;
Role Name(s) Date
Business Legal services, ContractDeployment Team, Network 3° April 2014.
input Change Operation$’Manager
Assurance Paul Inwood 4° April 2014.
Authorised Craig Tuthillp, 4" April 2014.
Version control
Version No. Reason for issue Date
Version.1.0\», I First draft 12.11.13
Version 2.0 “}iSeednd draft 13.01.14
Version 3.0 “I Third draft 04.02.14
Version 4.0 I Fourth version 20.03.14
Version 5.0 Final version 04.04.14
SUBJECT: Agent Contract Breach
1. Executive summary
Page 1 of 19
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This policy document sets out how decision makers within Post Office Limited (POL) mayact in relation
to breaches of contract by Subpostmasters operating Subpostmaster Contracts and Operators of the
New Model Agreements. This policy advises the appropriate action to take when dealing with breaches
of contract and provides clear criteria by which decisions should be made.
2. Scope
The scope of this policy includes any serious breaches by Subpostmasters and material breaches by
Operators of New Model Agreements. In the case of Operators only, it should be noted that a
succession of non-material breaches may constitute a material breach. For non-material breaches by
Operators the Contract Deployment Team should refer to both this policy and the established corrective
action process. For less serious breaches by Subpostmasters, the Agents ContractDeployment Te ‘am
should refer to the established corrective action process.
This policy does not apply to Franchisees or Franchise Agreements.
3.Glossary
Word/term Definition
Agent(s) Encompasses the terms Opera ar and 5a but not Post
Office franchisees a
Appeal The appeal process set out Mang i Poo eater Contract. Any
references to "appeal"in'this policy apply only to Subpostmasters.
There is no right of appeal for an Operator.
Assistant An employee of.a Post, Office Utd Agent who is registered by the
Agent withPost Office Utd, to deal with Post Office Ltd transactions
and infomation.
Material breach Aserious breach of the Agreement between Post Office Limited and
(New Model the Operatotwhich could entitle POL to bring contractual action to
Contracts) immediately tetminate the Agreement if there are no attempts to
. ; remedy the breach within 14 days or it is classified within the
“}’Agreement as a breach which is not capable of remedy.
Network I Funding committed by Government to transform the Post Office
Transformation or network, to include longer opening hours and more accessible
NT “enbranches.
New,Model(s) _ Refers to all NT models, including Local and Mains.
NFSP The National Federation of Subpostmasters is an independent
member's organisation, and is the only organisation recognised by
POLas representing Agents.
Non- material/less I AI breach that does not give rise to a right to an immediate right to
serious breach terminate a New Model or Subpostmaster contract
Operator Refers to the legal entity contracted to run a New Model
Network Transformation branch. For further information on the
types of entity or business structure which may be an Operator, see
section 15.0 below.
POL/We Post Office Limited
Remedial action Corrective action that can be taken by an Agent to remedy a breach
of the contract
Serious breach A breach of condition of the Subpostmaster Contract
Subpostmaster The holder of a Subpostmaster Contract and includes the term
Subpostmistress.
4.0 Introduction and purpose
4.1 Introduction
The formal roll out of the Network Transformation Programme began in 2012. The GovertMgent initially
committed funding of £1.34 billion to transform 6,000 branches into New Model branthes, andfhave
subsequently provided funding of £640 million (subject to state aid clearanée) to transform most of the
rest of the network. These branches will operate on the New Model contracts and ‘ontain terms and
obligations on Operators that do not appear in the Subpostmaster contract. As such, apolicy is required
to deal with breaches of contract in the New Models and Subpostmaster ¢ontract. ~
4.2 Purpose :
The purpose of this policy is to provide clear directionto assistthe Contract Deployment Team to deal
with breaches of contract by Agents. This is a prescribed approach) v which aids the decision making
process, by outlining the criteria to be used by the Contract Deployment Team, Agents Contract
Deployment Managers and Appeals Managers (Where applicable), before reaching a decision.
