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POSTMASTER
SUPPORT POLICIES
Postmaster Contract
Performance Policy
Version — V3.0
Post Office is determined to reset its relationship with postmasters and has introduced policies that set out guidelines on h ow
Post Office should support postmasters, specifically for use across twelve areas.
The policies stand on their own but should be reviewed in conjunction with each other. Support teams should have an awareness
ofall twelve policies and how they link together.
The twelve Postmaster Support Policies are listed in section 3.2 of this policy and can be found on the hub, here.
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1. Definitions
1.1. Definitions
2. Overview
2.1. Introduction by the
2.2. Purpose ....
2.3. Core Principles .
2.4. Application
2.5. The Risk....
3. Risk Appetite
3.1. Risk Appetite
3.2. Policy Framework
3.3. Who must comply?.
3.4. Roles & Responsibilities
3.5. Minimum Control Standards .....0.... ee
4. Procedure
4.1. Contract Performance ISSUES .............:1c
4.2. Investigation
4.3. Contract Performance Rationale........
4.4. Contractual Action
4.5. Monitoring Period
5. Where to go for help
5.1. Additional Policies
5.2. How to raise a concern...
5.3. Who to contact for more informatio:
6. Governanc
6.1. Governance Responsi!
7. Control
7.1. Policy Version
7.2. Policy Approval & Review
Company Details
8. Appendices
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8.1. Contract Performance Rationale ....
8.2. Process Map..
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1.
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Definitions
1.1.
1.
Definitions
Audit - This is a comprehensive assessment of the current trading position of a
branch, and includes the verification of reported levels of cash, foreign currency
(if applicable), stock items and vouchers as well as a compliance review, to check
if mandatory business conformance and regulatory compliance controls are
operating as intended.
Contractual Action - the means of resolving a performance matter with a
postmaster through a formal request, most commonly a Written Direction.
Contract Performance Issue - A matter that arises where a postmaster is not
meeting their obligations as set out in their contract to the required standard in
relation to a material matter.
Contract Performance Rationale (see Appendix 8.1) - A rationale completed
by the Contract Advisor which captures the facts and findings of the investigation
into the matter and sets out the rationale outlining next steps.
Postmaster - this refers to a limited company, partnership, limited liability
partnership or individual that contracts with the Post Office in its or their capacity
as a postmaster in the network, or assistants of such postmasters.
Written Direction - A formal letter issued following the investigation which
outlines the breach of contract, sets out expectations and what is required of the
postmaster and explains the consequences of not doing so.
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2. Overview
2.1. Introduction by the Policy Owner
The Franchise Partnering Director has overall accountability to the Board of Directors for
the design and implementation of controls to manage risk in the network?. Risk in the
network is an agenda item for the Risk Committee and the Post Office? board is updated
as required.
This policy is a non-contractual document provided for information. It does not form part
of a contract between postmasters? and Post Office.
This policy forms part of a suit eof policies designed to deal with the management of
postmaster contracts and for those teams deploying any aspect of this policy it should be
read together with the Postmaster Contract Suspension and Postmaster Contract
Termination policies. These polices can be found on the hub, here.
2.2. Purpose
This policy is part of a framework that has been established to set the minimum operating
policies relating to the management of contracts with postmasters (which may be
companies, sole traders or partnerships) throughout the network.
It is important that each postmaster is able to ensure the obligations as set out in their
contract are performed to the standards required and are provided support by Post
Office to meet these standards. Post Office recognises that there will be occasions where
these standards are not being met.
The purpose of this policy is to identify the circumstances where these standards are not
being met, the investigation process and to outline the procedures to be followed to
ensure performance of the contract, while supporting the postmaster in this process.
This policy is one of a number of policies which provide a clear risk and governance
framework and an effective system of internal control for the management of risk across
the Group. Compliance with these policies supports the Group in meeting its business
objectives and to balance the needs of customers, shareholders, employees, other
stakeholders (such as the government departments) and third party commercial partners
including Royal Mail.
2.3. Core Principles
Post Office has an obligation to its customers and clients to ensure that all branches
are providing a quality of service and adhering to agreed standards. Post Office is
committed to supporting its postmasters in this process.
