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Strictly Private & Confidential
Initial Complaint and Mediation
Scheme Workshop
17 December 2013
Post Office®
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Proposed Governance Model &
PO Ltd Board
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Belinda Belinda Sophie eS
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Scheme Operation: high level process
David Oliver
Strictly Private & Confidential
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Case Mediation Scheme — High ED
Level Process
Submission Investigation Review & Agree Mediation
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Strictly Private & Confidential
Mediation Scheme —
Case Investigation Process
Angela Van Den Bogerd
Post Office®
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Investigation Approach — Guiding Principles &
We as a company are not yet quite operating in the ‘improved ways of working’
however we as part of our investigation approach need to adopt and actively
demonstrate the guiding principles that will underpin future state:
+ Treat with Dignity & Respect
* Innocent until proven guilty
* Stand in Spmr’s shoes
* Investigate without precautionary suspension wherever possible
Post Office®
IN THE STRICTEST COMMERCIAL CONFIDENCE,
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The Role & Responsibi
ies of the Case investigator &
Thoroughly investigate the issues raised in the applicant’s case questionnaire
- Bond Dickerson will have already reviewed and sign posted the key questions to
answer as part of POL’s case review
Drive each case to resolution
- The desired output is to explain what happened in each case
Remain impartial & not be subjective or judgmental
- Take the applicant's claims at face value and investigate to establish the facts
Maintain a high level of integrity
- How we behave; what we do; what we say will be scrutinised
Ensure interpretation of data is correct
- This is where your knowledge and experience is key
Identify improvements to support process and operational change
- The ethos of future state is ‘right first time’
Post Office®
IN THE STRICTEST COMMERCIAL CONFIDENCE,
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Investigation Touch Points
Project Manager Legal Dispute Resolution
FSC: product specific
Access to Emails —
Investigation Reports = <—__
Creare 2
‘Training Records
Intervention requests
Audit reports/
ATM/Engineer
scheduling
ARQ requests Lege
Current/Previous Agent Debt
‘Cash/Stock Management
Connectivity & Hardware
HOL go live dates
BSC
HsD
Credence
Post Office®
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Investigation Approach — Timeline &
* 147 cases accepted into the Mediation Scheme
- we expect the majority of cases to flow into the investigation stage
+ POL'’s investigation process would ideally conclude by end March 2014
- some more complex cases may extend this date
+ POL has 4 weeks on average to investigate a case; produce the case review
report and pass to Second Sight for their investigation
- If a case is complex or will take longer than 4 weeks to investigate then this needs to
flagged at the earliest opportunity so that the Working Group can be notified
+ Second Sight has 4 weeks to conclude their investigation into the case and
present their findings to the Working Group
- During this time there will be some iteration between Second Sight and POL depending
driven by the detail of the case
+ The case is presented to the Worki
mediation
- The senior manager representing POL in the mediation process may need to discuss
the detail of the case in preparing to attend the mediation
Group and considered for suitability for
Post Office®
IN THE STRICTEST COMMERCIAL CONFIDENCE,
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Strictly Private & Confidential
Case Handler Workshop
Investigation Reports
Andy Parsons
Post Office®
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Contents
1. Content of Investigation Reports
2. Writing Reports
3. Privilege
4. Final checks
Post Office®
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Case Handler Workshop
1.Content
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Why are the reports important?
Will be read by Tony Hooper, Second Sight, the SPMR and the
mediator
Foundation for second sight investigation
Basis of the mediation
First opportunity for to put forward the "POL view"
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1. Executive summary — giving views
@
+ Itis almost certain that...
* Clearly...
* The most likely explanation is...
* Our preferred view is...
* On balance...
+ Itis possible that...
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@
2. Applicant's complaint
3. Case Review Actions
5. Evidence
1. Executive Summary
4. Response to Applicant's issues
Neutral
facts
Fair opinion
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1. Executive summary
* Contains our conclusions
- Answers the issues
+ Give your best but fair opinion
* Analytic AND Factual
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2. Applicant's complaint
+ Summarise the Applicant's story
* Be fair as possible
+ Based on the Issue Analysis
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3. Case Review Actions &
+ Present a clear picture of the factual information available
Prove that Post Office has investigated the matter
Nil returns and why
Important that information is presented clearly
+ Try to avoid analysis
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4. Response to Applicant's issues
Needs to tie back to the applicant's complaint
Explain:
* Your view
* Your reasons for that view
* The evidence that supports your view.