5.0 Background 2 . ]
This policy mandates what decisiOns aré.to béymade, by whom and how. This policy change
requires systemic and behavioural change but does not require contractual change.
6.0 Change proposal
In an Agent's lifecyclejmany events May occur and it is imperative that the Agents Contract
Deployment Teams. engage in dialégue with the Agent to understand the whole event and
particularly iffthe context of, breaches of contract, why the event occurred. They should then
reach appropriate decisions based on that dialogue. The policy and supporting processes set out
the following
» The primary decision that needs to be made at each stage
- “Thesbasis on which these decisions are made
- The person within POL who makes the decision
The policy is to be used by the Agents Contract Deployment Teams, Agents Contract Deployment
Managers and Appeal Managers (where applicable) and does not require any changes to be made
to the contractual agreements, neither New Model nor Subpostmaster contracts.
6.1 Intervention Events
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Intervention events are events which require intervention by POL. These events may be a result of
communication from another team e.g. the Branch Standards Team and/or the Audit Team, or
from other sources such as customer/client complaints.
- Examples of Intervention Events: any indications that the Agent may not be performing
their contract properly and/or customer complaints. An intervention event could be a
material/serious breach or a non-material/less serious breach.
- Decision maker: Before any action is taken the Contract Deploymentgeam must firs
decide whether an Intervention Event has actually occurred. This should Siachievéd
through discussions between the Contract Deployment Tea and the pPropriste team
for example, Branch Standards Team and/or Audit teams
6.2 Consequences of Intervention Events
When an Intervention Event occurs, it will usually lead t) support intervention from POL to the
Agent. Any support provided by POL is likely to bei ithe form of ‘telephone- led training for the
Agent, or a visit to the branch to discuss how toGorgPperiORpance.
The aim is to produce an agreed action plan Pike Agentto i improve their performance. The
Contract Deployment Team will need to decide the type of support intervention, if any, that is
required. This should be achieved through dis
Branch Standards Team and/of Audit teatns.
ions with the appropriate team for example, the
For Operators of New Models on : If there is no improvement, following an agreed action plan
with the Operator omif. there isa suttession (usually more than 3) of non-material breaches, this
may (depending on cir mstafices) constitute a material breach and could lead to immediate
termination ge New Model Contract.
Decision. maker: The Contract Deployment Team should initially evaluate whether they think the
succéssion of nonématerial breaches is sufficient to constitute s material breach and should then
seek advice from Legal Services (via email through Paul Inwood, Agent Contract and Policy
Development/Manager) before taking any action.
A non-material breach will be recorded on the Operator's record for a 24 month period. After 24
months, these non-material breaches will be disregarded by POL when considering the
appropriate action to take, and will not be regarded as accumulating to a material breach. Any
further non-material breaches should however continue to be recorded and monitored to see
whether more than 3 are recorded in any 24 month period. When considering whether an
Intervention Event requires any further intervention from POL, it is important to be aware that
doing nothing about a breach may mean that POL is understood to have accepted the breach and
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cannot complain about a similar breach in the future. This risk is relevant in determining the
appropriate steps to take when a breach arises. If in doubt, please seek advice from Legal Services
(via email through Paul Inwood, Agent Contract and Policy Development Manager) .
Again, for Operators of New Models only: There are certain breaches in the Agreement classified
as being material breaches. They may be further classified as material breaches which are not
capable of remedy. The breaches classified within the Agreement are not an exhaustive list and
other breaches may also be material breaches and may or may not be capable of remedy. This
depends on the circumstances of the breach and legal advice should be sought on’whether a
breach is material and/or capable of remedy when this is being considered (via email’throughPaul
Inwood, Agent Contract and Policy Development Manager) : 4
For material breaches that are capable of remedy, the Operator must be Biven 214 day* period in
which to take remedial action. This can be approached by using the appropriate letter found at the
bottom of this document, with a follow up visit or call after 4, days, as necessary, to check
whether the breach has been remedied.