It is vital that, to the extent reasonably possible, any performance issues are resolved
* In this policy, “network” means branches not directly managed by Post Office
? In this policy, “Post Office” means Post Office Limited
* In this policy, “postmaster” refers to the person or entity (which may be a company, sole trader or partnership) contracted with
Post Office and any person acting on the postmaster’s behalf (as applicable).
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through Post Office and postmasters supporting and working with each other through the
available methods. It is recognised that formal actions to ensure performance of the
contract can be stressful for the postmaster and may have an impact on the operation of
the branch; therefore, formal action should only be taken where necessary and where
alternative methods to resolve the performance issue have been considered.
Accordingly this policy, and its linked policies, sets out clear and consistent guidelines to
ensure that:
« an investigation is carried out to establish the facts before any formal contractual
action may be taken and that the postmaster is given the opportunity to identify
and address any issues of concern; and
e consideration is given to the postmaster’s circumstances when Post Office is
deciding whether to take formal contractual action.
Post Office will handle these situations in good faith and apply the principles of fairness,
transparency, and professionalism (being the underpinning behaviours of Post Office).
2.4. Application
This policy is applicable to all postmaster contracts* throughout the network.
2.5. The Risk
Post Office is required to investigate a potential contract performance issue before taking
any contractual action and in doing so needs to:
* ensure that any decisions taken in respect of a postmaster contract are not
exercised arbitrarily, capriciously or unreasonably;
* exercise any contractual power honestly and in good faith for the purpose for which
it was conferred on Post Office; and
* exercise any discretion in accordance with the obligations of good faith, fair
dealing, transparency, co-operation and trust and confidence.
Failure to deal with a contract performance issue in the correct manner creates risks for
both Post Office and postmasters, which include (but are not limited to):
e formal contractual action being taken without proper cause or a contractual basis
may cause unneccessary distress for the postmaster and Post Office will not have
acted in good faith;
e loss of confidence in how Post Office manages the contractual relationship;
e stakeholders having reduced confidence in Post Office’s ability to effectively
manage postmaster contracts;
e Post Office may suffer reputational damage; and
‘In this policy, ‘postmaster contract” means contracts which relate to those branches not directly managed by Post Office
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e Post Office may be in breach of its contractual or regulatory obligations.
Section 2.5 sets out the minimum control standards that the Post Office has implemented
to control these risks.
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3. Risk Appetite
3.1. Risk Appetite
Risk appetite is the extent to which the Post Office will accept that a risk might happen in
pursuit of day-to-day business transactions. It therefore defines the boundaries of activity
and levels of exposure that Post Office is willing and able to tolerate.
Post Office takes its legal and regulatory responsibilities seriously and consequently has:
e Averse risk appetite to corporate non-compliance with legal and statutory
obligations.
e Averse risk appetite for financial crime to occur within any part of the
organisation.
« Averse risk appetite in relation to unethical behaviour by Post Office staff.
e Averse risk appetite for litigation.
e Cautious risk appetite for inefficient or ineffective processes that result in: lost
time, duplicated effort, and increased risk of financial loss or errors in any part of
its business or core processes
Post Office acknowledges, however, that in certain scenarios, even after extensive controls
have been implemented, a process may still sit outside the agreed Risk Appetite. In this
situation, a risk exception waiver will be required pursuant to the Exemption Process,
details of which can be found here.
3.2. Policy Framework
This policy is part of a framework that has been established to set the minimum operating
policies relating to the management of our postmaster contract risks throughout the
business in line with Post Office’s risk appetite. The framework includes the following
policies:
« Postmaster Onboarding
« Postmaster Training
« Postmaster Complaint Handling
e Network Monitoring and Audit Support
e Network Cash and Stock Management
* Network Transaction Corrections
e Postmaster Account Support
e Postmaster Accounting Dispute Resolution
e Postmaster Contract Performance (this policy)
« Postmaster Contract Suspension
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* Postmaster Contract Termination
« Postmaster Termination Decision Review
3.3. Who must comply?
Compliance with this policy is mandatory for all Post Office employees® who manage
postmaster contracts on behalf of Post Office.