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5. Evidence
+ Statements of fact need to be supported by evidence
* Where possible cross-reference every fact to its source document
+ Documents to be provided with Report should be listed (either individually
or by class)
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Case Handler Workshop
2. Drafting Reports
Post Office®
IN THE STRICTEST COMMERCIAL CONFIDENCE,
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Aim: to draft clear documents
1. Communicate using clear/plain English
2. Structure documents so that content is easily found
3. Design easy to use documents
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What is plain English?
@
It's a communication where its
words, structure and design
are so clear that the intended
reader can easily find,
understand and use what they
need.
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Example of unclear language
"Analysis has shown the need for and intensification of intervention at
European Union level for the prevention of the pollution of coastal waters of
Europe through the accidental spillage of oil”
How could this be written more clearly?
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Top tips for clear writing
* Think before you write
* Focus on the reader
* Keep it short and simple
* Be concrete not abstract
* Revise and check
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Avoid archaic words
* abovementioned
* hitherto
* hereinafter
* thereby
* whomsoever
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Pairs of words — where one will do
* any and all * order and direct
* authorise and direct * means and includes
* cease and desist * necessary and desirable
* each and every + full and complete
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Eliminate redundant words
1. by reason of 1. because
2. because of the fact that 2. since
3. in order to 3. to
4. take such steps as are appropriate 4. take appropriate
steps
5. the fact that he had not succeeded 5. his failure
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Active words
to make an application to apply
to ensure compliance to comply
to effect /make delivery to deliver
to conduct a hearing to hear
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Avoid elegant variation
+ The first complaint was settled for £100,000
+ The second dispute was settled for £200,000
+ The price of settling the third claim was £300,000
The final court proceedings were settled for £400,000
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Jargon &
+ Don't use abbreviations unless defined in the Report
* Avoid internal Post Office language
+ Avoid biased phrases ("discrepancy" rather than "debt" )
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Consistent language
* Applicant (not Subpostmaster, Mrs X)
+ Subpostmaster (not SPM, SPMR)
* Complaint (not application, case)
* Post Office (not PO, POL or Post Office Limited)
+ Scheme (not mediation scheme, mediation process)
* Horizon (not HOL, the Horizon system)
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Pompous or simple words
@
Utilise = use
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Structure of documents
* Avoid suspense
* Put the most important point first
* Headings/Paragraph
* Signpost the document
* One idea = one paragraph
¢ Use bullets for lists of information
« Use tables for chronologies
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Design
+ Visual clues (underline, bold, italics)
+ Font size and style
* Colour
Bullets / tables / numbered lists
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Writing reports
+ Clear writing as important as clear content
+ Simple wording is best
* Do forgot structure and design
+ Better quality writing = better result
Post Office®
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Case Handler Workshop
3. Privilege
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Why is privilege important?
Protects sensitive legal advice
Court Proceedings, DPA and FOIA
Once gone — gone forever
Undermine Post Office negotiating position
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What material is privileged?
+ Any communication from or to a lawyer
* Any document discussing legal advice
* Any legal advice (even where part of a wider document)
* Any internal Post Office documents about managing live or likely
court proceedings
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Preserving privilege
+ Don't send outside of Post Office
+ Mark draft reports as privileged
* Remove privilege wording before final report is sent
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Final Checks
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First draft report - checklist
* Document marked as privileged?
+ Re-read Applicant's CQR?
* Re-consider what issues have been raised?
* Has each issue been addressed?
* Does the report present Post Office's best view?
* Is the report in plain English?
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Final checks
+ Check legal sign off completed
+ Remove "privilege" warning
+ Check cross references
+ Check enclosures / documents
+ Final read through
+ PDF report
+ Upload to huddle
Post Office®
IN THE STRICTEST COMMERCIAL CONFIDENCE,
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Strictly Private & Confidential
The Data Protection Act
1998
Sensitive Personal Data
Jessica Barker
Post Office®
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Introduction: the Data Protection Act 1998
The Data Protection Act 1998 establishes a framework of rights
and duties which are designed to safeguard personal data.