If the breach is not remedied within 14 days, further/actionjwill be required. This will be dependent
on the facts of each case and guidance should bé soughtifromI egal Services (via email through
Paul Inwood, Agent Contract and Policy Dev
*In exceptional circumstances, the Contract Advisor, may decide to allow a longer period to
remedy the breach beyond the 14 days prescribed in the Agreement. This may be appropriate in
circumstances for example, whére an As istantwill need to be registered but the registration
shodild be néted on the Operators record if an extension is given
period is longer than 14 days. t
and a reason provided for the extension.
For Subpostmasters, , current Bpproach remains unchanged. Subpostmasters should be sent a
warning letterpadsing the breach and how it should be rectified.
For all Agents) it should be noted that there may be circumstances when an Intervention Event is
also,an Escalation Evert, in which case contractual action may be required.
6.3 Escalation Events
Escalation Events are circumstances where a serious, or in the case of an Operator, a material
breach, is identified which gives POL the right to take immediate contractual action and therefore
requires POL to urgently decide what to do and take immediate action. Escalation Events apply to
all Agents unless specifically specified.
- Examples of Escalation Events include but are not limited to: adverse audit findings;
breach of restrictions/private business clause; non-registration of Assistants; loss of right to
occupy premises; breach of data protection or confidentiality obligations; unauthorised
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change to opening hours; not complying with regulatory requirements or training; not
attending training provided by POL; and, in the case of Operators only, a material breach
which the Operator has not remedied despite having been given notice of the requirement
to do so, or a material breach which is not capable of remedy
- Decision maker: As the action taken by POL is likely to be more significant for serious or
material breaches, it is imperative that the Contract Deployment Team is satisfied that the
action they propose to take is commensurate with the breach that has beent
suspected/confirmed. This should be discussed with the appropriate team for Stample:
the Branch Standards Team and/or Audit Team and legal advice, shouldbe sought ‘where
appropriate (via email through Paul Inwood, Agent Contracténd Policy Development
Manager) f
6.4 Consequences of an Escalation Event
Once the Contract Deployment Team has identified that an ‘Esealati on, Event has or may have
occurred further investigation of relevant issues afd circumstances may be required.
7.0 Suspension
For all Agents, the default position whéhan Escalation Event has been identified should not
automatically be suspension, and. POL
POL the right to suspend and:
lyprecautionary suspend where the contract gives
(i) Further investigation suspected breach is likely to be difficult or impossible without
it; or
(ii) There,isi@'significant risk to POL brand or POL cash/stock unless the Agent is suspended
In reaching a decision omprecautionary suspension POL will take into account all relevant factors,
includihg But néblimited to, the following:-
“\, (a) Risk to POL funds;
(b) Risk to POL brand or reputation;
(c)The source of any risk and if the risk can be mitigated i.e. whether the Operator or
Subpostmaster himself is thought to pose a risk, or whether the risk is limited to some or
all of the Assistants*.For example the Operator may have been completely unaware of the
circumstances leading to an Escalation Event, perhaps because they were absent.
(d) Impact of suspension on customers and clients;
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(e) If someone has suffered loss or damage as a result of the suspected/confirmed breach,
the identity of that injured party ie. whether damage is limited to POL, or whether
customers or clients have also been damaged;
(f) Whether the Agent has cooperated following discovery of the Escalation Event including
whether there has been any attempt by the Agent to cover it up;
(g) Any relevant information provided by the Agent as part of an informal discussion/
telephone conversation/ written explanation. (It is for the Contract Advisor to exert their
judgement in each individual case to ascertain whether the circumstances and reason
given are pertinent to the reasons for suspension.)
*For Operators only, the New Model agreements also give POL the right to oblit fe the Operator
to suspend all or any of the Assistants involved in the operation ofthe branéhandwhere
precautionary suspension is thought to be necessary, this option should also be considered
depending on the circumstances. x
The Contract Deployment Team should decide whether, on. thé factspit is necessary to
precautionary suspend the Agent so that they angot inyolved, in the operation of the branch.
The Contract Deployment Team will complete, the Bppropriate pro forma at the bottom of this
document, and the final decision will ber ade byithe Agents Contract Deployment Manager.