Where non-compliance with this policy by Post Office employees is identified by Post Office,
Post Office will carry out an investigation. Where it is identified that an instance of non-
compliance is caused through wilful disregard or negligence, this will be investigated in
accordance with the Group Investigations Policy.
3.4. Roles & Responsibilities
«¢ Franchise Partnering Director - is the policy owner, who must comply with the
governance responsiblities set out at section 6.1.
e Head of Contract Management & Deployment - is accountable for the
deployment of this policy, for supporting Post Office personnel who carry out
actions under this policy and for regularly reviewing the effectiveness of this policy
and for drafting any amendments to it that may be required.
e Area Manager(s) - is (are) responsible for the relationship between Post Office
and postmasters regarding the management of their branches, including raising
performance issues prior to the deployment of the procedures and decisions
required in this policy.
e Contract Advisor(s) - is (are) responsible for deploying the procedures set out
in this policy. The Contract Advisor(s) form part of the Contracts Team.
The Contract Advisor must:
°
apply the Post Office’s underpinning behaviours of fairness, transparency
and professionalism;
be fully conversant with this policy and linked policies;
act as a guide and advisor to those Post Office teams, particularly Area
Managers, dealing with contract performance issues to ensure consistency
of approach;
ensure that all necessary steps have been taken by Post Office teams to
support postmasters to address the identified issues, with the appropriate
documentation completed;
revert to the relevant Post Office team to address any identified instances
where steps have not been taken or appropriate documentation not
completed by Post Office in relation to managing performance issues;
5 In this policy “employee” means permanent staff, temporary staff including agency staff, contractors, consultants and anyone
else working for or on behalf of Post Office and, for clarity, does not include postmasters or postmasters’ staff
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o investigate the contract performance issue, gathering as much information as
possible relating to the contract performance issue that has come to light,
liaising as appropriate with the postmaster and other Post Office teams and
keeping complete records, before taking any formal contractual action;
o consider the options available as an alternative to contractual action,
discussing if required with the Head of Contract Management & Deployment;
o deal with any contact, written or otherwise, from the postmaster, in a
timely manner;
o if a meeting is required, be flexible, within reason, over the availability of
the postmaster;
o ensure any decision is made in line with all other linked Post Office
policies;
o make the postmaster aware of the support available to them, including
from the National Federation of Sub Postmasters;
o ensure that once any formal contractual action is taken the situation is
monitored (by other Post Office teams if necessary) and the postmaster is
clear on the consequences of not complying with the formal contractual
action.
e National Federation of Sub Postmasters (NFSP) - is a professional trade
association which exists to support postmasters.
« Postmaster - refers to a limited company, partnership, limited liability partnership
or individual that contracts with the Post Office in its or their capacity as a
postmaster in the network, or (as applicable) assistants of such postmasters.
In relation to this policy, the postmaster is expected to:
o be transparent and open towards Post Office;
o ensure they respond to written correspondence and telephone calls in a
timely manner in order to assist the Contract Advisor in reaching a decision;
o be flexible and available for meetings with the Contract Advisor if one is
required; and
o comply with the terms of any letter (including a written direction) issued
by the Contract Advisor once any investigation is complete.
In relation to this policy, the postmaster may:
o contact their NFSP representative to support them through the process;
© arrange legal or other representation for any written correspondence or
meetings with Post Office;
request information and evidence from Post Office in connection with this
process and wider investigation; and
contact a Contract Advisor at any time during or after the investigation
process, including in relation to a written direction that Post Office has
issued to a postmaster.
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3.5. Minimum Control Standards
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A minimum control standard is an activity which must be in place in order to manage the risks, so they remain within the defined Risk
Appetite statements (as set out at section 3.1). There must be mechanisms in place within each business unit to demonstrate compliance.
The minimum control standards can cover a range of control types, i.e. directive, detective, corrective and preventive which are required
to ensure risks are managed to an acceptable level and within the defined Risk Appetite.
The table below sets out the relationships between identified risks and the required minimum control standards in consideration of Post
Office’s Risk Appetite.
decision making.