The Data Protection Act 1998 applies to personal data that is
stored, or intended to be stored, on a computer.
It may seem a complex piece of legislation, but it is underpinned by a set of eight
straightforward, common-sense principles.
If you make sure you handle personal data in line with the spirit of those principles, then you
will go a long way towards ensuring that you comply with the letter of the law.
O-
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The Principles &
1. Personal data shall be processed fairly and lawfully
2. Personal data shall be obtained only for one or more specified and lawful purposes
3. Personal data shall be adequate, relevant and not excessive
4. Personal data shall be accurate and, where necessary, kept up to date
5. Personal data shall not be kept for longer than is necessary
6. Personal data shall be processed in accordance with the rights of data subjects
7. Data shall be kept secure
8. Personal data shall not be transferred outside the European Economic Area
O7
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Definitions 1
Data subject means an individual who is the subject of personal data.
i.e. the applicants
Data controller means a person who (either alone or jointly or in common with other
persons) determines the purposes for which and the manner in which any personal
data are, or are to be, processed.
i.e. the Post Office
Personal data means data which relate to a
living individual who can be identified
(a) from those data, or
(b) from those data and other information
which is in the possession of, or is likely to
come into the possession of, the data controller
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Definitions 2
Sensitive personal data means personal data consisting of information as to
a) racial or ethnic origin of the data subject
b) political opinions
c) religious beliefs or other beliefs of a similar nature
d) Trade Union membership
e) physical or mental health or condition
f) sexual life
g) the commission or alleged
h) any proceedings for any offence committed or alleged to have been committed, the
disposal of such proceedings or the sentence of any court in such proceedings.
commission by him of any offence
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What sensitive personal data will you be handling?
* Large quantities of personal and sensitive personal data (spreadsheets)
+ Medical conditions, including mental health conditions, and medical history
* Details relating to prosecutions & convictions
* Information related to ethnicity, sexuality, political opinions
* Trade union or political party membership
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Implications of failing to handle SPD correctly
Personal
* Potentially damaging and / or
distressing to the data subject
+ Itcould have a personal impact on
you, too
Organisational
+ ICO monetary penalty
* Reputational damage
* Political damage
+ Sensitive, high profile project
Post Office®
An ex-postmaster hopes a new scheme will bring justice” for Post Oftice
IN THE STRICTES tae
ico. :
NEWS wates
2ction
‘Justice’ hope over alleged Post
Office fraud cases
28 August 2013 Last updated at 14:51 BST
Related Stories
staf who say they were wrongly accused ofthe, fraud and false
‘accounting
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Particular Issues
The sensitive nature of the data
The sensitive, high profile nature of the
project
Handling paper
BYOD
Sharing information
Large quantities of information
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Dos and Don’ts 1
+ Appropriate due care and attention should be taken when accessing, downloading,
storing, sending or printing information.
+ Do use Huddle to view and share information.
* The information should not be downloaded, sent or printed unless absolutely
necessary.
* Any downloaded information MUST be deleted when no longer required, and any
devices MUST not be left unattended.
Post Office®
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Dos and Don'ts 2 &
+ Any information sent via email MUST be password protected, & the password MUST
be sent via another channel such as the telephone.
+ Information MUST NOT be sent via fax.
* Information should not be sent by post without referral to the Duty Manager.
+ Any information printed MUST be kept secure when not in use, i.e. in a lock cabinet &
MUST not left in public places.
+ Any information printed MUST be securely destroyed after use i.e. via a cross
shredder & incinerated.
O7
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“If in doubt, check it out!”
IN CASE OFA
BREACH
The ICO
http://Awww.ico.org.uk
Post Office Privacy Team
dataprotection{”
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The Golden Rule
In data as in life...
Do unto others as you would have them do unto you
Treat other people's sensitive personal data as you would like other people to treat yours!
Post Office®
IN THE STRICTEST COMMERCIAL CONFIDENCE,
Le
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