If the Agents Contract Deployment Manager decides to suspend the Agent, a letter should be sent
(which can be found at the bottom of this
to the Agent to inform them oftheir suspens
document).
7.1 Investigation _»..
It may not always benecessary for further investigation to be carried out, if it is deemed to be
inappropriate or unnecessary, for example, insolvency of the Agent. The Contract Deployment
Team will need. to reach a decision, based on the individual facts of each case if preliminary
enquires suggest theré will be no further investigation and Legal Services should be involved
promptly (via email through Paul Inwood, Agent Contract and Policy Development Manager). The
final detision,rests with the Agents Contracts Deployment Manager.
7.2 Discussions
For Subpostmasters:
The process remains unchanged, they may be invited in to a Reasons to Urge interview which is
formally recorded and copies of notes provided to the Subpostmaster. POL’s position on their
option to have representation present at the RTU remains unchanged from the Friends at
Interview policy which can be found at the bottom of this document.
Subpostmasters may also continue to provide a written representation if they so wish.
Informal discussions:
For Operators only:
- There will be no Reasons to Urge interview.
- Operators of New Model Agreements do not have a right to an RTU or to attend an
informal discussion throughout the course of the Contract Advisors investigations.
- In exceptional circumstances, the Contract Advisors may decide to inVite,the Operatof for
an informal discussion usually within 14 days from the date of the alleged breach to discuss
the circumstances of the breach, if the Contract Advisor deems it necessary and/or helpful
in the course of the investigation. i .
- This should not be used by the Contracts Advisor as affact finding exercise, but an
opportunity for the Operator to tell the Contracts Advisoitheir view of the on the
circumstances leading to the breach and their SMigPetion, of I how or why the breach
occurred.
- This informal discussion should not be led bythe Contracts Advisor and should be an
opportunity for the Operator to present in explanation.
- This informal discussion should. notbe formally recorded although it is permissible for the
Contracts Advisor to take: a brief “‘contemperanous note as an aide memoire only. The
purpose of any such flotes isnot tobe a formal record and as such a copy should not be
provided to the Ofterai ‘Oryalthough the Operator may take his own notes if he chooses.
The original notes should bekept by the Contracts Advisor and retained according to the
normal busitegs ¥ules.onidocument retention.
- Ifthe ona C ‘advigor needs further clarification on matters but the Operator does not
wish to meet, the Operator may provide a written explanation to provide detail on how
nd whyithe breach occurred. Alternatively the Contract Advisor may telephone the
to discuss these matters. It is important that this remains informal and is not
ble to an ‘interview’.
Representation/persons present at informal discussions:
Operators of New Model Agreements do not have a right to representation or to ask another
person to accompany them at any informal discussion.
To have a representative present would formalise this discussion and go beyond the realms of
the purpose of the informality of this discussion.
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However, in exceptional circumstances the Contracts Advisor may deem it appropriate for
another person to be present. It must be remembered that this is not an automatic right. This
may be if the Contracts Advisor feels that the attendance of another individual would assist
with the progress of the discussion.
If an Operator asks if they can bring another person and the Contracts Advisor deems it
appropriate for reasons similar to those above, checks should be carried out by the Contracts
Advisor to determine:
- Their fullname
- In what capacity they are attending
- If they are an Agent/Assistant whether they are still active and registe
- That the person attending is not subject to the investigationghemsqluge
The Contracts Advisor should only permit persons who. wouldfhrough Me urse of their
usual work be exposed to the sensitive information pertajgi ig to POL operations.
An Operator must not bring a lawyer to the discussiomacting
without first advising the Contracts Advisor, as thié- will formalise the procedure and is not
POL’s intention. If the Operator wishes to meet with a, Jawyer, Legal Services should be
contacted promptly (via email through Paul Inweody (Agent Ce ontract and Policy Development
Manager) and there should be liaison betWéen with the,Contracts Advisor and Legal Services
to decide whether a lawyer from Pow 5 requiredto attend and arrange availability if
necessary.
fithin their capacity as a lawyer
Contracts Advisors must n jotyrefuse, to Meet the Operator, once they have been invited to the
informal discussion. To do soicould have significant legal implications.