& Deployment
Risk Area Description of Risk Minimum Control Standards Who is When
responsible
Taking If formal contractual action is I* The Contract Advisor will conduct an Contract As required
contractual taken without proper cause or investigation, keeping full records, and Advisor
action without I contractual basis it may complete a Contract Performance
proper cause cause unneccessary distress Rationale capturing the relevant facts and
for the postmaster and Post rationale for next steps, ensuring that
Office will not have acted in Post Office itself is not in material breach
good faith. of duty and any action is being taken with
proper cause.
This may also lead to
reputational damage and put Ie Quality checks and training covering the Head of Quarterly
Post Office in breach of contract performance process will take Contract
contractual and regulatory place with the Contracts Team to ensure Management
requirements, which could that the correct process is followed. & Deployment
lead to legal challenges.
e The Head of Contract Management & Head of Quarterly
Deployment will review decision review Contract
outcomes to ensure consistency of Management
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Loss of If Post Office are not making I All decisions to take formal contractual Contract As required
confidence the correct decisions by action are supported by a rationale Advisors
either: setting out the grounds for doing so,
e taking formal contractual taking account of all relevant factors after
action when it has no having investigated the alleged
grounds to do so; or contractual performance issue.
e not taking contractual
action when it should, e The Head of Contract Management & Head of Quarterly
it may lead to a loss of Deployment will review decision Contract
confidence both across the outcomes to ensure consistency of Management
postmaster network and with decision making. & Deployment
Post Office’s stakeholders in
how Post Office manages the
contractual relationship with
its postmasters.
Policy non- Non-adherence to the policy I. All members of the Contracts Team, the I Head of Once approved and
adherence could result in legal and wider Franchise Partnering Team and any I Contract annually thereafter
regulatory risk as well as teams who may be involved in the Management (or sooner in the
reputational damage to Post decisions being taken will be provided & Deployment I event of material
Office and the relationship with training on this policy. changes to the policy)
with postmasters.
* The Head of Contract Management & Daily
Deployment is accountable for ensuring
that they and their team adhere to the
policy, as it applies to their area.
e The Policy should be reviewed, and if As required (but
necessary updated. reviewed at least
annually)
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4.
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Procedure
4.1. Contract Performance Issues
A contract performance issue arises where a postmaster is not meeting their obligations
as set out in their contract to the required standard in relation to a material (i.e. non-
trivial) matter. The following are examples which may, depending on the circumstances,
indicate that there is a contract performance issue:
Escalating/continuing discrepancies;
Not adhering to contracted opening hours;
Customer complaints, such as failure to adequately deal with customer
complaint(s), the existence of an unusually high level of customer complaints, or
of a pattern of complaints suggestive of underlying failures to meet their
obligations. However, the mere existence of customer complaints against the
branch should not be assumed to amount to a contractual performance issue;
Branch accounting non-conformance;
Financial or other irregularities, including possible fraudulent activity (including
Fees fraud);
Breach of contractual non-compete restrictions;
Failure to comply with legal or regulatory requirements e.g. Anti-Money Laundering
regulations, mails integrity requirements; and
Failure to meet premises standards.
The contract performance issues procedure is intended to be used for breaches of contract
which do not entitle Post Office to immediately terminate the contract. Very serious
breaches of contract which entitle Post Office to immediately terminate the contract are
outside the scope of this policy and are dealt with in the Postmaster Contract Termination
policy®. However, for reference, these may include (but are not restricted to):
Where the postmaster is bankrupt or insolvent;
Where the postmaster is no longer operating the basic business;
Where the postmaster has been charged on suspicion of a criminal offence (other
than a road traffic offence not involving imprisonment);
Other breaches which are very serious (“repudiatory”) in nature, which may
include:
o Where the postmaster has admitted theft of Post Office funds;
© The Postmaster Contract Termination policy can be found on the hub, here.
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o Any action by the postmaster that demonstrates the postmaster no longer
intends to be bound by the contract including loss of a valid property
interest;
o Sustained non-compliance by the postmaster following the issuing of written
directions by Post Office; and
o Where a shortfall of a significant value has been caused by the negligence,
carelessness or error of the postmaster, resulting in a loss to Post Office,
and which have been fully investigated by Post Office.