7.3 Decision making
In making a decision about what contractual action to take against an Agent (if any), the Contract
Deployment Team will take into account all relevant factors, including but not limited to:
a) Impact and on-going risk to POL funds
“impact and on-going risk to POL brand and reputation
c) Effect of termination on customers
d) Effect of termination on the Agent
e) Any relevant information provided by the Agent including any mitigation presented
f) Direct involvement or responsibility of the Agent in the actions which led to the breach
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g) Impact of the breach (as distinct from the proposed termination) on customers,
suppliers and partners
h) Identity of the injured party (if any) who has suffered loss or damage as a result of the
breach, and whether this party is POL, customers or clients
i) Agent's history i.e. service length and record, previous written directions/warnings etc.
j) Legal advice
The Contracts Team must show their detailed reasoning in relation to the above in te, pro rouge
and explain why points are preferred and others disregarded.
There should be no ‘starting point’ and consideration should not begin with oneparticu lar
outcome as opposed to others. Where one or more criteria has béen ‘weighted’ ‘the reasoning for
that needs to be made clear in the pro forma. If the Contract Deployment Teams are presented
with a situation that requires a more complex assessment of the, circumstances they should always
seek the advice of Legal Services (through Paul Inwood Agent,
Manager, via email). gf ™%
tract and Policy Development
Unlike Subpostmasters operating Subpostmaster cont cts, Qperators of the New Model
agreements who disagree with decisions, made "by. they Contract Deployment Team will not be privy
to automatic appeals when a decision fas been made to terminate their agreement. There is no
appeals process for Operators of. New. del agreements.
8.0 Types of Action
Operators
Operators ofNew Model cOntracts may be subject to the following actions by POL for breach of
Written direction with request for remedial action within 14 days (or longer if deemed
appropriate by Contracts Advisor, see section 6.2 for further guidance)
(ii) Written direction (this may be subject to conditions; e.g. repayment of any missing POL
cash/stock and/or the Operator being willing to accept support intervention)
(iii) Suspended termination
(iv) Giving notice to terminate for the period specified in the contract, or a shorter period if
agreed in writing with the Operator. For Mains, either party can give 12 months’ notice to
terminate. For Locals, either party can give 6 months’ notice to terminate. In each case,
the notice cannot be given so as to expire before 12 months' from the start date.
(v) Immediate termination
Operators of New Model Contracts do not have the same terms and obligations as appear in the
Subpostmasters' contract and there are key differences in the types of contractual action that
should be taken (see section on Subpostmasters below).
In particular, it is not correct to use the term ‘warning’ in letters to Operators. It is imperative that
we digress from phrases commonly associated with contracts of employment. Operators should
instead receive a letter detailing a ‘written direction’ of the appropriate course of action they are
expected to take in order to remedy the breach. “
As previously mentioned, Operators of New Models do not have a right of appeal'agai
made by the Contract Deployment Team when a decision is taken to,términate eir Agreement.
In addition, Operators are not able to resign to avoid terminatio Howeverei hepPOL or the
Operator can give 12 months' written notice to terminate (for Mains)or 6 months (for Locals). The
12 or 6 months' notice cannot be given so as to expire before 12 montt sifrom the start date. But,
if POL and the Operator agree, less than 12 (or 6) months»otice ofjtermination can be given.
Subpostmasters
Subpostmasters operating Subpostmaster Co:
breach of contract:
racts may be™ubject to the following actions for
(i) Written warning
(ii) Final Written warning
(iii) Suspended terminatio = this may be offered subject to conditions
(iv) Three. months’ notice to terminate
(v) Immediate termifiation
Agents operatifig multiple branches
Ifan Agentisiperating multiple branches on different contracts (e.g. Subpostmaster and New Model
contract) Contract Advisors must take the contractual action POL have the right to take under that
specific contract and ensure they are dealt with distinctly.
If an Agent breaches their Subpostmaster contract and are terminated they are still able to operate their
New Model branch.
However, if an Agent breaches their New Model contract and they are terminated POL also has the right
to terminate their Subpostmaster agreement, because the New Model contracts contain a provision
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that allows POL to do this. Legal advice should be sought before making a decision on this (via email
through Paul Inwood, Agent Contract and Policy Development Manager)
9.0Proportionate outcomes
Any decision made by the Contract Deployment Team must be based upon the principle of ‘balance of
all probabilities’ and be commensurate with the severity of the breach. The Contract Deployment Team
should assess and investigate the full implications of taking contractual action and give due
consideration to the other, often less severe, options available to them.
9.1 Suspended termination
If suspended termination is considered in any case, legal advice should alWaysibe taken (via email
through Paul Inwood, Agent Contract and Policy Development Manager.) This is Because there is a
significant risk that if other contractual action is not taken promptly, the right to terminate for the
breach may be lost and/or the breach may become accepted undér,the contfact as adequate
performance for which no remedy is available to POL. %
Whilst immediate termination may be appropriatean /or ecessary in circumstances where there is a
substantial risk to POL cash and stock, the use of suspend termination may be appropriate in some
circumstances. This decision should be takensby'the Contract. Déployment Team, ratified by the Agents
Contracts Deployment Manager. Suspend termination Would allow the Agent to continue running
the branch.
This approach will be used in exééptional yrstfices and may be considered appropriate where
there is a clear breach of contract, ahd an action or omission by the Agent does warrant immediate
termination but evidence i: sented that suggests there is low impact of the breach (as distinct
from the proposed immediate termination) on customers, suppliers, partners and low culpability
(e.g. absent Subpostma er/Opérator and Assistant theft). In this instance, the Contracts Advisor
should considét InP ee termination of the contract but suspend that termination for a period
of 12 months.
curtiéfmore, the’Agent must comply with whatever conditions the Contracts Advisor determines,
be that attendance for re-training, exclusion from a branch of named Assistants/managers and/or
improvements to internal monitoring processes. These would not be designed as a punishment
but as a méans of rectifying weaknesses without which risk to Post Office cash, stock or reputation
could continue. The Agent must agree not to repeat the breach in question.
If further material breaches are committed in the 12 month period the Contract Deployment Team
should assess the seriousness of the most recent breach in isolation from the previous breach. If
both breaches are of a similar nature or if the second breach is itself a material breach for which
the contract could be immediately terminated, the Contract Deployment Team may decide to
consider terminating the Agent's contract with immediate effect. Legal advice should always be
sought before doing so.
10.0 Recording Database
It is essential that the Contract Deployment Team ensure that an accurate record of the breaches
is maintained as they occur, with a clear audit trail to show the decision making process, including
ratification by the Agents Contracts Deployment Manager in addition to any evidence that was
presented by the Agent. Records of notes made when in communication with an Agent should be
kept and filed according to the business rules on document retention. This will greatly assist if any
challenge were to be brought against POL, legal or otherwise.
11.0. Process
Process maps to assist the Contract Deployment Team with their deci
document and should be consulted for every case.
12.0 Applicability
This Policy applies to Subpostmasters, and Operators of Main ind {OGal agreements, and to
communications and actions via the Contract Deployment Teamiin response to breaches of contract by
Subpostmasters and Operators. It does not apply to Franchisees or Franchise Agreements.
13.0 Related policies
Burglary and Robbery
Changes to Opening Hours
Underperformance
Corrective action
NT fund recovery in SPMR Batract
NT fund recovery in postagreet
rmination cases
start date termination cases
14.0.€ntities and businéss structures
It is important to understand who or what is legally responsible under the New Model Agreement or
Subpostmaster Contract. The person or entity responsible under the contract may not be the same as
the people who are Assistants within the business. Agents are operating under contracts for services
and are not employees of POL.