Further details are included in the Postmaster Contract Termination policy when dealing
with matters which may give rise to serious breaches such as the above.
A process map detailing the contract performance process can be found in appendix 8.2.
4.2. Investigation
Post Office will investigate a potential contract performance issue before taking any formal
contractual action.
Any investigation will be a fair and unbiased method of investigating issues identified prior
to any formal action being considered. The process of investigation allows Post Office to
establish facts and gives the postmaster the opportunity to identify and answer any issues
of concern raised.
In the investigation process, the Contract Advisor should seek further information from
the postmaster through written correspondence (including emails), telephone
conversation(s) or a face to face meeting.
Post Office will ensure that complete records are kept of all investigations and that any
decisions taken in relation to an investigation are documented in rationale documents.
Records will be retained in accordance with Post Office's document retention policy’.
Details of the investigation and the supporting records and information will be shared with
the postmaster unless the material is subject to a restriction on disclosure such as:
e legal privilege;
e data protection law; and
e material relating to a criminal investigation.
The Contract Advisor should make an asessment whether any restrictions on disclosure
apply in advance of sharing material with the postmaster and seek advice from Post
Office’s Data Protection and Information Rights Team if required.
The Contract Advisor will inform the postmaster of the grounds on which it is being
investigated and its rights to access information and records relating to the investigation,
as set out above, upon the commencement of and during the investigation.
7 The Document Retention and Disposal Policy (Group Policy) can be found in the Group Key Policies on The Hub
https://poluk.sharepoint.com/sites/thehub/Policies/Forms/Allitems.aspx?id=%2F sites%2Fthehub%2F Policies%2F Document
%20Retention%20and%20Disposal%20Policy%20v1%2E3%2Epdf&parent=%2F sites%2F thehub%2F Policies
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4.3. Contract Performance Rationale
Once an investigation is complete the Contract Advisor will prepare a Contract Performance
Rationale document capturing the material information provided by the postmaster,
relevant documentation provided by other Post Office teams connected to the issue, any
action taken by the Contract Advisor and a rationale outlining next steps.
Post Office will not take any formal contractual action in connection with a contract
performance issue without ensuring that:
e the performance issue has been raised with the postmaster through the most
appropriate team (most commonly the Area Manager) in accordance with the
requirements of section 4.2, with clear expectations having been set and any
reasonably required support provided (including additional training if required). All
action taken, including anything agreed with the postmaster, will be documented
appropriately by the relevant Post Office team;
e it has knowledge of the relevant applicable facts and a review of the contract
between Post Office and the postmaster has been carried out to establish that there
is a contract breach;
e consideration has been given as to the seriousness of the breach; and
« it has considered whether Post Office is itself in material breach of duty in respect
of the matters giving rise to the right to take contractual action (i.e. the contract
performance issue). In line with the Postmaster Contract Suspension policy and
Postmaster Contract Termination policy, the Post Office must not suspend or
terminate a contract with a postmaster where it is itself in material breach of duty
in respect of the matter giving rise to Post Office’s right to suspend or terminate
(as applicable).
If required, the Contract Advisor can request support from the Head of Contract
Management & Deployment in reviewing the decision.
In circumstances where the investigation has concluded that there has not been a breach
of contract by the postmaster and, therefore, Post Office will not take formal contractual
action, Post Office will write to the postmaster to advise them of this.
Following an investigation, Post Office may also decide that even though there has been a
contractual breach, it does not intend to take formal action at this time. In these
circumstances, Post Office will write to the postmaster to advise them of this.
4.4. Contractual Action
Following completion of the Contract Performance Rationale the Contract Advisor may take
the following contractual action:
Written Direction
This is a means by which a postmaster is formally requested in writing to take steps to
resolve the contract performance issue. A written direction (using a standardised template
letter) will only be issued, other than in genuine cases where very urgent action is required,
if all of the steps outlined under section 4.2 (Investigation) have been completed. A written
direction will:
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«outline the breach(es) of contract based on the applicable facts;
«give the postmaster a period of time to rectify the issue explaining what is required
to do so. In determining the period of time, regard should be had to the terms of
the contract relevant to the breach and to what is reasonable in the circumstances;
and
«explain the consequences of not doing so.