The most common types of business structures are set out below:
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Individual or "sole trader" This is a legal person who has entered into the contract as an
individual, and not on behalf of one of the other business
structures in this table. This means that this individual is legally
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responsible, subject to the terms of the contract.
Limited company Director(s) are responsible for running a limited company. It is
the company itself which it is legally responsible, subject to the
terms of the contract. Whilst POL may address correspondence
to an individual within the company, such as a director, it is the
company itself which is legally responsible for its actions. A
company is therefore not the same as its directors or
employees. Every limited company has shareholder(s) which are
people or organisations who own shares in the company. A
director may own shares in a company but doenot have to.
Partnership This is a business structure in which each partner shares
personal responsibility for the business. Me be
individuals or limited companies. nershi psiare often
referred to as "firms" (e.g. soligiférs' fits).
y
Se
15.0 Standard letters
LIST OF LETTERS TO BE USED IN NEW MODEL. conmT
INCLUDES COMPANIES AND PARTNERSHIPS). hy, 7
THESE LETTERS ARE NOT TO BE USED FOR Sl bos ~~ OR FRANCHISEES.
Important note: (iy,
A number of these letters include footnosgs which yh use. The footnotes must be deleted
before any letters are sent out and by of remint have been highlighted in pink in the
letters. Footnotes are deleted by selégtin ae footn, je number e.g. 1 where it appears in the main
text and pressing delete. Footnojgs cafigot el from within the text of the footnote at the
footer of the page. ey er
pag r 4 ys XY v
Highlighted text should bi tA to be incleded i in the letter if appropriate, and if so, the
highlighting should be rem ae the letter is printed. Alternatively, if the highlighted text is not
appropriate it shoul delet acd uRignce is given on this in the footnotes.
eee ae,
Breach is identified Haye Nor suspended Operator:
Number ‘I Letter name Description
At ‘Notification of A problem is identified. The Operator is not suspended. A’
% investigation letter notifies them that POL is investigating.
y
A a)
A1 Notification of
investigation letter. dc
A2 Update on investigation The investigation is not completed and a holding letter is
sent to the Operator to update them.
‘A2 Update on
investigation letter.de
A3 Invite to informal A letter to arrange an informal discussion.
discussion
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&
A3%20Invite%20t0%
20informal%20discus
A4
Notice of conclusion of
investigation
The investigation is concluded and the Operator has not
committed a breach or the breach has been resolved and
the Operator is informed the investigation has concluded.
od
A4 notice of
conclusion of investigi
AS
Written direction to
remedy breach
The investigation is concluded and the Operator is found to
have committed a breach and is in’
breach within 14 days. This is a wri
than a threat to terminate.
(Note that this letter could be Sent as
the Operator about the issde depending «
AS5 Written direction’
to remedysbreach lel
AG
Notice of termination of
agreement if breaches
not remedied
The investigation is “concluded and the Operator is found to
have committed a material breach capable of remedy/ is
failindyto providedhe Products and Services to the
standards required and is invited to remedy the breach
within 14, days failing which the Agreement will be
terminated.
“VAG Notice of
termination of agreen
AZ
Notice,of i mediate
Immediate termination following a failure to remedy
breaches within 14 days as required by letter A6 giving
notice to remedy.
A7 Notice of
immediate terrrinatior
lotice of immediate
rmination
The investigation is concluded and the Operator's
Agreement is immediately terminated.
A8 Notice of
immediate terrrinatior
AQ
Notice to terminate in 6
or 12 months
6 months' notice to terminate for locals or 12 months'
notice for mains. There need not be any breach for this to
be used and this can be considered as “termination for
convenience"
POL00088475
POL00088475
AQ Notice to
terminate in 6 or 12 17
A10 Consequences of Letter notifying a locals Operator of the consequences of
termination for LOCALS _I termination.
ONLY bal)
A10 Consequences
of termination for Loc
Alt Consequences of Letter notifying a mains Operator ofthe eonsedtienses of
termination for MAINS
ONLY
termination.