If the postmaster fails to rectify the issue by the time required to do so or indicates they
will not rectify the issue, then the Postmaster Contract Termination policy should be
referred to.
Audit
If the investigation has highlighted a serious risk either to the postmaster or Post Office
then an audit may be requested and the steps outlined in the Postmaster Contract
Suspension policy followed, if appropriate.
4.5. Monitoring Period
Following the issuing of a written direction the appropriate Post Office team will monitor
the situation. An assessment will be made on the length of monitoring period dependent
on the individual circumstances but it is unlikely that this will last longer than 12 months.
Should the issue reoccur then the facts will be reported to the Contract Advisor and steps
as outlined in the termination policy will be considered.
Sustained non-compliance may amount to a repudiatory breach.
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5. Where to go for help
5.1. Additional Policies
This Policy is one of a set of policies. The full set of policies can be found on the SharePoint
Hub under Postmaster Support Policies.
5.2. How to raise a concern
Any postmaster (whether a limited company, partnership, limited liability partnership or
an individual), any postmaster’s staff or any Post Office Employee who suspects that there
is a breach of this Policy should report this without any undue delay.
If a postmaster or any postmaster’s staff are unable to raise the matter with the area
manager of the relevant branch or if a Post Office Employee is unable to speak to her or
his line manager, any person can bring it to Post Office’s attention independently and can
use the Whistleblowing channels for this purpose. Any person can raise concerns
anonymously, although disclosing as much information as possible helps ensure Post Office
can conduct a thorough investigation.
For more details about how and where to raise concerns, please refer to the current
Whistleblowing Policy which can be found on The Hub under Post Office Key Policies,
accessed here.
5.3. Who to contact for more information
If you need further information about this policy or wish to report an issue in relation to
this policy, please contact Andrew Kingham, Franchise Partnering Director at
andrew.kingham} GRO
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6. Governance
6.1. Governance Responsibilities
The Policy sponsor, responsible for overseeing this Policy is the Retail and Franchise
Network Director of Post Office.
The Policy owner is the Franchise Partnering Director who is responsible for ensuring that
the Head of Contract Management & Deployment conducts an annual review of this Policy
and tests compliance across the Post Office. Additionally, the Franchise Partnering Director
and the Head of Contract Management & Deployment and their team are responsible for
providing appropriate and timely reporting to the Risk and Compliance Committee.
The Audit and Risk Committee are responsible for approving the Policy and overseeing
compliance.
The Board is responsible for setting the Post Office’s risk appetite.
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7. Control
7.1. Policy Version
Date Version I Updated by Change Details
2°4 March 2020 LA David Southall Draft Version
3" March 2020 1.2 Tim Perkins Minor Edits
6t March 2020 1.3 Tim Perkins Legal Review
17% March 2020 1.4 Tim Perkins For working group review
9th April 2020 1.5 Tim Perkins Final Draft with working group
revision
14% May 2020 1.6 Tim Perkins Final draft following further legal
review
6 April 2021 2.0 David Southall, Annual review - initial draft changes
Head of Contract
Management &
Deployment
14" April 2021 2.1 David Southall, Initial legal review
Head of Contract
Management &
Deployment
26 April 2021 2.2 David Southall, Second legal review
Head of Contract Addition of process map
boner Alignment _with other postmaster
support policies
4 May 2021 23 Jo Milton Risk appetite amendment
23" May 2021 3.0 David Southall Updated following ARC feedback
Head of Contract including:
Management & Updated to V3.0
Deployment Addition of definitions
Addition of Contract Performance
Rationale
Added linked policy statement to
front page
Added reference to the Group
Investigations Policy to section 3.3
Who Must Comply?
Updated link to section 5.1
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Added footnotes to link to other
policies referred to in this policy.