A11 Consequences
of termination for Mai
Breach is iden
tified HAVE suspended Operator:
Descuption
Number Letter name :
B1 Confirmation of A problem isd fdentified) »The Operator is suspended. A letter
suspension template is sent te ‘confirm suspension.
letter as
. ae fetter.doc
B2 Consequence: of A lettér'is sent to inform the Operator of a locals branch of
suspension templat the, consequences of suspension.
letter LOCALS ONL aa?
B2 Consequences of
suspension template I
B3 oii toes of A letter is sent to inform the Operator of a mains branch of
suspension template
letter MAINS ONLY
the consequences of suspension.
B3 Consequences of
suspension template I
B4
‘Update on investigation —
‘suspended Operator
precedent letter
The investigation is taking longer than anticipated and a
holding letter is sent to the Operator.
84 Update on
investigation - susper
BS
Invite to informal
discussion
A letter to arrange an informal discussion.
POL00088475
POL00088475
B3%20Invite%20t0%
20informal%2Odiscus
BG
Notice of conclusion of
investigation and
reinstatement
The investigation is concluded. The Operator has not
committed a breach and is reinstated
pe!
B6 notice of
conclusion of investig:
B7
Reinstatement of
Operator subject to
conditions
The investigation is concluded. The Operatonis, found to
have committed a breach and instated subject to
conditions. ‘
eal
B7 Reinstatement
Letter subject to conc
Bs
Written direction to
remedy breach
The investigation i is col d. The Operator is found to
‘and is invited to remedy the
breachwithin 14 days. This will be either before or after the
Operator is téinstated depending on the circumstances and
is is a written direction rather than a
s
B8iWritten direction
0 rettedy breach lett
BO
Notice of termination, of
The investigation is concluded. The Operator is found to
have committed a material breach capable of remedy and
is invited to remedy the breach within 14 days failing which
the Agreement will be terminated.
BO Notice of
termination of agreen
B10")
JReinstatement as
) breaches have been
remedied and agreement
will not be terminated
This letter is to be used where the Operator remedies the
breaches following receipt of a B9 letter, and as a result the
Operator is reinstated.
B10 Reinstatement
as breaches have bee
B11
Notice of immediate
termination of agreement
where breaches not
remedied
Immediate termination following 14 day notice to remedy.
B11 Notice of
immediate terminatior
POL00088475
POL00088475
Bi2 Notice of immediate Immediate termination.
termination cy
B12 Notice of
immediate terminatior
B13 Notice to terminate in 6 6 or 12 months' notice to terminate.
or 12 months a
B13 Notice to
terminate in 6 or 121
B14 Consequences of Letter notifying a locals Operator of the consequences of
termination for LOCALS _I termination.
ONLY
B14 Consequences
of termination for Loc »
B15 Consequences of Letter notifying a main:
termination for MAINS
ONLY
termination.
Breach is iden
tified BUT assistant/managerrequires :
spension/termination
Number Letter name Description
C1 Notice requiring _& Aproblem is identified. An assistant(s) is suspended. A
suspension of Assistant letter is sent to confirm suspension.
template lettef y 4
C1 Notice requiring
» Suspension of assista
C2 Update. of investigation — The investigation is taking longer than anticipated and a
suspended assistant
precedent letter
holding letter is sent to the Operator.
C2 Update on
investigation - susper
Tnvite to informal
discussion
A letter to arrange an informal discussion.
ej
C3%20Invite%20t0%
20informal%20discus
POL00088475
POL00088475
C4 Notice of conclusion of The investigation is concluded and the
investigation and Assistants/Manager is "cleared" and is reinstated.
reinstatement I
C4 notice of
conclusion of investigi
.
C5 Notice of requirement to The investigation is concluded and
replace assistant/manager
?, in the
Assistants/Manager is foun a
be replaced.
required standards and
wa)
C5 notice of
requirement to replac
If as a result of the investigation Post Office Lt
breach of the Agreement, then the appropriat ario A can be used, with
specific reference to the facts of the specific sii
Operator refuses to replace an unsuitabI
clause 16.3, which gives Post Office