7.2. Policy Approval & Review
Oversight Committee: Risk and Compliance Committee and Audit and Risk Committee
Committee Date Approved
POL R&CC 4 May 2021
POL ARC 18th May 2021
Policy Sponsor: Retail and Franchise Network Director
Policy Owner: Franchise Partnering Director
Policy Author: Head of Contract Management & Deployment
Next review: 31 MAR 2022
Company Details
Post Office Limited and Post Office Management Services Limited are registered in England and Wales. Registered numbers
2154540 and 08459718 respectively. Registered Office: Finsbury Dials, 20 Finsbury Street, London EC2Y 9AQ.
Post Office Management Services Limited is authorised and regulated by the Financial Conduct Authority (FCA), FRN 630318. Its
Information Commissioners Office registration number is ZA090585.
Post Office Limited is authorised and regulated by Her Majesty’s Revenue and Customs (HMRC), REF 12137104. Its Information
Commissioners Office registration number is 24866081
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8. Appendices
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8.1. Contract Performance
Rationale
Contract Performance Rationale Document
BRANCH DETAILS
Branch Name
Branch Code
Contract Type and Code (i.e. Local
NT1)
Postmaster Name
Legal entity the contract is with (if
different from above)
Is the Postmaster an absentee (i.e.
managing from a distance)?
YES/NO*
*delete as applicable
If so, please explain the situation with
the Postmaster’s involvement.
Appointment date according to current
contact
Original appointment date (if not same
as above)
Is the contract with a _ Limited
Company or Partnership?
YES/NO*
*delete as applicable
If so, please list the names of the
Directors:
Is the contract guaranteed by a
third party?
YES/NO*
*delete as applicable
Guarantor Details:
Date Contract Signed
Date Contract Countersigned
Associated Retail
Is this part of a group of branches
owned by the same Postmaster?
YES/NO*
*delete as applicable
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If so, please advise the other
branches operated
Background to case
Details of what has happened
outlining the nature of the issue
and why it has been escalated for
contractual action to be
considered.
CASE BACKGROUND
Investigation Details
Details of investigations
undertaken outlining what steps
have been taken to resolve the
issue prior to escalation for
contractual action to be considered
CASE INVESTIGATION
Training and Support - Detail
what training and support was
offered to help resolve the issue.
Detail any previous _ training
provided to the branch
Registered Assistants
Branch Support Call Logs
Horizon Data Review (if
Applicable)
Postmaster’s History:
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Record any relevant details from
the postmaster’s history prior to
this issue (for example service
length and record, any previous or
ongoing written directions or
warnings and how POL followed up
on any warning and direction and
provided necessary support and
training during/afterwards, Is
there an outstanding discrepancy
at the branch, what is the date of
the last trading period for the
branch, )
Notes from contact with
Postmaster, through the
course of the investigation:
DECISION MAKING
Criteria for Con:
a) Has the issue has been raised with
the postmaster through the most
appropriate team with clear
expectations having been set and
any reasonably required support
provided (including additional
training if required)?
b) What consideration has been
given as to the seriousness of the
breach and a review of the
contract between Post Office and
the postmaster has been carried
out to establish that there is a
contract breach?
c) Has any action (or inaction) by
Post Office itself been a
contributory factor?
d) Please note any relevant
information provided by the
Postmaster as part of an informal
discussion/ telephone
conversation/ written explanation.
e) Operator’s history i.e. service
length and record, any previous
written directions or warnings and
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how POL followed up on any
warning and direction and
provided necessary support and
training during/afterward
f) Any other comments to support
your decision
Factors for or against in determining whether contractual action is appropriate (this is not
a numerical analysis and the importance of each item must be considered)
Factors supporting contractual action Factors supporting no contractual action
Breaches of the Agreement / Contract
Write what the breaches are - what is the evidence -
De in taken and why
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Next steps (who will monitor, is further support required, what are the expectations of the Area
Manager, expectations on the postmaster etc)
Business Improvements
Note: This section is to note any potential business improvements which have been raised
through the investigation.
Name of Contract Advisor completing decision document:
Date completed:
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8.2. Process Map
Pi ance
Escalation
Retion Required
formal
Flas there been a breach contractual
of contract?
pl
to Dynamics
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